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Technical Assistance Consultant’s Report
Project Number: 46496-001 November 2016
Republic of the Union of Myanmar: Transformation of Urban Management - Urban Management Component
(Financed by the Japanese Fund for Poverty Reduction)
This consultant’s report does not necessarily reflect the views of ADB or the Government concerned and ADB and the Government concerned cannot be held liable for its contents.
Prepared by
United Nations Human Settlements Programme (UN-Habitat)
For: Ministry of Construction, and Ministry of Transport and Communications,
Department of Urban and Housing Development, under the Ministry of Construction
FINAL REPORT APPENDICES 1-23, PART 2 OF 3
1
APPENDICES
CONTENTS Page
APPENDIX 1 4
The Project Logical Framework
APPENDIX 2 10
Project Budget
APPENDIX 3 14
The Institutional Framework of the Project
APPENDIX 4 16
Project Organisation Chart
APPENDIX 5 18
Project Methodology
APPENDIX 6 20
Technical Assistance and Government Project Personnel
APPENDIX 7 24
Training courses delivered by URDI /UN‐Habitat
(June 2012 – December 2014)
APPENDIX 8 26
Training materials produced by URDI / UN‐Habitat (2012‐2015)
APPENDIX 9 29
Terms of Reference for Urban Management Training Working Group
APPENDIX 10 33
Terms of Reference for Local Field Training Coordinators
APPENDIX 11 36
Guidelines for Training Needs Assessments
APPENDIX 12 46
Guidelines for writing training modules
APPENDIX 13 77
List of basic and advanced courses carried out in the TA
2
APPENDIX 14 81
List of trainees
APPENDIX 15 113
Examples of training modules handbooks (basic and advanced)
APPENDIX 16 200
Sample post‐course evaluation questionnaires (template)
APPENDIX 17 207
Example of course report
APPENDIX 18 226
Training course evaluation report
APPENDIX 19 246
Training of Trainers: course report
APPENDIX 20 277
URDI business plan
APPENDIX 21 308
USBOPs: data collection template for solid waste management
APPENDIX 22 315
Handbook for the Preparation of an Urban Services Business Operations
Plan for Water Supply
APPENDIX 23 340
Handbook for the Preparation of an Urban Services Business Operations Plan
for Solid Waste Management
APPENDIX 24 369
Report on Mawlamyine Water Service (Example of USBOP Data Collection
Report)
APPENDIX 25 407
Sample of Urban Services Business Operations Plan: Monywa, SWM
APPENDIX 26 464
Report by Urban Services Business Operations Plan Consultant on Delivery
of Plans
APPENDIX 27 470
List of participants at the Management Seminar on “The New Urban Agenda”
3
APPENDIX 28 474
List of participants at the Urban Management Training Working Group meeting
in Nay Pyi Taw, 27th September 2016
APPENDIX 29 476
Project Equipment Inventory
APPENDIX 30 479
Status of Ongoing Project Activities at 30th September 2016
APPENDIX 31 483
Training offer in Yangon related to urban development and planning
APPENDIX 32 486
List of development partners involved in urban management in Myanmar
APPENDIX 33 491
List of participants in basic and advance trainings
APPENDIX 34 496
Urban Service Business Operational Plan (USBOP)
4
Appendix 1: The Project Logical Framework Design Summary Performance Targets and
Indicators with Baselines
Data Sources and
Reporting Mechanisms
Assumptions and Risks
Impact
Urban management
will become more
effective and
inclusive, reflecting
new government
policies on socio‐
economic and
spatially balanced
development
By end of 2020:
Approved plans for urban
basic services investments
in participating cities
formulated through
consultative processes.
Implementation of
approved plans by staff of
the city authorities.
Urban investment plans
Government records
Assumption
Capacity development
and training will trigger
urban management
innovations
Risk
Local authorities not yet
ready for reforms and
innovation.
Outcome
Improved skills of city
authorities to manage
urban development in
a participatory and
inclusive manner
By end of April 2016
(instead of end of 2015):
Six key cities (Batch I:
Yangon, Mandalay and
Mawlamyine; Batch II:
Pathein, Lashion and
Monywa) have
demonstrated capacity for
preparation of business
operations plans for water
supply, sanitation, waste
management and drainage.
(Flood management
deleted)
Records kept by relevant
departments in the six
cities.
Correspondence with
the Ministry of
Construction.
Documentation of 18 to
24 business operations
plans.
Urban services
guidelines (water
supply, sanitation, waste
management and
drainage). (Flood
management deleted))
Assumption
Participating cities will
spearhead participatory
and inclusive urban
development activities
Risk
Human resources not
made available at local
government levels to
develop investments in
a participatory fashion.
Outputs
1. Development of
training modules
By end of April 2016
(instead of end of 2015):
Community and capacity
needs assessment
completed
Survey reports on needs
assessment for
infrastructure provision,
capacity building and
balanced economic
growth
Assumption
Collaborative urban
administrators share
case materials and good
practices
5
Eight course modules at
basic and advanced levels
(instead of nine course
modules) developed for in‐
service and hands‐on
training:
(i) strategic urban
planning
(ii) urban land
management
(iii) preparation of
urban
infrastructure
investments
(iv) introduction to
environmental and
social safeguards
(v) financing for urban
development
(vi) management of
procurement and
project
implementation
(vii) operations and
maintenance
(viii) management of
public‐private
partnerships
Course modules, printed
and digital
documentation of
materials developed
2. Implementation of
training activities
Approximately 1,620
participants from the six
cities are trained in one or
several core subject areas
Record of implementing
agency
Assumptions
Staff released to attend
and participate in
training
Adequate basic
competence available to
teach
3. Formulation of
urban services
business operations
plans
18 to 24 business
operations plans for three
or four key service sectors
in six cities i.e. water
supply, sanitation, waste
management and drainage.
Documentation of 18‐24
business operations
plans
6
4. Institutional
sustainability of
capacity development
Training activities for
trainers developed for the
Urban Research and
Development Institute
(URDI)
Business plans developed
for the URDI
Sustainable operations of
capacity development and
training activities
developed at URDI
(Deleted: Department of
Meteorology and
Hydrology)
Records of training of
trainers activities
Approved business plan
documents
Report from URDI
Assumption
National government
and local authorities
offer support for
sustainability of capacity
development and
training operations
through budgetary
allocations.
Activities with milestones
Output 1: Development of eight (instead of nine)
training modules by April 2016 (instead of December
2014 – sic)
1.1. Needs assessment in the six cities by March
2015 (instead of June 2014)
1.2. Development of training materials and relevant
case materials by December 2015 (instead of
December 2014)
1.3. Testing and implementation of course modules
by May 2016 (instead of June 2014)
1.4. ‘Learning by Doing’ activities: preparation of
investment projects and urban services guidelines by
May 2016 (instead of December 2014)
Inputs1
Japan Fund for Poverty Reduction $1.19 million2
Item Amount ($ million)
Project Personnel 0.551
Training 0.340
Equipment 0.040
Miscellaneous (operations 0.181
& contingency)
Programme support costs 0.078
1 This is not based on the original framework, where the total budget was $2 million, but on the Project Revision approved on January 21st 2015. 2 Administered by the Asian Development Bank
7
1.5. Evaluation and finalization of course materials
by June 2016 (instead of March 2015)
Output 2: Implementation of training activities by
April 2016 (instead of June 2015)
2.1. Testing of course materials by April 2016
(instead of June 2014)
2.2. Implementation of core programme from May
2015 to April 2016 (instead of July 2014 to June
2015)
Output 3: Formulation of urban services business
operations plans by May 2016 (instead of June
2015)
Output 4: Institutional sustainability of capacity
development by June 2016 (instead of October
2015)
4.1. Training of trainers activities developed for URDI
by May 2015 (instead of October 2015) (Department
of Meteorology and Hydrology deleted)
4.2. Business pans developed for URDI by May 2016
(instead of October 2015)
(Deleted: Output 5: Flood risk assessment)
8
Notes
Some of the dates in the framework have been modified (as indicated) to reflect the delayed start of
the project by four months (1st October 2014 instead of 1st June 2014 as stated in ADB, August 2014,
p.18 ) . For example, the outcome performance target for the end of 2015 has been modified by four
months to read “end of April 2016”.
The framework covers the whole of TA‐8456‐MYA Transformation of Urban Management which
comprises two parts. Part I is Urban Management and Part II is Flood Management. The present
report refers only to Part I and all references to Part II have been removed from the above, adapted
version of the framework. For example, the former fifth output which was “Flood Management” has
been deleted in the version presented above.
Some dates in the framework have been changed where they are unrealistic. For example, for
Output 1.1, postponing the original framework target date by four months would still have required
it to be achieved in the first month of the project. It has been changed in this report to the more
realistic March 2015 deadline.
References
ADB (2014), Minutes of Contract Negotiations with United Nations Human Settlements
Programme, Regional Office for Asia and the Pacific (UN‐Habitat), JPN in association with Institute
for Housing and Urban Development Studies, NET, 29‐30 April 2014. Manila, 8 August 2014.
9
Appendix 2: Project Budget
10
11
12
13
Appendix 3: The Institutional Framework of the
Project
14
EXECUTING AGENCY
The Department of Urban and Housing Development,Ministry of Construction
IMPLEMENTING AGENCY
Urban Research & Development Institute (URDI)
ASSOCIATE CONSULTANT
Institute for Housing andUrban Development Studies (IHS)
CONSULTANTUnited Nations Human Settlements Programme
(UN-Habitat),Regional Office for Asia and the Pacifica
15
Appendix 4: Project Organisation Chart
16
17
Appendix 5: The overall TA methodology
18
Training NeedsAssessments
Identification of maininfrastructure needs in
target cities
Training of trainers(Output 2)
Development oftraining modules
(Output 1)
Training courses(Output 2)
Peer reviews ofmodules
USBOP training(Output 2)
Training modulerevision
Translation ofmodules
Printing andbinding of training
modules
URDI business planInstitutionalsustainability of capacity
development(Output 4)
Production of USBOPs(Output 3)
19
APPENDIX 6: Technical Cooperation and Government
Project Personnel (including changes during the
project)
20
Name of TA
Staff
Member in
Technical
Proposal
Position Date of
Departure /
Replacement
Reason for
Replacement
Name of
Replacement
Approval
of
Change
Dr. Reinhard
Skinner
Team Leader /
International
Urban
Management
Expert
Not
applicable
NA3 NA NA
Mr.
Hemantha
Jayasundera
International
Urban
Management and
Finance Expert
Not
applicable
NA NA NA
Mr. Htun Tin National Civil
Engineer / Deputy
Team Leader
December
2015
Expiry of
contract
NA NA
Ms. Jessie K.
K. WIn
National
Procurement
Specialist
Not
applicable
NA NA NA
Mr. Myint
Thein
National Social
Safeguards
Specialist
March 2015
/ November
2015
Resignation
citing
pressure of
other work
commitments
Mr. Nikola
Duvnjak
Mr. Nikola
Duvnjak
National Social
Safeguards
Specialist
December
2015 / April
2016
Resignation
over
contractual
dispute
Mr. Eben
Forbes
Mr. Eben
Forbes
National Social
Safeguards
Specialist
June 2016 Completed
basic training
as per
contract.
Mr. Eric Baye
Mr. Eric
Baye
National Social
Safeguards
Specialist
July 2016 Writing
module at
time of
writing draft
Final Report
NA
3 NA = Not Applicable
21
(September
2016)
Mr. Myo
Myat
National
Environment
Specialist
Not
applicable
NA NA NA
Mr. Htin
Myaing
National Urban
Planner
Not
applicable
NA NA NA
Mr. U Than
Moe
National short‐
term expert ‐
training needs
assessment and
institutionalization
of the programme
July 2015 /
October
2015
Resignation
citing
pressure of
other work
commitment
Mr.
Hemantha
Jayasundera,
Mr. Pasquale
Capizzi and
Ms. Sara
Candaracci
Not an
evaluated
CV.
Approval
not
required
Mr.
Hemantha
Jayasundera,
National short‐
term expert ‐
training needs
assessment and
institutionalization
of the programme
Completion
of Strategic
Urban
Planning
training
module as
per contract
NA
Mr.
Pasquale
Capizzi
National short‐
term expert ‐
training needs
assessment and
institutionalization
of the programme
Completion
of training
course as per
agreement
NA
Ms. Sara
Candiracci
National short‐
term expert ‐
training needs
assessment and
institutionalization
of the programme
Completion
of training
course as per
contract
NA
Dr. Kyaw
Thu
National short‐
term expert ‐
Curricula
preparation
July 2015 /
November
2015
Resignation
to take up
position in
ADB
Mr. Nikola
Duvnjak
Not an
evaluated
CV.
Approval
not
required
Mr. Nikola
Duvnjak
National short‐
term expert ‐
December
2015 / NA
Resignation
over
NA
22
Curricula
preparation
contractual
dispute
Mr. Maung
Maung
Myint
National short‐
term expert‐
Quality Control
July 2015 /
October
2015
Resigned on
health
grounds
Mr. Tin Shwe Not an
evaluated
CV.
Approval
not
required
Mr. Tin
Shwe
National short‐
term expert‐
Quality Control
NA NA NA
Mr. San Tun
Aung
National Training
& Administrative
Officer
August 2014
/ August
2014
Resigned
from UN‐
Habitat to
take up
alternative
employment
Ms. Moe
Moe Oo
Approved
by ADB
Ms. Moe
Moe Oo
National short‐
term expert ‐
Preparation of
consolidated
training materials
NA To take over
duties of San
Tun Aung
(see below)
NA Not an
evaluated
CV.
Approval
not
required
Mr. Tun Lin Administrative
Assistant
November
2016
Contract
extended till
end of no‐
cost
extension
NA
By the end of the project, from February – September 2016, UN‐Habitat seconded one of its
Programme Managers to the project as by that time the contracts of several of the original
staff had ended.
No Name Designation Department
1 Daw Aye Aye Myint Deputy Director General Urban Development Department, DUHD
2 U Zaw Zaw Aye Deputy Director DUHD
3 Daw Sabe Phyu Lwin Assistant Director DUHD
Government Project‐Related Personnel by Department
23
Appendix 7: Training courses delivered by URDI
/UN‐Habitat (June 2012 – December
2014)
24
From To
1 25/6/2012 30/6/2012Exposure Training on Urban and
Regional Planning
Mr. Mike Slingsby and local
expertsYangon
Around 30 (mid‐level government officials from 14
States and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
2Basic Training on Urban Planning
for YCDC Urban Planning UnitMr. Mike Slingsby Yangon
35 fresh graduates who recently joined Urban
Planning Unit of YCDC
3 02‐04‐13 02‐08‐13 Housing Delivery Systems Dr. Yap Kioe Sheng Yangon
35(mid‐level government officials from 14 States
and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
4 18/3/13 22/3/13 Housing Delivery Systems Dr. Yap Kioe Sheng Mandalay
32 (mid‐level government officials from Mandalay
(MoC, CDC, GAD, Township Deveopment
Committee)
5
16/12/2014 20/12/2014Training on Infrastructure and
basic services
Mr. Mike Slingsby and local
expertsYangon
30(mid‐level government officials from 14 States
and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
6 10‐07‐13 10‐11‐13 Housing Delivery Systems Dr. Yap Kioe Sheng Monywa
35 (mid‐level government officials from Monywa
(MoC, CDC, GAD, Township Deveopment
Committee)
7
16/12/2013 20/12/2013Training on preparation of City
Development StrategyMr. Mike Slingsby Yangon
30 (mid‐level government officials from
Yangon(MoC, CDC, GAD, Township Deveopment
Committee)
Training Courses Delivered by URDI / UN‐Habitat (June 2012 ‐ December 2014)
DateNo Name Trainer City No and level of participants
25
Appendix 8: Training Materials Produced by URDI
/ UN‐Habitat (2012‐2015)
26
Training Materials Produced by URDI / UN‐Habitat (2012‐2015)
Main Heading
Sub heading Others Authour Category
Urban Planning
Composite module of training carried out at YCDC
Powerpoint Presentations, data analysis and participants' group work presentations
Mike Slingsby Training Module
Urbanization trends and conditions in Myanmar
U Than Moe Training Module
Urban water supply Dr. Khin Ni Ni Thein
Training Module
Overview on infrastructure and basic services
Mike Slingsby Training Module
Introduction to integrated landuse transport planning
U Than Moe Training Module
Sewerage and Sanitation system
U Thein Myint Training Module
Storm water management system
U Aung Kyaw Zan
Training Module
Report on poverty analysis of peri‐urban areas in Yangon
Mike Slingsby and Biswajit Sarkar
Research
Housing
Urban low‐income housing in Asia and Myanmar
Yap Kioe Sheng
Training Module
Low‐income housing options
Reference articles on housing
Yap Kioe Sheng
Training Module
Slum upgrading in Myanmar
U Aung Myint Training Module
DRR Integrating DRR in infrastructure and public services
Dr. Kyaw Thu Training Module
27
City Development Strategy
Introduction to the CDS process
Mike Slingsby Training Module
Introduction to SWOT analysis
Strengths and Weaknesses, Opportunities and Threats , Presentations from Group exercises
Mike Slingsby Training Module
28
Appendix 9: Terms of Reference for Urban
Management Training Working
Group
29
Transformation of Urban Management:
Capacity Building for Urban Management Project Terms of Reference of Urban Management Training Working Group
___________________________________________________________________________
Introduction
The social and economic future of nations is increasingly being determined in their urban areas. Urbanization can be not only largely advantageous due to the economic growth it generates but can also experience a number of problems, including traffic congestion, water pollution, inadequate access to water, wasteful use of energy, problems of waste disposal, inadequate housing, the spread of diseases, the deterioration of social support systems and expansion into high risk zones including earthquake prone areas, areas with high susceptibility to flooding, and various other natural disasters.
Planning for a sustainable urban development must be focused on towards long-term goals and the intention of planned settlements is to manage and perform urban land use, effective infrastructure investment and resources allocation to obtain economic and social objectives of policies, without impacting the environment through unplanned, scattered development. Planning for sustainability of city or town, should facilitate alliance-building among all population groups who can support a city's sustainable development. Countries, like the Republic of the Union of Myanmar, which are in early stages of urbanization, have the opportunity to prepare and adequately plan for urban expansion.
Rationale for the Urban Management Training Working Group (UMTWG)
In addition, the Government's new policies on socio-economic and spatially balanced development will be putting increasing pressures and expectations on the administrations of cities and towns to be able to “manage urban development in a participatory and inclusive manner.” Cities in Myanmar will need to be able to efficient and effectively identify, prioritize, and find ways of sustainably financing and managing their urban development needs in ways that are transparent, efficient and create an equitable foundation for sustainable economic growth. This requires radically new ways of doing business and a new set of urban management skills and capacities at city and national level.
The project TA-8456 MYA: Transformation of Urban Management – Part I-Capacity Building for Urban Management addresses a number of the problems facing urban management in six of Myanmar’s towns and cities: Yangon, Mandalay, Mawlamyine, Monywa, Pathein and Lashio. These revolve around under-capacity to deal with the challenges of rapid urbanisation and implementation of decentralisation, the lack of national urban planning guidelines and historical under-investment in cities. The project will provide training to local government and other authorities concerned with urban service delivery in the fields of strategic urban planning, land use management, preparation of urban infrastructure investments, environmental and social safeguards, financing for urban development, procurement and project implementation, operations and maintenance and managing public-private partnerships.
In addition to the skills of its own staff the project wishes to draw on the experience and expertise of other organizations and professionals working in the urban management field.
30
This will also contribute to an inclusive and less fragmented approach.
Membership
The UMTWG will be led by the Director General, DHSHD and comprise members drawn from a broad range of organizations working in the field of urban management. DHSHD will serve as the secretariat of the UMTWG. The members will include, but not be limited to, the following agencies.
CDCs of Yangon and Mandalay GADs of Mawlamyine, Pathein, Lashio and Monywa DHSHD, Ministry of Construction Public Works Department, Ministry of Construction Department of Meteorology and Hydrology, Ministry of Transport Settlement and Land Records Department, Ministry of Agriculture and Irrigation Irrigation Department, Ministry of Agriculture and Irrigation Environment Conservation Department, Ministry of Environmental Conservation and
Forestry Ministry of Finance Ministry of National Planning and Economic Development Ministry of Electric Power Ministry of Communications, Posts and Telegraphs Ministry of Rail Transportation Association of Myanmar Architects Myanmar Engineering Society Yangon Technical University Yangon University of Economics Mandalay Technical University Development partners (e.g. JICA, AFD)
Membership can be broadened at any time if the UMTWG deems it appropriate.
Role
The UMTWG will carry out the following activities to support the implementation of Part I of the CDTA. These activities can be carried out at the UMTWG meetings and/or by correspondence.
- Facilitate inter-organizational coordination between institutions participating in the TA
- Provide policy guidance especially regarding the TA’s policy dialogues work - Discuss critical urban planning issues and advise on how they can be incorporated
into its activities - Advise on the quality of training materials produced by the TA - Advise on the methodology used by the TA when drawing up urban services business
operations plans in the six participating cities - Advise on appropriate ways to institutionalize training - Advise on how to build the capacity of URDI
31
- Assist in the solution of unforeseen problems which may arise during the course of the project which the project management cannot solve alone and where UMTWG members posses the necessary capacity.
Frequency of Meetings
It is expected that the UMTWG will meet for one day approximately twice a year.
Costs of Participation
The TA-8456 MYA: Transformation of Urban Management Project will meet reasonable costs of attending the UMTWG meetings (including transportation, accommodation, meals and refreshments) according to a budget agreed in advance with UN-Habitat Country Programme Management.
HT/RS/150210
32
Appendix 10: Terms of Reference for Local Field
Training Coordinators
33
Transformation of Urban Management:
Capacity Building for Urban Management Project Terms of Reference
Field Training Coordinator
___________________________________________________
Background The Asian Development Bank (ADB) is funding the Transformation of Urban Management Project (ADB‐CDTA‐8456‐MYA). The project aims to support city administrations in Yangon, Mandalay, Lashio, Mawlamyine, Monywa and Pathein develop a strategic approach to long‐term urban development in a changing political and economic environment. The project recognizes under‐investment in urban infrastructure and insufficient capacity in the management of urban services in Myanmar during past decades and recognizes the need for an extensive programme of basic urban infrastructure provision and capacity enhancement. The project aims to address these needs through training staff involved in the provision of local public services including training and mentoring in the development of urban services business operations plans for investment in priority infrastructure areas. The project has visited all six cities whose city administrations have all indicated a wish to participate in the training it is offering. The project team is based at the Urban Research and Development Institute (URDI) in Yangon and will be responsible for the overall management of activities. However, it requires support in each city where the team will be unable to coordinate training on a day‐to‐day basis. It is intended that a Field Training Coordinator (FTC), assigned from existing staff, will provide this support. Description of Roles The roles of the Coordinator are as follows: (i) Act as a link between city and project. The FTC will receive information from the project base in Yangon and disseminate it to participants. This will include advising the project on the progress being made in the development of the urban services business operations plans, inform of problems encountered and agree possible solutions and next steps. (ii) Coordinate local training activities. When workshops are to be held the FTC will be responsible for logistics. (iii) Provide training inputs. The FTC will probably not be an experienced trainer so will be trained (in a five‐day Training of Trainers course provided by the project in March 2015. This
34
will be fully paid for by the project). This does not mean the FTCs will become fully qualified trainers but will be better able to deliver training in their own areas of expertise or to assist the project’s own trainers. The purpose of this is to build up in‐house training capacity in the project cities as well as to augment the pool of trainers from which URDI can draw in future in its training activities with city administrations. (iv) Guide participants in the development of urban services business operations plans. The urban services business operations plans will be developed over a period of 6‐8 weeks. It will be impossible for project staff to be present all this time in all six cities. The FTC will fill this gap. The work will be mainly monitoring and coordination of field activities. However, a certain amount of mentoring of participants will also be required. For this reason the Field Training Coordinators will receive training in the writing of urban services business operations plans from the project so that they can provide the mentoring. This will further developing his / her skills. This training will also be provided at the project’s expense. This is a part‐time role but not an insubstantial one and an allocation of 40‐50% of the time of FTCs should be envisaged. This means that the FTC will be a member of staff who can be freed from other duties until June 2016. Qualifications The Field Training Coordinator should possess:
At least three years’ experience of work in the city administration or other public or private sector organisation related to urban management and/or service infrastructure provision and operations.
Such experience should preferably have been gained working in a middle level professional position or above.
Availability to work 40‐50% on the project in the period February 2015‐April 2016
Willingness and availability to be trained as a trainer and in the development of urban services business operations plans.
Remuneration
The project does not have funds to pay Field Training Coordinators whom it is expected will continue to be employed and paid by their respective city governments.
35
Appendix 11: Guidelines for Training Needs
Assessments
36
Transformation of Urban Management: Capacity Building for Urban Management Project
(ADB CDTA-8456-MYA)
Guidelines for Conducting a Training Needs Assessment (TNA)
13th February 2015
Why Do We Need Training Needs Assessments?
To match training to the needs of the organization because of the introduction to city governments of new
responsibilities which have to be taken on and for which they and their staff are not yet prepared.
The TNA will tell us what has to be provided in the training.
What is a Training Needs Assessment?
A full TNA is an instrument to provide answers to the questions:
Who is to be trained?
In what are they to be trained?
By whom are they to be trained?
How are they to be trained?
How are the results of the training to be evaluated?
It starts with an analysis of an organisation’s objectives and the activities it carries out (or should carry out)
and the extent to which the objectives are being met and the success of the activities. It compares the
organisation’s skills needs with what it has and proposes a way to fill the gap. Lack of training is only one
possible reason why an organisation does not perform optimally; others can include inappropriate work
processes, lack of equipment or poor management. Here we are only interested in training needs.
Because of the limited time and resources available for carrying out this exercise the TNA will be basic.
The following are the questions we need to answer in the TNA.
1. What are the responsibilities of the CDC or TDAC’s to provide infrastructure?
(e.g. are there some services it has to provide and others which are privately provided?
Which?)
2. What are the activities it should carry out to meet these responsibilities?
(e.g. in one TNA asking about the City Council’s responsibility for providing housing the
activities included data collection, analysis and storage, numbering of houses, naming
streets, reviewing rates paid by house owners and surveying of both old and new
properties).
3. How well does it carry out these activities (according to the public and according to
management)?
37
An in‐depth TNA would hold public meetings to determine their opinions on this. We shall
only focus on management’s views.
4. What are the deficiencies?
Staff and management know that this question is being asked to determine what the
training should address. There is, therefore, an incentive for them to tell us what their
shortcomings are.
5. What staff posts are responsible for the infrastructure areas?
We need titles and number of staff employed in each.
The following is what was found in the same case of housing we referred to above. Note: the
information in column 3 is not clear enough (posts have been lumped together so it’s
unclear how many “City Valuators” there are, etc.)
No Department/Unit Name of Post Number of staff
1. Valuation Head of
Valuation/Referencer
4
2. Estate Head/deputy/ City
Valuators
4
3. Environment and Sanitation Health
Inspectors/supervisors
4
4. Social Services Head/social workers 3
5. Administration Assessment
committee clerk
1
6. What does each post holder do?
For example, a building inspector will carry out a range of activities which may included
assessing the safety of a structure, determining whether the building code has been adhered
to and whether any structural changes have been made without the necessary planning
permission.
7. What skills are required to perform to a high standard in these posts?
Try as much as possible to get real skills rather than vague descriptions. A skill is the learned
ability to do something well. For example, managing people, negotiation, conflict resolution,
book‐keeping and land use planning are skills. The following are not:
Housing practice
Funding social housing
Housing in developing countries
8. Which of these skills is lacking in each post?
38
Please get information for each post. Asking about each activity carried out in the post and
the lack of skills needed for that activity.
It doesn’t have to be a skill which is lacking in all the post‐holders; it is enough that it is
missing in some.
9. What does management believe their staff’s training needs (in their respective posts) are?
Name the posts referred to and the corresponding training needs.
10. What do post holders believe their training needs in their post are?
Make sure these are relevant to the job and not just some training they would like.
How will we get the information?
The information will be obtained from management and those doing the jobs (staff or ‘post‐
holders’). Useful information can also be derived from documents such the CDC’s / TADC’s
organization chart and development, strategic or master plan. They can tell us what skills
may be needed in future for which training can be planned. Where these documents can be
obtained they should be consulted. In all cases, however, the following interviews must take
place.
1. Management (the Mayor / Chairman / Director / Secretary / Chief Executive / Township
Administrator and heads of infrastructure related departments, such as energy, roads as well as those
in areas to be covered by the training such as land, planning, environment, social welfare,
procurement, operations and maintenance, finance and taxation). These will all be interviewed or as
many as is possible.
Managers should be interviewed individually. It will probably require about 30 minutes for each.
There could be as many as 15 managers to interview.
2. Post holders (staff) in the same departments as the managers. These should be middle level
professional, technical and administrative staff (or junior if no mid‐level staff are available).
They should not be operational staff (e.g. electricians, drivers or masons). These could be
interviewed individually, asked to fill in a self‐administered questionnaire or involved in focus
group discussions. In this project we have selected the last of these. It will be quicker. Ideally
there should be 4‐5 staff from each of the relevant departments. Ideally, these should be
grouped by department so that a fruitful and focused discussion can take place among those
doing similar work.
This, however, would mean there could be up to 15 focus groups. We have to find a way to
reduce this number for practical reasons. Much will depend on the staff made available to us
by the CDCs or TADCs. If there are staff from all or most departments they will need to be
grouped so that similar departments are in the same group (e.g. planning together with land
or water and sanitation with environment and social welfare). The aim is to arrive at no
more than four focus groups
39
Each focus group discussion (FGD) should take no more than about one hour (preferably 40
minutes)..
The following are the steps we need to take in preparing the training needs
assessments:
1. If available, analyse the CDC’s or Township Development Affair Committee’s organisation
chart to identify the departments, sections and posts with some degree of responsibility in
the key areas of infrastructure in that city. This will allow us to answer Questions 1 and 2
above. (The remaining questions (3‐4 and 6‐9) need to be asked in interviews).
2. Interview management (the Mayor and heads of the departments). Always start an interview
explaining who you are, why you are holding the interview and what will be done with the
data collected. End the interview with a “thank you”.
3. Hold group discussions with post holders in the same departments as management. Always
start an FGD explaining who you are, why you are holding the interview and what will be done
with the data collected. End the FGD with a “thank you”.
4. TNA teams should put all their individual interview data on an interview summary sheet and
their individual focus group discussion data on a focus group discussion summary sheet. These
will be provided.
5. Deliver a copy of the summary data sheets you have used to the TNA Expert, U Than Moe, and
to the Team Leader, Deputy Team Leader or Training & Administrative Officer who will place
then in the projects archives.
6. The TNA Expert, U Than Moe, will collate and analyse the information collected for each city
and produce a short report identifying the main results. It is important that he receives
complete and legible data sheets.
7. The team members responsible for the production of training modules will receive the report
to which they will refer when designing their modules.
Templates have been produced which should be used for the management interviews and the FGDs. These will
be distributed in hard copy and soft copy. They are:
Template 1: Interview Schedule (for Management)
Template 2: Focus Group Discussion Schedule (for Staff)
Template 3: Summary of Interview Data
Template 4: Summary of Focus Group Discussion Data
If space on any template is insufficient use another as a supplement.
40
Template 1: Interview Schedule (for Management)
Name of interviewee Position held (e.g. Head of Department XXX)
Date of interview
What are the responsibilities of the CDC / TADC in the provision of infrastructure and services to the city? (List the replies in column 1 in Table 1 below) (Note: the Mayor or Chief Executive will answer for the CDC/TADC; Heads of Department will answer for their departments)
TABLE
(1) List of responsibilities
(2) Corresponding posts (in brackets: how many staff in each post)
(3) Most important activity for each post
(4) Where more training is needed (for each activity)
(5) Specific training topics suggested (for each activity).
1. 1. ( )
2. ( )
3. ( )
2. 1. ( )
2. ( )
3. ( )
3. 1. ( )
2. ( )
3. ( )
4. 1. ( )
2. ( )
3. ( )
5. 1. ( )
2. ( )
3. ( )
6. 1. ( )
2. ( )
41
3. ( )
7. 1. ( )
2. ( )
3. ( )
8. 1. ( )
2. ( )
3. ( )
What are the posts in the CDC / TADC [or your department] which have responsibilities for the delivery of infrastructure and services? How many staff are there in each of these posts? (Fill in the names of the posts and numbers in column 2 in Table above)
What are the most important activities the CDC/TDAC [or your department] carries out in each of these posts? (Fill in column 3 above)
Are there any activities where you think staff need training so that they can their job better? What are they? (Fill in column 4 above)
What kind of training is needed? What specific topics? (Fill in last column above)
Are there any questions or comments you would like to make about this interview?
42
Template 2: Focus Group Discussion Schedule (for Staff)
Names of departments participating in this FGD: Number of participants
Date of FGD
1. 2. 3.
What are your department’s main responsibilities? (List them in summary from in the second column of the table below)
Name of Department
List of main departmental responsibilities
Participants’ most important activities (for each responsibility)
Where I need more training
Training topics suggested
What are the most important activities YOU carry out to help your department meet its responsibilities? (Fill in third column above)
Are there any activities you carry out where you think you need more training to do a better job? What are these activities? (Fill in fourth column above)
What kind of training? What specific topics? (Fill in column above)
Are there any questions you would like to ask or comments you want to make this focus group discussion?
43
Template 3: Summary of Interview Data
According to Management USE
SEPARATE SUMMARY SHEET FOR EACH MANAGER
Name of Manager:
Position: Date of Interview:
Responsibilities Identified
Corresponding posts (in brackets: how many staff in each post)
Most important activities for each post
Where more training is needed (for each activity)
Training topics suggested (for each activity)
Notes (e.g. how many respondents gave each answer)
44
Template 4: Summary of Focus Group Discussion Data
According to Staff Use separate summary sheet for each focus group
AND department (where more than one dept. in the group)
City: Department:
Total number of respondents:
Date(s) of focus group:
Departmental Responsibilities
Participants’ most important activities
Where more training is needed
Training topics suggested
Notes
45
Appendix 12: Guidelines for Writing Training
Modules
46
Transformation of Urban Management:
Capacity Building for Urban Management Project (ADB-CDTA-8456-MYA)
________________________________________________________________
Guidelines for Writing Training Modules
______________________________________________________________
March 2015
47
1. Introduction The following guidelines describe how all the training modules should be structured and
written.
All training module writers will have received a sample module which was written by IHS.
This gives an idea of what a good training module looks like. It is not the exact model which
we shall adopt in this project. This is in part because we have less time available to write the
modules than the authors of the sample module. The model we shall use is described
below.
1.1. Overview of the modules There will be two training modules per subject, one basic and one advanced. The former will
cover the subject generally, taking into account the training needs of individual cities and
towns. The latter will focus on particular key issues in each city and examine them in detail.
In preparing the modules the project will also examine the cities’ existing plans, such as
strategic and master, in order to ensure the training reflects the knowledge and skills
needed to implement the plans.
Each module will consist of a “Trainer’s Pack” and a “Participants’ Pack”. Each of these is
described below.
All training modules will be written in English and Myanmar. Please write them in English
first so that the Team Leader, Country Programme Management, ADB and IHS are able to
read them and make comments where appropriate. Later the TA will have them translated
into Myanmar.
First, here is a reminder of which modules are being produced by whom.
Module Responsible
Basic Advanced
Strategic Urban Planning U Than Moe,
National Short‐Term Expert
Institute for Housing and Urban
Development Studies (IHS)
Urban Land Management U Htin Myaing,
National Urban Planner
U Htin Myaing,
National Urban Planner
Preparation of Urban
Infrastructure Investments
U Htun Tin.
National Civil Engineer / Deputy
Team Leader
Institute for Housing and Urban
Development Studies (IHS)
Introduction to Environmental
and Social Safeguards
U Myo Myat,
National Environment Specialist &
U. Myint Thein,
National Social Safeguards
Specialist
U Myo Myat,
National Environment Specialist &
U. Myint Thein,
National Social Safeguards
Specialist
48
Financing for Urban
Development
Dr. Hemantha K.Jayasundera,
International Urban Management
and Finance Expert
Dr. Hemantha K.Jayasundera,
International Urban Management
and Finance Expert
Management of Procurement
and Project Implementation
U Htun Tin,
National Civil Engineer / Deputy
Team Leader &
Daw Jessie Khin Khin Win, National
Procurement Specialist
Institute for Housing and Urban
Development Studies (IHS)
Operations and Maintenance U Htun Tin, National Civil Engineer
/ Deputy Team Leader &
Dr. Reinhard Skinner, Team Leader
Institute for Housing and Urban
Development Studies (IHS)
Management of Public‐Private
Partnerships
Dr. Kyaw Thu,
National Short‐Term Expert in
Curriculum Preparation
Institute for Housing and Urban
Development Studies (IHS)
1.2. External Support You will see that Institute for Housing and Urban Development Studies (IHS) is responsible for five of the eight advanced modules. They will also review the following modules which they will not write themselves.
Strategic Urban Planning (basic)
Urban Land Management (basic and advanced)
Preparation of Urban Infrastructure Investments (basic)
Environmental and Social Safeguards (basic and advanced)
Management of Procurement and Project Implementation (basic)
Operations and Maintenance (basic)
Management of Public‐Private Partnerships (basic)
The idea of the review is to:
Provide advice on content where appropriate (e.g. improve a specific section)
Suggest literature which could be consulted to allow the project team to improve the
modules
Provide a case study to insert into the module and
Suggest an exercise, role play or other interactive techniques to be included.
It is important to note that IHS will not rewrite the modules; they will only provide those
responsible for the modules with contributions to improve them.
1.3. Background and Secondary Data
49
In developing the training modules, the writer should: Pay due attention to relevant Government policy (actual or under construction) and
development of new regulations and guidelines on urban planning and management.
Find out if there are any planned and ongoing projects supported by ADB and other development partners in the field of your module in the six cities. If so, make reference to them and consider using them as case study or site visit material.
Consult the data base of URDI training materials of the last 2 years to see which of them could be used in developing your module. This is available from Moe Moe.
The Consultant will also review UN‐Habitat training materials which have been used in urban management training courses in the country and, if possible, in the region. If they ask, module writers will be provided with contacts within UN‐Habitat who have these materials.
The project team has carried out city visits in order, amongst other things, to find out
what the key infrastructure problems are according to the respective city authorities.
These need to be taken into account when writing the modules. How this should be
done is explained below.
Similarly, training needs assessments will have been carried out in each city which show
what the particular training needs of each are. Again, how these are to be taken into
account in the modules is explained below.
1.4. Some Notes on Training Some general points to bear in mind before starting to write the module are:
(i) training is not lecturing although some lecturing will be involved. Training is an interactive
process of learning. This is not a preference but a necessity. Modules which are only
lectures are unproductive and unacceptable.
(ii) The training we do will be with experienced adults. This means that they need to be
recognised as already having relevant knowledge which must be respected and utilised.
They are not fresh graduates starting out on a career. Participants have experiences they
bring to the course which can be shared with other participants and discussed. This should
be an important and productive input to the training.
1.5. Writing and Revising the Modules When training has taken place the module writer will take into account the comments received from course participants in the evaluation at the end of each course. They should also incorporate comments and suggestions made by IHS if they were not able to do so before the training.
50
The modules can be adapted even after this project has ended. This is because the Urban Research and Development Institute (URDI) will take ownership of the modules and adapt the according to their future training needs and the feedback it receives from participants. This applies to both basic and advanced modules.
1.6. Timing Basic modules will be written between March and August 2015. The exact timing is largely up to you but please inform the Team Leader when you plan to start and finish. It is important to ensure that some modules will be written by end‐April/ early March so that they can be reviewed by IHS before being used in training (between May and September 2015). We must avoid that all the modules are completed in July –August so that training becomes bunched together in August and September. Remember that most module writers will be giving training in six cities so will need six weeks available. Note also that these must be weeks which are convenient to the cities themselves and that they should preferably not overlap with other training subjects. In order to avoid this the Team Leader will produce a training schedule matrix which will be discussed and agreed with you. Advanced modules will be written between September 2015 and February 2016 with training taking place between November 2015 and April 2016. It is estimated that a module will take a total of 15 working days to write, including making improvements after the course evaluations and the IHS recommendations have been received. For module writers who are not already experts in the field of their module additional time should be planned for preparatory reading.
2. The Training Modules
2.1. Trainer’s Pack This is the set of training materials which has been produced for the trainer to use. Trainers
will not only be the writers of the modules but also future trainers. For this reason there
must be clear instructions how the modules should be used.
2.1.1. The Basic Module This module will cover the subject generally, but taking into account the training needs of
individual cities and towns. The Training Needs Assessments Report will provide the
information needed to take account of individual training needs. For example, it will tell the
writer that City X has a particular need for a general understanding of how Geographic
Information Systems (GIS) can be used to help in urban planning. The relevant module (in
this case Strategic Urban Planning) will include an explanation of this. This illustrates how
not all specific training needs of a city will be addressed in all modules. The writer will read
the TNA Report to determine which specific needs should be taken into account in his/her
module.
51
The module will begin with a title page which will be based on the model provided (see end
of this document). Then will come a Table of Contents which will also follow the model
which will be given separately later.
After this the module itself starts and will have the following contents and structure.
52
Section Title Content Length
(pages)
Notes
1 Introduction to
the module
‐ Training objectives
‐ Target group
0.5 A model will be
provided which will
be the same for all
modules.
2 Overall concept
and methodology
‐ Explanation to the trainer what the
cognitive and pedagogic reasoning
is behind the way the training is
structured.
0.5 A model will be
provided which will
be adapted as
appropriate by the
module writer.
3 Module structure ‐ Overview of all training days,
timing of sessions and their titles
1 A model will be
provided which will
be filled in by the
module writer.
4 List of contents of
each session
‐ Table showing sessions, their
titles, duration, objectives, methods
to be employed and course
materials to be used
‐ This should also indicate
preparation time required by the
trainer.
4 A model will be
provided which will
be filled in by the
module writer
5 Detailed
explanation of
content of each
session
‐ A paragraph to explain what the
session will cover
‐ Recommended reading
‐ Resources which trainer will use
(e.g. exercises)
6 See the IHS model
which has been
distributed
6 Evaluation of
training
‐ Participants assess the course
according to such criteria as
knowledge and skills acquired
‐ They assess the course as a whole
and the sessions individually
‐ The results will be used in
improving the module
‐ Here a short description of what
will be evaluated and how will be
inserted
0.25 The format
produced by U
Maung Maung
Myint will be used.
He will also provide
instructions on
their use.
Meanwhile Annex 2
of the IHS training
module gives an
example used by
them.
53
7 Annex 1:
Information and
documents to be
brought to the
course by
participants
‐ This can be used in exercises and
to inform the trainer of local facts.
‐ What should be brought will be
decided by the module writer but
could include the following:
About the city
1. Maps, photographs, videos about
the subject of the module in the city
concerned.
2. City development plan and / or
plan for the development of the
field dealt with by the module
3. Population
4. Main economic activities
5. Monthly average income of a low
income family in US$
6. Brief description of the main
infrastructure problems in the city
(this should be about the subject of
the module)
7. Key achievements of the city in
the last 10 years in participant’s
own area of work
8. Identification of key problems
holding back better infrastructure
development (this should be about
the subject of the module)
9. List of the institutions or
departments responsible for urban
planning, urban management and
the area of work covered by the
module
About urban policies and
institutions
1. Brief description of how the
participants’ own department fits
into the CDC’s / TADC’s activities
1 Participants will
need to be notified
of this requirement
at least three
weeks before the
training starts.
See example in IHS
sample module you
have all received.
54
with respect to the subject of the
module.
2. Brief description of the main
national, regional and city
government policies affecting the
subject of the module
3. Outline of the regulatory
framework governing the subject of
the module (e.g. land, finance,
strategic planning).
regularisation and property rights in
informally developed areas
About the participants’own work
A summary of participants’ own
work related to the subject of the
module.
8 Annex 2:
Materials to be
prepared by the
trainer
A list of materials required for
training activities which should be
prepared / used by the trainer (e.g.
CDs, DVDs, posters, formats to be
completed by participants)
0.5 This will help the
trainer ensure s/he
prepares and takes
everything s/he
needs to the
training.
9 Annex 3: Course
evaluation by
participants
Here the evaluation formats should
be inserted.
5 Use templates
prepared by U
Maung Maung
Myint and insert
data from your
module (e.g. titles
of sessions)
10 Annex 4: exercise
1 (group and
individual)
‐ Here you should insert a
description of exercise 1: the
purpose of the exercise, how it will
be carried out (e.g. in how many
groups, individually?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
1‐1.5 The description
should be written
as a handout for
participants to
have to refer to as
they carry out the
exercise.
55
‐ Provide any formats to be used by
participants when carrying out the
exercise
‐ List of materials required for the
exercise
11 Annex 5: exercise
2 (etc.)
Same as for exercise 1. 1‐1.5 The description
should be written
as a handout for
participants to
have to refer to as
they carry out the
exercise.
12 Annex 6 : game,
role play, etc.
‐ Here you should insert a
description of the game, role play,
etc: the purpose, how it will be
carried out (e.g. who will have
which roles?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
‐ Provide descriptions of roles to be
played and / or formats to be used
by participants when carrying out
the exercise
‐ List of materials required for the
exercise
1.5‐2 The description
should be written
as a handout for
participants to
have to refer to as
they carry out the
game or role play.
13 Annex 7: further
readings for
trainers and
participants
Readings and references for
participants to read before the
training and / or to follow up after
it. Where appropriate some of these
should be copied (in hard or soft
copy) for distribution to
participants.
This Annex is not just a list but the
actual readings.
1 (list)
40
(readings)
Readings to be read
before the training
should be sent to
participants three
weeks before the
training starts.
Follow up readings
need to be
prepared for
distribution during
the course.
14 Annex 8: checklist
of equipment and
materials
A checklist of equipment and
materials to be used in preparing
for the training (e.g. beamer,
screen, coloured cards and marker
pens, flip charts, etc) and a checklist
1 This will help the
trainer ensure s/he
prepares and takes
everything s/he
needs to the
56
for the venue (e.g. size, furniture,
air conditioning, etc.)
training and to
check that the
equipment is
present and
functioning before
the training starts.
The local field
training
coordinator should
do most of this.
15 Annex 9: training
materials to be
used
Training materials (e.g.
presentations, data sheets) and a
brief explanation on how to use
them.
This is not just a checklist but the
materials themselves.
1 (list and
description
of PPTs)
160 slides
5 (other
materials)
16 Annex 10: training
methods to be
employed
Training methods used in this
module (e.g. presentations,
exercises, role play, group
discussions, guest speakers, site
visits) and a brief explanation of
why and how to use them
2
17 Annex 11: Case
studies and good
practices
The case studies and/or good
practices (national and international
where possible) which are to be
used in this module and a brief
explanation of the main points they
illustrate.
This is not just a list but the case
studies and good practices
themselves.
5
57
The Trainers’ Pack will be flexible: it will allow for materials to be added or removed as
circumstances change (e.g. an early training in a city may focus on procurement and project
management aspects of an area where a new housing project will be built and therefore
data will include project cost estimates. Later, when the construction is underway, the data
will be changed to include actual costs and, later still, operations and maintenance costs).
This is the ‘evolutionary’ nature of the module.
2.1.2. Advanced Module The Advanced Module will have the same structure as the Basic Module. However, it will
focus on particular key issues in each city and examine them in detail. In preparing the
modules the project will examine the cities’ existing plans, such as strategic and master, in
order to ensure the training reflects the knowledge and skills needed to implement the
plans. For example, if City Y has a strategic plan in which it is foreseen that public‐private‐
community partnerships be formed to establish a solid waste management system, this
should be the basis of an exercise in the module on the Management of Public‐Private
Partnerships for that city and possibly for the modules on Infrastructure Investments and
Operations and Maintenance.
The advanced module will include additional knowledge not presented in the basic module.
It will also go into more detail on some of the subjects dealt with in the basic module.
58
Section Title Content Length
(pages)
Notes
1 Introduction to
the module
‐ Training objectives
‐ Target group
0.5 A model will be
provided which will
be the same for all
modules.
2 Overall concept
and methodology
‐ Explanation to the trainer what
the cognitive and pedagogic
reasoning is behind the way the
training is structured.
0.5 A model will be
provided which will
be adapted as
appropriate by the
module writer.
3 Module structure ‐ Overview of all training days,
timing of sessions and their titles
1 A model will be
provided which will
be filled in by the
module writer.
4 List of contents of
each session
‐ Table showing sessions, their
titles, duration, objectives,
methods to be employed and
course materials to be used
‐ This should also indicate
preparation time required by
the trainer.
4 A model will be
provided which will
be filled in by the
module writer
5 Detailed
explanation of
content of each
session
‐ A paragraph to explain what the
session will cover
‐ Recommended reading
‐ Resources which trainer will use
(e.g. exercises)
6 See the IHS model
which has been
distributed
6 Evaluation of
training
‐ Participants assess the course
according to such criteria as
knowledge and skills acquired
‐ They assess the course as a whole
and the sessions individually
‐ The results will be used in
improving the module
0.25 The format
produced by U
Maung Maung
Myint will be used.
He will also provide
instructions on their
use. Meanwhile
Annex 2 of the IHS
training module
59
‐ Here a short description of what
will be evaluated and how will be
inserted
gives an example
used by them.
7 Annex 1:
Information and
documents to be
brought to the
course by
participants
‐ This should have been collected
by participants before the basic
module. If they did not the trainer
can ask them to collect it now if still
deemed relevant.
‐ This can be used in exercises and
to inform the trainer of local facts.
‐ What should be brought will be
decided by the module writer.
1 Participants will
need to be notified
of this requirement
at least three weeks
before the training
starts.
See example in IHS
sample module you
have all received.
8 Annex 2: Materials
to be prepared by
the trainer
A list of materials required for
training activities which should be
prepared / used by the trainer (e.g.
CDs, DVDs, posters, formats to be
completed by participants)
0.5 This will help the
trainer ensure s/he
prepares and takes
everything s/he
needs to the
training.
9 Annex 3: Course
evaluation by
participants
Here the evaluation formats should
be inserted.
5 Use templates
prepared by U
Maung Maung
Myint and insert
data from your
module (e.g. titles
of sessions)
10 Annex 4: exercise
1 (group and
individual)
‐ Here you should insert a
description of exercise 1: the
purpose of the exercise, how it will
be carried out (e.g. in how many
groups, individually?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
‐ Provide any formats to be used by
participants when carrying out the
exercise
1‐1.5 The description
should be written as
a handout for
participants to have
to refer to as they
carry out the
exercise.
60
‐ List of materials required for the
exercise
11 Annex 5: site visit,
guest speaker, etc.
‐Explain where the visit will be and
what the purpose is
‐ Describe any activities to be
carried out by participants while on
the visit (e.g. data collection for an
exercise)
‐ Describe how the visit will be
further used in the course (e.g.
participants will make a critical
presentation on what they saw)
‐ Explain who the guest speaker is
and what their special contribution
to the course is
‐ Describe what will happen during
the session (e.g. a presentation
followed by discussion with
participants)
1‐1.5 Site visit: check to
see if any materials
can be made
available to
participants during
the visit which they
can take away with
them.
Guest speaker:
check if s/he
recommends any
preparatory reading
and /or will give
participants a
handout
12 Annex 6 : game,
role play, etc.
‐ Here you should insert a
description of the game, role play,
etc: the purpose, how it will be
carried out (e.g. who will have
which roles?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
‐ Provide descriptions of roles to be
played and / or formats to be used
by participants when carrying out
the exercise
‐ List of materials required for the
exercise
1.5‐2 The description
should be written as
a handout for
participants to have
to refer to as they
carry out the game
or role play.
13 Annex 7: further
readings for
trainers and
participants
Readings and references for
participants to read before the
training and / or to follow up after
it. Where appropriate some of
these should be copied (in hard or
soft copy) for distribution to
participants.
1 (list)
40
(readings)
Readings to be read
before the training
should be sent to
participants three
weeks before the
training starts.
Follow up readings
need to be
61
This Annex is not just a list but the
actual readings.
prepared for
distribution during
the course.
14 Annex 8: checklist
of equipment and
materials
A checklist of equipment and
materials to be used in preparing
for the training (e.g. beamer,
screen, coloured cards and marker
pens, flip charts, etc) and a
checklist for the venue (e.g. size,
furniture, air conditioning, etc.)
1 This will help the
trainer ensure s/he
prepares and takes
everything s/he
needs to the
training and to
check that the
equipment is
present and
functioning before
the training starts.
The local field
training coordinator
should do most of
this.
15 Annex 9: training
materials to be
used
‐ Training materials (e.g.
presentations, data sheets) and a
brief explanation on how to use
them.
‐ This is not just a checklist but the
materials themselves, including the
PowerPoint presentations to be
made by the trainer.
‐ In this annex the PowerPoints will
be listed but, of course, they also
have to be prepared. They will be
considered part of this annex.
‐ This annex should contain a brief
description of each PowerPoint
presentation
‐ As a guide, in a four day course,
there will typically be between 6‐10
such presentations..
1 (list and
description
of PPTs)
160 slides
5 (other
materials)
16 Annex 10: training
methods to be
employed
Training methods used in this
module (e.g. presentations,
exercises, role play, group
discussions, guest speakers, site
visits) and a brief explanation of
why and how to use them
2
62
17 Annex 11: case
studies and good
practices
‐ The case studies and/or good
practices (national and
international where possible) which
are to be used in this module and a
brief explanation of the main points
they illustrate.
‐ This is not just a list but the case
studies and good practices
themselves.
5
63
2.2. The Participants’ Pack This is a little simpler than the trainer’s pack. It contains the materials the participant will need to
bring to the training as well as materials s/he will be provided during the training.
The sections can be given on a day by day basis (e.g. exercises on the day they will be used, readings
in advance and at the end). They do not all have to be given out in advance. In particular it is
suggested that PowerPoint presentations not be given out in advance or participants mat read them
rather than look at the presentation being made during the session.
Note that, although many of the section titles below are the same as in the Trainer’s Pack, the
contents are often different.
64
2.2.1. Basic Module Section Title Content Length
(pages)
Notes
1 Introduction to the
module
‐ Training objectives
0.5
2 Module structure ‐ Overview of all training days,
timing of sessions and their titles
1
3 List of contents of
each session
‐ Table showing sessions, their
titles, duration and objectives
4
4 Detailed
explanation of
content of each
session
‐ A paragraph to explain what the
session will cover
‐ Recommended reading
6
5 Evaluation of
training
‐ Participants assess the course
according to such criteria as
knowledge and skills acquired
‐ They assess the course as a whole
and the sessions individually
‐ The results will be used in
improving the module
‐ Here a short description of what
will be evaluated and how will be
inserted
0.25
6 Annex 1:
Information and
documents to be
brought to the
course by
participants
‐ This can be used in exercises and
to inform the trainer of local facts.
‐ What should be brought will be
decided by the module writer but
could include the following:
About the city
1. Maps, photographs, videos
about the subject of the module in
the city concerned.
1
65
2. City development plan and / or
plan for the development of the
field dealt with by the module
3. Population
4. Main economic activities
5. Monthly average income of a
low income family in US$
6. Brief description of the main
infrastructure problems in the city
(this should be about the subject
of the module)
7. Key achievements of the city in
the last 10 years in participant’s
own area of work
8. Identification of key problems
holding back better infrastructure
development (this should be about
the subject of the module)
9. List of the institutions or
departments responsible for urban
planning, urban management and
the area of work covered by the
module
About urban policies and
institutions
1. Brief description of how the
participants’ own department fits
into the CDC’s / TADC’s activities
with respect to the subject of the
module.
2. Brief description of the main
national, regional and city
government policies affecting the
subject of the module
3. Outline of the regulatory
framework governing the subject
of the module (e.g. land, finance,
strategic planning).
regularisation and property rights
in informally developed areas
66
About the participants’own work
A summary of participants’ own
work related to the subject of the
module.
7 Annex 2: Course
evaluation by
participants
Here the evaluation formats
should be inserted.
5 Use templates
prepared by U
Maung Maung Myint
and insert data from
your module (e.g.
titles of sessions)
8 Annex 3: exercise
1 (group and
individual)
‐ Here you should insert a
description of exercise 1: the
purpose of the exercise, how it will
be carried out (e.g. in how many
groups, individually?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
‐ Provide any formats to be used
by participants when carrying out
the exercise
‐ List of materials required for the
exercise
1‐1.5 The description
should be written as
a handout for
participants to have
to refer to as they
carry out the
exercise.
9 Annex 4: site visit,
guest speaker, etc.
‐Explain where the visit will be and
what the purpose is
‐ Describe any activities to be
carried out by participants while
on the visit (e.g. data collection for
an exercise)
‐ Describe how the visit will be
further used in the course (e.g.
participants will make a critical
presentation on what they saw)
‐ Explain who the guest speaker is
and what their special contribution
to the course is
‐ Describe what will happen during
the session (e.g. a presentation
1‐1.5 Site visit: check to
see if any materials
can be made
available to
participants during
the visit which they
can take away with
them.
Guest speaker: check
if s/he recommends
any preparatory
reading and /or will
give participants a
handout
67
followed by discussion with
participants)
10 Annex 5 : game,
role play, etc.
‐ Here you should insert a
description of the game, role play,
etc: the purpose, how it will be
carried out (e.g. who will have
which roles?)
‐ The steps to be taken (first this,
then that, etc.)
‐ Duration (total and duration of
each step)
‐ Provide descriptions of roles to
be played and / or formats to be
used by participants when carrying
out the exercise
‐ List of materials required for the
exercise
1.5‐2 The description
should be written as
a handout for
participants to have
to refer to as they
carry out the game
or role play.
11 Annex 6: further
readings for
participants
Readings and references for
participants to read before the
training and / or to follow up after
it. Where appropriate some of
these should be copied (in hard or
soft copy) for distribution to
participants.
This Annex is not just a list but the
actual readings.
1 (list)
40
(readings)
Readings to be read
before the training
should be sent to
participants three
weeks before the
training starts.
Follow up readings
need to be prepared
for distribution
during the course.
12 Annex 7: Case
studies and good
practices
‐ The case studies and/or good
practices (national and
international where possible)
which are to be used in this
module and a brief explanation of
the main points they illustrate.
‐ This is not just a list but the case
studies and good practices
themselves.
5
13 Annex 8: CDs and
DVDs
Copies of CDs and / or DVDs used
in the course
n.a.
68
2.2.2. Advanced Module
As in the Trainer’s Pack the Participants Pack Advanced Module will have the same structure as
the Basic Module.
It will, however, focus on particular key issues in each city and examine them in detail.
3. How to use the TNA information The training needs assessments carried out in each city will not mean that modules will be
completely different for each city. The modules will remain largely the same but account will be
taken of specific needs. For example, if a city has expressed a need for better knowledge of land
valuation this should be taken into account in the Urban Land Management modules (basic and
possible advanced). Not all modules need to take into account all specific needs for all cities.
The specific training needs of cities can be taken into account in one or more of the following ways:
in the PowerPoints (an additional small number of slides to be produced for use only in the city
concerned. So, a basic PowerPoint presentation will be produced and an additional, modified
PPT will be produced just for that city.
In a case study which illustrates how the issue concerned has been dealt with in other cities.
In an exercise which asks participants to discuss ways to improve their performance in the area
identified
Through readings provided by the trainer.
These would only be used in the city concerned. The materials produced for specific use in one city
should be titled so that this is clear. For example, a PowerPoint could be titled “Most Common
Approaches to Solid Waste Management” (for all cities) and “Most Common Approaches to Solid
Waste Management (Mawlamyine)” just for use in in Mawlamyine if it had expressed a particular
training need in this area.
4. How to use specific data on infrastructure needs gathered from
each city A similar approach should be taken as with training needs assessments. Several cities face the same
problems (e.g. water supply) while some cities have more specific problems (e.g. traffic congestion).
PowerPoint presentations, case studies, exercises and readings should be prepared which are
adaptations of the standard module which will be used only in cities where these particular
infrastructure needs were expressed.
5. How to include cross‐cutting issues There are a number of cross‐cutting issues which should be taken into account in all modules. These
are gender, human rights, environment and disaster management and mitigation. Examples of each
are as follows:
Gender: when making strategic plans ensure that women are fairly represented
Human rights: respect the rights of all (the poor as well as the better off) when making land use
plans
69
Environment: these should be well covered in the “Environmental and Social Safeguards” module.
The subject can also be covered by other modules. For example, the “Preparation of Urban
Infrastructure Investments” should mention the importance of environmental protection.
Disaster management and mitigation: here we are particularly talking about flood risk management though other risks can be included. The module writer will consider how far flood risks are relevant to his/her module. Where it is relevant s/he can ask the Team Leader to help locate information gathered by Part II of this CDTA on flood and storm surge analysis and risk assessments for Yangon, Mandalay, and Mawlamyine.
6. Layout Please use the following text and layout features.
Font: Calibri, 11 point
Line spacing: 1.15
Paragraph spacing:
Before: 0 pt.
After: 10 pt.
Indent: justify to both left and right margins (last paragraph option in MS Word)
Margins: “normal” setting in MS Word
Columns: single
Photographs, diagrams, tables, etc. Please use as many as are necessary to explain the contents of
the module. All should have captions.
Captions: please caption photographs and diagrams as "Figure:" and tables as "Table:". They should
all be numbered consecutively and listed in the Table of Contents as "Figures" and "Tables" using the
same titles as in the text. For example "Figure 1: landfill site in Pathein" will also appear in the Table
of Contents, in the section "Figures" as "Figure 1: landfill site in Pathein".
70
Annex 1: MODELS
71
TITLE PAGE
Asian Development Bank (ADB)
Republic of the Union of Myanmar
TA-8456: Transformation of Urban Management - Part I
Capacity Building for Urban Management
Strategic Urban Planning Training Module
(Basic)
May 2015
United Nations Human Settlements Programme (UN-Habitat)
72
CONTENTS PAGE
To be provided
OBJECTIVES
To be provided
CONCEPT AND METHODOLOGY The module will introduce the basic conceptual and methodological issues involving [SUBJECT of
MODULE] and develop an in‐depth understanding of the [MAIN PROBLEMS TO BE ADDRESSED] and
the various policies to deal with them. Next, the training module will introduce the necessary steps,
practical tools and systems for designing, implementing and managing [SOLUTIONS TO THE
PROBLEM].
The module is designed as an interactive learning environment which facilitates the transition from
lower levels of cognition like assimilation of knowledge to higher levels such as application and
analysis
MODULE STRUCTURE Day 1: [TITLE FOR DAY e.g. Understanding Operations and Maintenance]
Time Session Title of Session
9.00 – 10.30 Session 1 Opening Session
10.30‐11.00 Break
11.00‐12.30 Session 2 The Challenge of O & M
12.30‐13.30 Lunch
13.30‐15.00 Session 3 Different Approaches to O&M
15.00‐15.30 Break
15.30‐17.00 Session 4 Building O&M into Planning
Day 2: [TITLE FOR DAY e.g. Key Issue sin Operations and Maintenance]
Time Session Title of Session
9.00 – 10.30 Session 1
10.30‐11.00 Break
11.00‐12.30 Session 2
12.30‐13.30 Lunch
13.30‐15.00 Session 3
15.00‐15.30 Break
73
15.30‐17.00 Session 4
Day 3: [TITLE FOR DAY]
Time Session Title of Session
9.00 – 10.30 Session 1
10.30‐11.00 Break
11.00‐12.30 Session 2
12.30‐13.30 Lunch
13.30‐15.00 Session 3
15.00‐15.30 Break
15.30‐17.00 Session 4
Day 4: [TITLE FOR DAY]
Time Session Title of Session
9.00 – 10.30 Session 1
10.30‐11.00 Break
11.00‐12.30 Session 2
12.30‐13.30 Lunch
13.30‐15.00 Session 3
15.00‐15.30 Break
15.30‐17.00 Session 4 Evaluation of course and closing
74
AIMS OF EACH SESSION
Day 1: [TITLE FOR DAY e.g. Understanding Operations and Maintenance]
Session (number
and title)
Duration
(minutes)
Contents Objectives Nature of Training
Activities
Session 1:
Opening Session
90 • Welcome the
participants to
the course.
• Participants
introduce
themselves and
explain their
interest/work
experience
related to
[SUBJECT OF
MODULE]
• Understand
participants’
expectations of
the training.
• Introduce the
background,
objectives,
content and
schedule of the
workshop,
training
methodology
employed and
reading material.
To break the ice
To gain an initial understanding of each other
To make participants aware of the training objectives, programme and methodology
To make trainer aware of participants’ expectations
To create a participatory
learning environment
Interactive session:
Trainers’ PowerPoint presentation
Participants’ verbal presentations
Questions and answers
Session 2:
The Challenge of
O & M
90 Should include
an introduction
to the subject
(major O&M
related issues
globally, in South
East Asia,
Myanmar and
the individual
city where the
To expose
participants to
unfamiliar
practices in other
countries and to
get them to
consider briefly
their relevance to
their own town or
city in Myanmar
PowerPoint presentation
Brainstorming
Discussion
75
training is being
carried out)
Session 3:
Different
Approaches to
O&M
90 This would
explain how
O&M is practised
in different
sectors in
different
organisations
and/or countries
To make
participants
analyse their own
organisation’s
practices and
propose how
alternative
practices could be
implemented in
their own city in
more detail
Film
Short group exercise on….
Session 4:
Building O&M
into Planning
90 The session
explains the
importance of
building O&M
into the planning
process rather
than waiting
until problems
arise and then
trying to solve
them.
To get
participants to
think about how
their own
organisations /
departments
could incorporate
O&M into their
planning
processes
PowerPoint
Group work
76
Appendix 13: List of basic and advanced courses
carried out in the CDTA
77
Basic and Advanced Training Workshops Held 20th July 2015‐17th June 2016 by Date, City and
Module
Dates City Module
20‐23 July Pathein Preparation of Urban Infrastructure Investments
21‐24 July Lashio Management of Public‐Private Partnerships
27‐30 July Pathein Financing for Urban Development
3‐6 August Lashio Preparation of Urban Infrastructure Investments
10‐13 August Yangon Financing for Urban Development
17‐20 August Mawlamyine Preparation of Urban Infrastructure Investments
17‐20 August Monywa Financing for Urban Development
8‐11 September Pathein Urban Land Management
8‐11 September Monywa Preparation of Urban Infrastructure Investments
8‐11 September Lashio Financing for Urban Development
8‐10 September Yangon Operations and Maintenance
15‐18 September Mawlamyine Financing for Urban Development
15‐18 September Mawlamyine Urban Land Management
15‐18 September Mandalay Financing for Urban Development
22‐25 September Mandalay Preparation of Urban Infrastructure Investments
29‐30 September Monywa Introduction to Environmental Safeguards
6‐8 October Monywa Operations and Maintenance
6‐9 October Yangon Preparation of Urban Infrastructure Investments
6‐9 October Mandalay Urban Land Management
11‐12 October Pathein Introduction to Environmental Safeguards
20‐23 October4 Yangon Urban Land Management
26‐27 October Mawlamyine Introduction to Environmental Safeguards
3‐4 November Yangon Introduction to Social Safeguards
16‐18 November Mandalay Operations and Maintenance
17‐20 November Lashio Urban Land Management
19‐20 November Mandalay Introduction to Environmental Safeguards
17‐20 November Monywa Management of Procurement & Project
Implementation
23‐25 November Mawlamyine Operations & Maintenance
8‐11 December Monywa Urban Land Management
4 This training was briefly visited by ADB Urban Development Specialist, Mr. Bertrand Clochard during his mission to Myanmar.
78
8‐11 December Mawlamyine Management of Procurement & Project
Implementation
8‐10 December Lashio Operations & Maintenance
23‐24 December Lashio Introduction to Environmental Safeguards
21‐24 December Yangon Management of Procurement & Project
Implementation
29‐30 December Yangon Introduction to Environmental Safeguards
5‐6 January Pathein Management of Procurement
19‐20 January Lashio Management of Procurement
23‐24 February Mandalay Management of Procurement
23‐25 February Pathein Operations & Maintenance
21 – 22 March Mandalay, Monywa and
Lashio5
Social Safeguards
24‐25 March Pathein Social Safeguards
5‐8 April Mandalay, Monywa and
Lashio
Strategic Urban Planning
25‐28 April Mawlamyine, Pathein
and Yangon
Strategic Urban Planning
26‐27 April Mandalay and Lashio Project Implementation
29‐30 April Pathein and Yangon Project Implementation
In total forty‐six basic level courses were given6.
5 It was agreed with ADB, during its February 2016 review mission, that training in outstanding subjects would be given to three cities simultaneously in order to accelerate the process. 6 The original number of basic level training courses planned was forty eight. However, two of the modules have been split into two because of unavailability of one of the two trainers assigned to them. This has been the case for Environmental and Social Safeguards and Procurement and Project Implementation modules. In the latter case there were three training courses in which both Procurement and Project Implementation were given together. In February 2016 ADB advised the CDTA not to deliver any more basic level training in the area of Public‐Private Partnerships (two had already been given). In addition, in March and April 2016 there were seven combined training courses for several modules. This means that the total number of training courses at basic level when completed was forty‐six.
79
The timing of basic training in the six target cities was as follows:
The shaded cells indicate the courses planned which ADB suggested not be delivered in order to
complete the delayed basic level training as soon as possible. It was considered that this subject, the
Management of Public‐Private Partnerships, was not of much importance at basic level and could
safely be omitted.
These add up to fifty‐six courses because in March and April 2016 some were given to two or three
cities simultaneously but indicated as separate training in the second table above.
The advanced level training took place as follows.
Dates Venue Participating Cities
Subjects
16 –21 May 2016 Yangon Mawlamyine, Pathein, Yangon Strategic Urban Planning Urban Land Management Financing for Urban Development Planning Urban Infrastructure Investments
23‐2 May 2016 Mandalay Lashio, Mandalay, Monywa Strategic Urban Planning Urban Land Management Financing for Urban Development Planning Urban Infrastructure Investments
30 May – 4 June 2016
Yangon Mawlamyine, Pathein, Yangon Environmental and Social SafeguardsProcurement and Project Implementation Operation and Maintenance Management of Public‐Private Partnerships
6‐11 June 2016 Mandalay Lashio, Mandalay, Monywa Environmental and Social SafeguardsProcurement and Project Implementation Operation and Maintenance Management of Public‐Private Partnerships
Yangon Mandalay Mawlamyine Pathein Lashio Monywa
Strategic Urban
Planning 25‐28 Apr 16 5‐8 Apr 16 25‐28 Apr 16 27‐30 Apr 16 5‐8 Apr 16 5‐8 Apr 16
Financing for UD 11‐14 Aug 15 22‐25 Sept 15 11‐14 Aug 15 20‐23 July 15 8‐11 Sep 15 3‐6 Aug 15
Urban Infra
Investments 6‐9 Oct 15 28‐1 Oct 15 17‐20 Aug 15 11‐14 July 15 11‐14 Aug 15 18‐20 Aug 15
Social Safeguards 3‐4 Nov 15 21‐22 Apr 16 24‐25 Mar16 24‐25 Mar 16 21‐22 Apr 16 21‐22 Apr 16
Env Safeguards 30‐31 Dec 15 19‐20 Nov 15 27‐28 Oct 15 13‐14 Oct 15 23‐24 Dec 15 28‐1 Oct 15
O&M 8‐10 Oct 15 16‐18 Nov 15 23‐25 Nov 15 23‐25 Feb 16 8‐10 Dec 15 6‐8 Oct 15
PPP 17‐20 Nov 15 11‐14 Aug 15
Procurement 21‐22 Dec 15 2‐3 Feb 16 8‐11 Dec 15 5‐6 Jan 16 19‐20 Jan 16
Project
Implementation 29‐30 Apr 16 26‐27 Apr 16 29‐30 Apr 16 29‐30 Apr 16 26‐27 Apr 16
Urban Land Mgt 20‐23 Oct 15 6‐9 Oct 15 22‐25 Sept 15 3‐6 Aug 15 17‐20 Nov 16 8‐11 Sept 15
17‐20 Nov 15
80
APPENDIX 14: Participants of basic and advanced
courses by city
81
No Name Designation Department
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
1U Kyaw Ye Ko Secretary DWIR * * * * * * * * * *
2U Kyaw Kyaw Oo Staff Officer ECD * * * * * * * * * *
3Daw Han Aye Deputy Director Planning
Department* * * * * * * * * * * * * * * * * * * *
4Daw Aye Aye Mon Deputy Director
Department of
Urban and Housing
Development* * * * * * * * * * * * * * * * * * * *
5 U Wai Phyo Oo Staff Officer
General
Administration
Department* * * * * * * * * * * *
6 U Myo Zaw Nyunt Member
Township
Development
Committee* * * * * * * * * * * *
7 U Zaw Thet
Assistant
Engineer
Township
Development
Committee* * * * * * * * * * *
8U Zaw Lin Aung
Second Staff
Officer
General
Administration
Department
* * *
9U Than Min Naing
Second Staff
Officer
General
Administration
Department
* * * * * * *
10U Aung Soe Moe
Deputy Township
Officer
General
Administration
Department * * *
11U Mg Toe Deputy Director
Towship
Development
Affairs Committee* * * * * *
Basic Modules Advanced Modules
Pathein
82
12U Phone Lwin Deputy Director
Towship
Development
Affairs Committee* * * *
13U Thet Aung Assistant Director
Towship
Development
Affairs Committee* * * * * * *
14U Aung Kyaw Soe Executive Officer
Towship
Development
Affairs Committee* * * * * * *
15U Myint Mg Executive Officer
Towship
Development
Affairs Committee* * * * * * *
16U Myo Min Kyaing
Building and
Maintenance
Engineer
Electricity Supply
Enterprise* * * * * *
17U Zaw Moe Aung
Deputy Township
Administrator
General
Administration
Department* * * * * *
18U Nyi Nyi Aung
Deputy Township
Administrator
General
Administration
Department* * * * * * *
19U Kyaw Kyaw Oo Staff Officer
Environmental
Conservation
Department
* * * * * * * *
20
Daw Ei Ei Nyein
HlaingDeputy Director Budget Department * * * * * * *
21U Aye Tun Maw Deputy Director
Ministry of
Construction (Road
Department)* * * * * * * *
22U Thant Zin
Deputy
Administrator
General
Administration
Department
* * *
83
23U Moe Kyaw Aung
Deputy
Administrator
General
Administration
Department
* * * * *
24U Khin Mg Myint Deputy Director Planning
Department* * * * * *
25U Sein Thaung
Deputy
Administrator
Deputy
Administrator
(Pathein)
* * * * * *
26U Tin Latt Chairman
Town Development
Committee* * *
27U Aung Myat Thu Member
Phyusin Myittar
Social volunteer
group
* * * * *
28 U Hla Moe Deputy DirectorDWIR * *
29
Daw May Thu Thu
Aung Deputy Officer GAD*
30 Daw Thu Zar Lwin Officer Budget Department*
31 U Myo Zaw Assistant Director
Township
Development
Committee*
32 U Aung Moe Kyaw Deputy Officer GAD* * * *
33 U Zin Min Tun
Assistant
Engineer Civil Department* *
84
34 U Shwe Tun
Assistant
Engineer
Township
Development
Committee*
35 U Kyaw Kyaw Thant
Senior Assistant
Engineer
Township
Development
Committee*
36 U Aung Thu Phyo DSO GAD* * * *
37 U Thiha Tun Assistant Director
Township
Development
Committee*
38 U Thant Zin Oo Assistant Director
Township
Development
Committee* * * *
39 U Zaw Zaw
Deputy Staff
Officer GAD* * *
40 U Phone Lwin Deputy Director
Township
Development
Committee* * * * *
41 U Aye Cho Chairman
Township
Development and
Support Committee* *
42 U Thant Zin
Deputy Township
Administrator GAD* * *
43 U Kyaw Soe DD
Township
Development
Committee* * *
44
Daw Thandar Swe
Swe Kyaw
Second Staff
Officer GAD* * * *
85
45 U Taing Aung Chairman
Township
Development and
Support Committee* * * * * *
46 Daw Thi Thi Aung
Second Staff
Officer GAD* * * *
47 U Hein Lat
Second Staff
Officer GAD* * * *
48 U Nay Thway
Second Staff
Officer GAD* * *
49 Daw Thin Thin Nu Assistant Director
Environmental
Conservation
Department* * *
50 U Nay Lin Tun Forester Forest Department*
51 U Tin Htin Aung Deputy Forester Forest Department*
52 Daw Khin Myo New SAE DWIR*
53 U Win Maw Staff Officer
Irrigation
Department*
54 U Nay Lin Aung
Assistant
Engineer TDSC*
55 U Ye Win Aung
Executive
Engineer TDC*
86
56 U Htay Hlaing Assistant Director TDC*
57
U Toe Man Kayw
Aung
Deputy
Administrator GAD* *
58 U Aung Zaw Myint Assistant Director DWIR*
59 U Nyunt Win Assistant Director CDC*
60 U Myint Sein Administrator GAD*
61 U Aye Tun member TDSC*
62 U Mg Win Chairman TDSC*
63 U Aung Khine Win Chairman TDSC*
64 U Nyunt Shwe Chairman TD*
65 Daw Shwe Yi Aung
Deputy Staff
Officer DUHD*
66 U Khin Win Member TDSC*
67
Daw War War
Nyein Hlaing Assistant Director*
87
No Name Department
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
1U Tin Maung Soe
State Development
Committee* * * * * * * * * * * * * * * * * * * *
2
Daw Nan Ei Ei
Khaing
Water Resourses
Management
Department* * * * * * * * * * * * * * * * * * * *
3 U Sithu San DUHD* * * * * * * * * * * * * * * * * * * *
4U Thein Htay Road Department
* * * * * * * * * * * * * * * * * * * *
5 U Sai Pan Aung
Forestry
Department* * * * * * * * * * * * * * * * * * * *
6 Daw War War
General
Administration
Department (State)* * * * * * * * * * * * * * * * * *
7 U Than Htut Planning
Department* * * * * * * * * * * * * * * * * * *
8 Daw Khin Mar Aung MEB* * * * * * *
9Daw Myat Ei Mon Town Planning
Department* * * * * * *
10 Daw Htet Htet Aung
Township
Development
Committee
*
Basic Modules Advanced Modules
Lashio
88
11U Win Naing Planning
Department* * * * * * *
12U Khant Zin Lin
Water Resources
and Utilization
Department
* * * * * *
13 U Aung Moe Lwin DUHD * * *
14U Oaker
DUHD* * * * * *
15Daw Tin Tin Aye
General
Administration
Department * * * * *
16 Daw Lai Yi Win
General
Administration
Department * * *
17U Htun Win Ministry of Railway * * * * * *
18U Aung Min Soe
Irrigation
Department* * * * *
19 U Hla Kyaw Forestry
Department* * * * * *
20U Aung Aung DUHD * * * *
89
21Daw Cho Cho Myint DUHD * * * * *
22 Daw Yin Yin Htay
General
Administration
Department * *
23U Win Bo SR 6 * * * * * *
24Daw Ni Ni Aung MEB * * * * * * *
25 Daw Wah Wah Soe Dept of Highway * * * * * * * *
26U Mai Nyi Kyaw Aye
Irrigation
Department* * * * *
27Daw Myat Su Lin Road Department * * * * * *
28 Daw Aye Aye Naing GAD *
29U Sai Wunna Oo
Township
Development
Committee
*
30U Kyaw Lin Shine MEPE *
90
31 U Ye Aung Road Department *
32Daw Thim Naing Road Department *
33Daw Mya Nyo Road Department *
34 Daw Thidar Win Road Department *
35Daw Khin Thidar Road Department *
36U Ye Htet DUHD * * *
37Daw The Mon Mon
Kyaw
Township
Development
Committee
* * * *
38U Kyaw Aye
Irrigation
Department*
39U Tin Mg Oo DUHD *
40 U Ban Hlang Htan
Water Resources
and Utilization
Department
* * *
91
41U Kyaw Myint Than
Water Resources
and Utilization
Department
* * *
42U Naing Lin Tun
Revenure
Department* * *
43 U Yaw HanForestry
Department* * * *
44Daw Su Wai Khin GAD *
45U Kyaw Moe Khine
Township
Development
Committee
* * * *
46 U Myat Lwin Road Department *
47
Daw Nan Lun
PhaungGAD * * * * *
48
Daw Tin Moe Moe
Htay
Revenue
Department* *
49 U Ban Lar Ae NgarForestry
Department* *
50U Soe Myint Aung
Township
Development
Support
* *
92
51U Kyaw Zin Lin Bridge Department * *
52 U Thein SoeShan Branch Office
(Lashio)*
53Daw Mya Mya Lin GAD *
93
No Name Designation Department
SUP
ULM
FUD
UII
ES SS P PI O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI O&M
PPP
1 U Aung Kyaw Soe Section Head
Urban Planning
Dept, YCDC* * * * * * * * * * * * * * * * * *
2 U Myint Thein ChairmanEast District, YCDC * * * * * * * * * * * * * * * * * *
3 Daw Thin Thin Nu Section HeadYCDC * * * * * * * * * * * * * * * * *
4 U Wai Linn Tun
Assistant
DirectorDUHD * * * * * * * * * * * *
5 Dr. Win Khaing MemberSouth District, YCDC * * * * * * * * * * * * * * * * * *
6 U Min Han ChairmanNorth District, YCDC * * * * * * * * * * * * * * * * *
7 Daw Thae Thiri Tun DSOECD * * * * * * * * * * * * *
8
U Kyaw Swar Tun
MyintSecretary
Tsp Dev Supporting
Committee* * * * * * * * * * * * * * * * * * *
9U Nyunt Sein AD YCDC * * * * * * * * * * * *
10Daw Saw Sandar Oo Division Head YCDC * * * * * * * * * * * * * * * *
Basic Modules Advanced Modules
Yangon
94
11Daw Thida Thein Swe Staff Officer Planning * * * * * * * * * * * * *
12U Aye Min Thu
Deputy Township Officer
GAD * * * * * * * * * * *
13Daw Ohnmar Myint
Secnior Assistant Engineer
YCDC * * * * * * * * * *
14Daw Su Mon Thaw
Secnior Assistant Engineer
YCDC * * * * * * * * * *
15U Thu Htet Tun Assistant
EngineerYCDC * * * * * * * * * *
16 Daw Khine Zin Oo Program OfficerPlanning * * *
17 U Wai Lin Tun
Deputy Township Administrator
General Administration Department
* * *
18 Dr. Tin Tun ChairmanWest District, YCDC * * * * * * * *
19 Pau Sian Muan SurveyerMoC *
20U Nay Zaw Aung Deputy District
Administrator
General Administration Department
* * * * *
21U Myint Thein Member
Tsp Dev & Supporting Committee
* * * * * *
22U Soe Win Manager Road Transport * * * *
23U Aung Kyi AD YCDC *
95
24U Ohn Shwe Member
Tsp Dev &
Supporting
Committee
* * *
25Daw Thida Soe Staff Officer MoC * * * * *
26Daw Ywun Myat Nyo SAE DWIR *
27 Daw Aye Win Khaing
Deputy Staff
Officer
Environmental
Conservation
Department
*
28 U Saw Ba Thein Staff OfficerForest Department *
29 U Min Zar Ni Htut
AES (Ygn
Region)
Irrigation
Department* * * * * * *
30 Daw Mi Mi Khine Staff OfficerMoC *
31 Daw Lay Thwe Thwe Staff OfficerPlanning *
32 U Win Naing
Assistant
DirectorDUHD * * * * *
33 Daw Lai Lai Win MemberWest District, YCDC * *
96
34 Daw Thin Thin Khine MemberNorth District, YCDC *
35 Daw Onmar Aung Staff OfficerMoC * * * * * *
36 U Aung Myat Member
Tsp Dev &
Supporting
Committee
* *
37 Daw Lay Lay Myaing Staff OfficerPlanning * * * *
38 U Nay Chi Phyo Staff OfficerGAD * * * * * * *
39 U Nay Lin Aung
Deputy Staff
OfficerECD *
40 U Pyae Soe Ko Ko Range OfficerForest Department * *
41
Daw Phyu Phyu Kyi
Thar Range OfficerForest Department *
42 Daw Yin Win Htet
Deputy Staff
Officer
Environmental
Conservation
Department
* *
43
Daw San Phyu Phyu
Saw OfficerBridge Unit, MoC * * * *
44 U Khin Maung Than DSOGAD * *
45 U Zin Lin Htet SAEDWIR * *
46 U Myat Khine Ko
Assistant
DirectorGAD * * *
97
47 U Nyunt Win
Assistant
DirectorForest Department * *
48 U Soe Tint Member
Tsp Dev &
Supporting
Committee
* *
49 U Myo Ko KoDWIR * *
50 U Toe Chit
Assistant
EngineerBridge Unit, MoC * * * *
51 U Sitt Aung
Assistant Head
of DepartmentYCDC *
52 Daw Thidar Soe OfficerDept of Highway * * *
53 U Than Tun Aye Staff OfficerGAD *
54 U Aung Kyi
Assistant
DirectorYCDC *
55 U Win Shwe Member
Tsp Dev &
Supporting
Committee
*
56 Daw Khin Thiri Win Staff OfficerSouth District, GAD *
57 Daw Thet Wai Hnin
Deputy Staff
Officer
Environmental
Conservation
Department
*
58 U Wanna Tun
Deputy District
AdministratorEast District, GAD * *
98
59 U Nyan Lin Aung
Deputy Staff
Officer
Environmental
Conservation
Department
* *
60 Daw Kyi Kyi Oo
Assistant
DirectorYCDC *
61 U Nay Htet Aung
Assistant
DirectorYCDC *
62 Daw Yee Yee Htay Section HeadYCDC *
63 Daw Khin Myo Thein Section HeadYCDC
64 Daw Aye Aye Mu Section HeadYCDC
65 Daw Myint Myint Aye Planning OfficerNational Planning
99
No Name Designation Department
SUP
ULM
FUD
UII
ES SS P PI O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI O&M
PPP
1Daw Khin Nyein Thu Staff Officer Department of Planning * * * * * * * * * *
2Daw Htar Htar Yi Assistant Engineer Department of Construction * * * * * * * * * *
3Daw Maw Ni Ka Volunteer
Township
Development
Committee
* * * * * * * * * *
4Daw Khin Thidar ThoneAssistant Director Department of Road * * * * * * * * * * * * * * * * * *
5Daw Hnin Thandar TunJunior Engineer ‐2
Water Resourses
Management
Department
* * * * * * * * * * * * * * * *
6Daw Moe Nandar Aye Junior Engineer 2
Water Resourses
Management
Department
* * * * * * * * * * * * * *
7Daw Zar Ni Win Baw Staff Officer Planning * * * * * * * * * * * * * * * *
8U Shwe Win Thein
Junior Engineer 2
(Civil)Road Department * * * * * * * * * * * *
9U Ko Ko Htwe Forest Ranger Forestry Department * * *
10Daw Theingi Kyaw Staff Officer MCDC * * *
Basic Modules Advanced Modules
Mandalay
100
11U Win Zaw Red Cross * * *
12Daw Kay Thwal Tun
Deputy Assistant
Staff Officer
Department of
Irrigation* * *
13U Ko Ko Zaw Chairman
Township
Development
Committee
* * *
14U Maung Maung Oo Member
Township
Development
Committee
* *
15U Thet Phyo Paing
Deputy Staff
Officer
General
Administration
Department
* *
16U Ye Aung
Junior Engineer‐2
(Civil Water)
Water Resourses
Management
Department
* * *
17U Kyaw Kyaw Chairman
Township
Development
Committee
* * *
18U Mya Aung Member
Township
Development
Committee
* * *
19Daw Phyu Chaw Ei Drawing (1) DUHD * * * *
20Daw Nwe Nwe Aye Staff Officer Planning * * * * *
21U Nay Lin Htet
Staff Officer
(Admin)MCDC * * * * * * *
22Daw Ohnmar Myint Assistant Manager
Myanmar Economics
Bank* * *
23U Pyae Phyo Kyaw Second Staff Officer
Envioronmental
Conservtion
Department
*
101
24U Kyaw Win Myint Forest Ranger Forestry Department * * * * * *
25U Thurein Win Forest Ranger Forestry Department * * * * *
26Daw Nyein Nyein Hlain Staff Officer Road Department * * * * * *
27Daw Myo Ei Ei Soe WinSAE
Building Strorage
Department* * *
28U Hayman Oo Surveyor 5
Urbab Planning and
Land Mgt Dept* *
29U Min Lwin Oo Section Clerk DUHD * * * *
30Daw Khin Myo Lwin Junior Engineer DUHD * * *
31Daw Sakawar Swe
Second Staff
OfficerDUHD *
32Daw Khin Myo Oo Senior Clerk DUHD * * *
33U Myint Than Senior Clerk DUHD * * * * * *
34Daw Nu Nu Wai Senior Clerk DUHD *
35
Daw Aye Aye Myint
ShweStaff Officer
Transportation
Department*
102
36Daw Khin Than Yee Staff Officer
Transportation
Department*
37U Hlaing Htet Win Staff Officer Irrigation Department * *
38U Khin Mg Aye Member
Township
Development
Committee
* *
39U Than Htun Member
Township
Development
Committee
*
40U Than Wai Senior Clerk DUHD * * * * * * * *
41U Ye Myat Office Chief DUHD * * *
42Daw Khin Thet Maw Assistant Director DUHD * * * *
43U Kyaw Zin ES Irrigation Department *
44Daw Khin Moh Moh B C R T A D * *
45U Zaw Thet Aung L . D R T A D *
46Daw Kyal Sin Htun D S O
Envioronmental
Conservtion
Department
* * *
47U Sin Bo
Second Staff
OfficerSLRD *
103
48U Phone Naing
Second Staff
OfficerSLRD * * *
49Daw Soe Soe Aung
Second Staff
OfficerRoad Department *
50U Tayzar Aung Road Department *
51U Thuya Aung EE TDC * *
52U Thein Soe DSO
Settlement Upper
Burma* *
53U Myint Maung Junior Engineer Road Department * *
54Daw Hla Hla Myint B C RTAD * *
55Daw Aye Moe Kyaw
Deputy Staff
Officer
Envioronmental
Conservtion
Department
* * * * * * * *
56U Mg Mg Oo Member
Township
Development
Committee
*
57Daw Swe Zin Aung Staff Officer
Mandalay District
Planning Office*
58U Khin Mg Swe Member
Township
Development Support
Committee
* *
59U San Shwin Member
Township
Development Support
Committee
*
104
60Daw Aye Yu Kyaw Staff Officer MCDC *
61Daw Nwet Yin Win Junior Engineer MCDC *
62U Tin Lwin
Deputy Staff
OfficerDUHD *
63U Zaw Myo Htet DUHD *
105
No Name Designation Department
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
1 U Thant Zin Linn Assistant Engineer TDC* * * * * * * * * * * *
2 U Naing Lin Aung
Deputy Staff
Officer DALMS* * * * * * * * * *
3 U Tun Win Assistant Director DUHD* * * * * * * * * * *
4U Win Htun DSO ECD * * * * * * * * * * * * * * * * * *
5U Thein Lwin ILR SLRD * * * * * * * * * * *
6Daw Linn Linn Htike
Junior Executive
OfficerDUHD * * * * * * * * * * * * * * *
7U Swe Min Tun Staff Officer
Road
Department* * * * * * * * * * *
8U Win Ko Oo Assistant Engineer
Township
Development
Committee
* * * * * * * *
9U Thein Lin Deputy Director DWIR * * * * * *
10U Tin Ye Htun Assistant Director DUHD * *
Basic Modules Advanced Modules
Mawlamyine
106
11U Soe Thein Member TDSC * * * * * * * *
12Daw Yu Za Na Khine
Deputy Staff
Officer
General
Administration
Department
* * * * * *
13Daw Kyi Kyi Khaing Assistant Director
Planning
Department* * * * * * * *
14Daw Mi Thuzar Win Deputy Officer
Planning
Department* * *
15
Daw Khin Moh Moh
SanJE 3 MoC * * * * *
16U Ye Tun ILR SLRD *
17U Tun Tun Oo Staff Officer
Environmnetal
and
Conservation
* * * * *
18U Nay Lin Aung Assistant Engineer
Township
Development
Committee
* * * * *
19U Thein Lwin Forester
Forest
Department* * * * *
20U Tun Win Assistant Director DUHD * * * *
21U Nay Lin Tun Forester
Forest
Department* * * * * * * *
107
22U Thant Zin Lin Assistant Engineer
Township
Development
Committee
* * * * * *
23U Thuyein Soe Staff Officer
General
Administration
Department
* * * *
24U Aung Soe Htet Staff Officer
Irrigation
Department* * * *
25U Ye Lwin Assistant Engineer
Township
Development
Committee
* * * * *
26U Thet Maung Member
Township
Development
Committee
* * * *
27U San Nyein Zaw
Deputy Staff
OfficerDALMS * * * * * *
28U Naing Linn Aung
Deputy Staff
OfficerDALMS * * * * * *
29Daw Moe Moe Thi
Deputy Staff
Officer
Planning
Department* * * * * *
30U Hlaing Win Mg Assistant Engineer
Township
Development
Committee
* * * *
31U Myint Thein Naing Assistant Engineer
Irrigation
Department* *
32Daw Tin Kay Thwe Junior Engineer 2
Public Work,
Mon State* * * * *
33U Myint Thein Naing Staff Officer
Irrigation
Department* *
34U Tin Tun Aung Forester
Forest
Department*
108
No Name Designation Department
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
SUP
ULM
FUD
UII
ES SS P PI
O&M
PPP
1 Daw Thiri Khaing Assistant Director
Monywa City
Development
Committee* * * * * * * * * * * * * * * * *
2 U Shwe Win Thein
Junior Engineer ‐
2 (Civil) Road Department* * * * * * * * * * * * * * * *
3 U Nay Soe
Deputy Staff
Officer
General
Administration
Department* * * * * * * * * * * * * * * * * *
4 U Nyein Chan Min
Deputy Staff
Officer Planning Department* * * * * * * * * * * * * * * *
5U Hla Myo Aung Assistant
Director DUHD* * * * * * * * * * * *
6Daw Khine Wah Sann Second Staff Offic
Envioronmental
Conservtion
Department
* * * * * * * * * * * * * * *
7Daw Tint Tint Aung Engineer 2
Water Resources
Management
Department
* * * * * * * * * * *
8 Daw Nyein Nyein Hlaing Staff Officer Road Department* * * * *
9 U Hlaing Phyo
Deputy Staff
Officer Forestry Department* * * * *
10 U Than Htut Deputy Director National Planning* * * *
Basic Modules Advanced Modules
Monywa
109
11U Ngwe Zin
Staff Officer
Envioronmental
Conservtion
Department* * * *
12U Ye Aung
Junior Engineer
(water and
urbanization)
Water Resources
Management
Department* * *
13Daw Yi Yi Htwe
Second Staff
Officer Planning Department* * * * *
14Daw Myat Su Kyi
Second Staff
Officer Planning Department* * * *
15U Tayzar Tun Staff Officer
Irrigation Department* * * * * *
16Daw Phyu Phyu Win Second Staff OfficRegional Planning
Department* * * *
17Daw Khin Htar Myint Assistant Enginee
Township
Development
Committee* * * * * * *
18U Tun Myint
Assistant Staff
OfficerFinance & Revene * * *
19U Tin Tun Aung
Second Staff
Officer
Transportation
Department* * * * * *
20U Thin Zaw Moe Assistant Director
DUHD* * * * *
21U Naing Lin Sein Range Officer Forestry Department * * * * *
22U Min Zaw Moe
Deputy Staff
OfficerDUHD * * * * *
110
23U Zaw Min Thant Section Head
Envioronmental
Conservtion
Department
* *
24Daw Hnin Ei Khine Range Officer Forestry Department * *
25U Aye Ko Ko Member * *
26U Htay Lwin
Deputy Staff
OfficerDUHD * *
27U Aung Than Win
Deputy Staff
OfficerFinance & Revenue * *
28U Htun Myint
Assistant Staff
OfficerFinance & Revene * *
29U Thurein Htun
Assistant
Engineer
Water Resources
Management
Department
* * *
30Daw Pyae Phyo Ei KwayeS A E Road Department * *
31Daw Su Su Pan S A E Bridge Department * *
32Daw Myint Myint Naing
Second Staff
OfficerPlanning Department * *
33Daw Yu Sandar Staff Officer Planning Department * * *
34Daw Ye Ye Htwe
Second Staff
OfficerPlanning Department *
111
35U Tin Oo Staff Officer DUHD * * * * *
36U Thet Naing
Second Staff
Officer
General
Administration
Department
* *
37U Hnin Maung
Assistant
Director
General
Administration
Department
* * *
38U Naing Lin Staff Officer DUHD * * *
39U Thin Aung Chief Engineer
Township
Development
Committee
* *
40Daw Ei Ei Win
Second Staff
Officer
Regional Planning
Dept*
41Daw Moe Moe San Engineer 1
Water Resources
Management
Department
*
42U Zin Moe Aung
Assistant Staff
OfficerFinance & Revene *
43Daw Mya Mya San Staff Officer Planning Department *
44U Zon Ko Ko Forest Ranger Forestry Department *
45U Ko Ko Forest Ranger Forestry Department *
Total Number Participants (basic level) 314
Total Number Participants (advanced level) 51
Grand total 365
Trainers manual 112
Appendix 15: Examples of training module
handbooks (basic and advanced)
Trainers manual 113
BASIC PARTICIPANTS’ PACK
Asian Development Bank (ADB)
Republic of the Union of Myanmar
TA-8456: Transformation of Urban Management - Part I Capacity Building for Urban Management
Strategic Urban Planning Training Module Handbook
(Basic)
August 2016
United Nations Human Settlements Programme (UN-Habitat)
Trainers manual 114
Trainers manual 115
Foreword
This Participant’s Handbook has been developed by the ADB CDTA‐8456 project: Transformation of
Urban Management ‐ Part I, Capacity Building for Urban Management, with financial support from
the Asian Development Bank. It intends to facilitate those public sector professionals in the cities of
Myanmar who will be dealing with strategic urban planning in the coming years. In particular, the
authors took a practical approach in the design of this handbook, so that it aids municipal staff to
apply strategic planning instrument in the process of urban management.
This Participant’s Handbook was developed by Mr.Hemantha Jayasundera, consultant to the project,
and modified by the Institute for Housing and Urban Development Studies. The authors based the
contents of this course on the standards developed internationally and by governments/ donors,
with a clear focus on applicability to the context in Myanmar.
Trainers manual 116
Table of Contents
1. Introduction to the Module 4
1.1 Training Objectives 4
1.2 Target Group 4
1.3 Overall Concept and Methodology 5
2. Module Structure 6
3. Session Contents 7
4. Session Details 12
ANNEX 1: Course evaluation 34
ANNEX 2: Recommended readings 40
ANNEX 3: List of handouts 42
ANNEX 4: Information to be brought by the participants 43
ANNEX 5: Checklist of Equipment and Materials 44
ANNEX 6: Training materials to be used 46
ANNEX 7: Training methods to be employed 47
Trainers manual 117
1. INTRODUCTION TO THE MODULE
1.1 Training Objectives
The purpose of the training module is to enhance knowledge and develop skills amongst key
stakeholders responsible for preparation of strategic urban development plans, coordination,
management and implementation of urban development projects and programmes so as to improve
strategic urban planning systems and urban development in Myanmar. The main objective of the
training module is to provide a background to the modern thinking of strategic urban planning and
to introduce the necessary concepts, instruments and practical tools for preparation of strategic
urban planning and implementation.
The training module will also provide a platform for exchange of knowledge, experience and
perceptions of participants related to urban planning. The ultimate objective of the module is that
the course participants would understand the significance of strategic urban planning to optimise
the role of cities in Myanmar towards national economic development and with the newly acquired
knowledge to change the current planning procedures and contribute in their work places to
developing strategic urban plans.
1.2 Target Group
Preparation of an Urban Development Plan is an outcome of a Multidisciplinary Team Work.
Preparation of a Strategic Urban Plan requires even larger multidisciplinary team as it consists of
some revolutionary aspects compared to traditional land use planning such as city competitiveness,
governance, managing the city as a business venture etc. Therefore it is appropriate that the
participants consist of divers professionals related to strategic urban planning such as Urban
Planners, Urban Designers, Economists, Engineers, City Managers, Sociologists, Community
Representatives, Representatives of Chamber of Commerce and Industry, Universities, relevant
public other public sector institutions such as tourism, education, health, finance, transport etc.
However the programme is mainly aimed at capacity building of urban local authorities. Therefore
priority will be placed on staff of local authorities of selected project towns. Persons involved in
middle management level would be preferred, but not restricted to other levels (Senior or Junior).
1.3 Overall concept and methodology
The training module is an essential part of the Virtuous Cycle of Capacity Building, which has been
articulated by UN‐HABITAT as a strategic approach to sharing knowledge and experience and
developing new knowledge products towards institution building and capacity development for
urban management and financing. As such, the specific role of the training module is to assimilate
and reproduce the knowledge generated through research (conducted by various institutions both
locally and internationally) and disseminate the tools and practical guides.
The module will introduce modern concepts and systems of making cities engines of national
economic development and provide an in‐depth understanding of foundations of creating
Trainers manual 118
competitive cities that could trigger the economic development of Myanmar. The next step of the
training module will be to introduce the methodologies for planning and designing of strategic urban
development plans to make the “city engine” work efficiently. Finally some practical work would be
introduced so as to give the participants hands on experience in the strategic plan preparing process.
The module is designed as an interactive learning environment, which facilitates the transition from
lower levels of cognition like assimilation of knowledge, to higher levels such as application and
analysis. Thus the module will consist of the following main steps:
Step Theme Key Areas
Step 1 Understanding the changing role
of cities and current role as
engines of national economic
development and need to adopt
new planning technologies to
optimize the benefits of
urbanization
Analyse the evolution of urban planning systems
in relation to the role of cities in the national
economic development
Analyse the current status of the study city in relation to the other major cities in the region
Emphasize the role of cities as engines of national
economic development with particular reference
to Asia
Step 2 Understanding the process of
developing the new way of urban
planning – “Strategic Urban
Planning”
Introduce the Strategic Urban Planning Process Introduce planning methodologies and techniques
Step 3 Application / Practice Simulate selected steps of the strategic planning
process
Carry out a field study to recognize issues of the city within the strategic planning perspective
The pedagogic methods applied in the training to translate cognitive elements are listed below:
Cognitive Element Pedagogic Methods Used in the Module
Knowledge and
Understanding
Presentations on concepts, approaches and real life examples
Interactive questions & answers sessions
Participants own case presentations
Application Discussion of case studies
Group work
Synthesis Practical (on the site) and group work to develop one of the
important aspects of strategic planning process
Evaluation Evaluation by participants
Self evaluation and
Peer Evaluation
Trainers manual 119
2.0 MODULE STRUCTURE
Day 1: Introduction
Time Session Title of Session
9.00 – 10.30 Session 1 Opening Session
10.30‐11.00 Break
11.00‐12.30 Session 2 Introduction to urban planning – Evolution
12.30‐13.30 Lunch
13.30‐15.00 Session 3 Cities as Engines of National Economic Development
15.00‐15.30 Break
15.30‐17.00 Session 4 Strategic Planning Introduction (ADB Advocacy & Planning
Process)
Day 2: Strategic Planning Process – Step A and B
Time Session Title of Session
9.00 – 10.30 Session 5 Strategic Planning – Step A – Situation Analysis / Diagnosis
10.30‐11.00 Break
11.00‐12.30 Session 6 Natural disasters and land use planning
12.30‐13.30 Lunch
13.30‐15.00 Session 7 Urban Planning and Transport Planning
15.00‐15.30 Break
15.30‐17.00 Session 8 Strategic Planning – Step B ‐ Establishing the foundation and
direction (Vision, SWOT, Policies and Strategies)
Day 3: Strategic Planning Process – Step C, D and E
Time Session Title of Session
9.00 – 10.30 Session 9 Strategic Planning – Step C ‐ Investment promotion, Development
regulation
10.30‐11.00 Break
11.00‐12.30 Session 10 Strategic Planning – Step D ‐ Creating a liveable city – Integrating
built environment with natural environment
12.30‐13.30 Lunch
13.30‐15.00 Session 11 Continuation of session 10 – Liveable cities
15.00‐15.30 Break
15.30‐17.00 Session 12 Strategic Planning – Step E ‐ Implementing Mechanisms
(Processing development applications, financing for urban
development and institutional system)
Day 4: Application
Time Session Title of Session
9.00 – 10.30 Session 13 City tour and problem identification – Group work
10.30‐11.00 Break
11.00‐12.30 Session 14 City tour and problem identification – Group work
12.30‐13.30 Lunch
13.30‐15.00 Session 15 Presentation of group work
15.00‐15.30 Break
15.30‐17.00 Session 16 Evaluation of course and closing
Trainers manual 120
3. SESSION CONTENTS
Day 1: Introduction
Session title Duration Contents Objectives Nature of training activities
Session 1:
Opening Session
90’ Welcome the participants to the course.
• Participants introduce themselves and
explain their interest/work experience
related to urban planning
• Understand participants’ expectations of
the training
Introduce the background, objectives,
content and schedule of the workshop,
training methodology employed and
reading material
Participants should be able to: Have an understanding of each
other and what they expect from the training program
Be aware of the training objectives,
program, and methodology
Be able to create a participatory
learning environment
Interactive session:
Trainers’ PowerPoint
presentation
Participants’ verbal
presentations
Discussion/Q&A
Session 2:
Introduction to
Urban Planning
90’ Evolution of urban planning (Pure design
orientation – aesthetics / physical
orientation, integration of socio,
economic and spatial aspects, master
planning, structure planning, strategic
planning)
Issues faced by Asian Cities
Participants should be able to: Have a similar understanding of the
planning concept, and a good
background to follow the basic course
(despite having different education
backgrounds)
Interactive
session:
Trainers’ PowerPoint
presentation
Case studies
Discussion/Q&A
Session 3:
Cities as Engines of
National Economic
Development
90’ Impact of globalization on urban
development ‐ current challenges faced
by cities particularly due to globalization
and changing role of cities
Positive relationship between the high
rate of urbanization and per capita
income of the countries in Asia
Participants should be able to: Think through urban development as
the key for national economic
development
Consider briefly their relevance to
their own town or city in Myanmar
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Discussion/Q&A
Trainers manual 121
Session 4:
Strategic Planning
Introduction
90’ Recent ADB advocacy on creating
competitive cities as a foundation for
development
Plan and manage cities as business
entities in order to face the current
challenges of strategic urban planning
Planning process for preparation of
strategic urban development plan
Participants should be able to: Discuss how they can make their cities
competitive in the Asian Region
Recognize the gaps of their cities in
becoming competitive in the region
Understand that urban planning has
changed dramatically during the last
10 ‐ 20 years from mere land use
planning to pro‐active development
oriented planning
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Brainstorming
Discussion/Q&A
Day 2: Strategic Planning – Step A and B
Session title Duration Contents Objectives Nature of training activities
Session 5: Situation
Analysis / Diagnosis
(Step A)
90’ First step of the strategic planning process
– assessment of the existing status of the
city in relation to international, national,
regional and local situations and the three
Es advocated by ADB under its urban
development framework ‐ Economic,
Equity, Environmental
Participants should be able to: Understand that, similar to a doctor
diagnosing the ailment of a patient
before the treatment, the ailment of
the city should be diagnosed (within
the globalization environment) as the
first step to draw up a strategic urban
development plan
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Brainstorming
Session 6:
Natural disasters and
land use planning
(Step A)
90’ Relationship between land use planning
and natural disasters
Global warming and impact on cities
Integrating strategic land use practices
into natural disaster reduction
Participants should be able to: Understand that land use planning is
the pre‐requisite for disaster risk
reduction (not purely engineering
solutions)
Integrate the value of disaster free
cities in strategic planning
interventions
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Discussion/Q&A
Case studies on good
practices
Trainers manual 122
Session 7:
Urban Planning and
Transport Planning
(Step A)
90’ Relationship between land use and
transport
Efficient transport system as a key
element of strategic urban planning
Participants should be able to: Appreciate efficient transport system
as a fundamental requirement of a
competitive city
Analyse the transport system and its
role in planning urban development
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Discussion/Q&A
Case studies on good
practices
Videos
Session 8:
Establishing the
foundation and
direction (Step B)
90’ Practical guide to establish the foundation
of developing a strategic plan that
consists of four activities – (i) Vision
development, (ii) SWOT analysis, (iii)
policies and (iv) strategies
Participants should be able to: Apply modern tools for preparing city
development plans
Formulate development scenarios in
relation to their cities
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Group work
Discussion/Q&A
Day 3: Strategic Planning – Step C, D and E
Session title Duration Contents Objectives Nature of training activities
Session 9:
Investment
promotion,
Development control
(Step C)
90’ Attracting economic activities
City clusters and networking
Spatial plan (including integration of
environmental, disaster risk reduction
and equity concerns)
Planning and building regulations
Institutional set up (Governance)
Participants should be able to: Understand the role of economic
driver/drivers as the spine of the
spatial plan
Integrate environmental aspects
within strategic urban planning
Use planning and building regulations
as means for “regulating
development”, and not for
“development control”
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Discussion/Q&A
Trainers manual 123
Session 10: Creating
a liveable city –
Integrating built
environment with
natural environment
(Step D)
90’ Urban design / Development guide plans
Urban re‐generation projects
Heritage conservation
Participants should be able to: Discuss how good design of space in
cities can make them sustainable
living environments and attractive
cities for investments
Identify potential urban regeneration
projects in their own cities
Understand the economic value of
urban design (other than aesthetic
and social value)
Appreciate conservation of heritage
structures being a significant aspect
of liveable cities
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Discussion/Q&A
Case studies / good
practices
Session 11: Creating
a liveable city
(continuation)
(Step D)
90’ Global classifications on “liveable cities”
Significance of concept in strategic
planning
Participants should be able to: Understand the status of their cities
within a global ranking system
Discuss the value of branding the
cities as “liveable cities”
Lecture and interactive
session with guided
discussion:
PowerPoint
presentation
Video of best practices
Brainstorming
Session 12:
Implementing
mechanisms
(Step E)
90’ Regulation of development (Urban design
guidelines, planning and building
regulations)
Public sector investments
Private sector investments (creating and
enabling business environment)
Innovative financial instruments
Institutional set up
Participants should be able to: Distinguish the key elements of
implementing the strategic urban
plan
Be aware of the significance of
leadership, as an utmost important
factor in the implementation process
Lecture and interactive
session with guided
discussion:
PowerPoint
Brainstorming
Day 4: Application
Trainers manual 124
Session title Duration Contents Objectives Nature of training activities
Session 13, 14, 15:
City tour and
problem
identification
270’ Field observation of specific areas in the
city
Link situation analysis elements to real life
situation
Participants should be able to: Identify development issues in the
city, during the city tour, based on
what they learned during the first
three days
Act as a multidisciplinary team and
contribute to discussions from
different perspectives
City tour
Site visits
Group discussions
Session 16:
Evaluation of course
and closing
90’ Participants feedback on the relevance of
course, its structure, and follow up
Participants should be able to: Discuss the course conclusions and
its impact on their future work Provide feedback on the course and
suggestions for the advanced module
Evaluate the course
Feedback on the course ‐ interactive session with questions and answers
Course evaluation
125
4. SESSION DETAILS
Day 1: Introduction
Session 1. Opening session
Duration 90 minutes
Objectives Participants should be able to:
Have an understanding of each other and what they expect from the training
program
Be aware of the training objectives, program, and methodology
Be able to create a participatory learning environment
Content Welcome the participants to the course.
Participants introduce themselves and explain their interest/work experience
related to urban planning
Understand participants’ expectations of the training
Introduce the background, objectives, content and schedule of the workshop,
training methodology employed and reading material
Nature of the
session
Interactive session:
Trainers’ PowerPoint presentation
Participants’ verbal presentations
Questions and answers/Discussion
90 minutes
Recommended
readings
‐
Handouts Participants’ handbook to be distributed
Notes The opening session is intended to welcome the participants and for them and
the trainer to get to know each other. The participants are asked to briefly
describe their background, work related to urban planning and their expectations
from the course. The session also provides a brief contents of the course ‐ the
background, objectives, content and schedule of the course and highlights about
the training methodology which is not a one way communication but is
interactive and practical oriented and learning from each other. The course
handouts and reading material are also introduced.
The participant’s kit consisting of: (i) programme (ii) session details (iii) hand outs
and (iv) C.D. containing the recommended reading materials, will be introduced
and distributed to the participants.
Participants are not expected to read all the reading materials. However in order
to have a fruitful training programme it is advisable that the participants are
prepared adequately by reading the relevant reading materials to the related
session.
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Session 2. Introduction to Urban Planning
Duration 90 minutes
Objectives Participants should be able to: Have a similar understanding of the planning concept, and a good background
to follow the basic course (despite having different education backgrounds)
Content Evolution of urban planning (Pure design orientation – aesthetics / physical
orientation, integration of socio, economic and spatial aspects, master
planning, structure planning, strategic planning)
Issues faced by Asian Cities
Nature of the
session
Interactive session:
Trainers’ PowerPoint presentation
Case studies
Questions and answers/Discussion
90 minutes
Recommended
readings
1. The Evolution of Urban Planning in 10 Diagrams, Emily Badger (Source:
http://www.citylab.com/design/2012/11/evolution‐urban‐planning‐10‐
diagrams/3851)
2. The evolution of cities: Geddes, Abercrombie and the new physicalism,
Michael Batty and Stephen Marshall Centenary paper (Source:
www.complexcity.info/files/2011/06/batty‐tpr‐2009.pdf)
Handouts
1. History of Cities and City Planning, by Cliff Ellis
2. A short history of urban planning (Source:
www.utexas.edu/depts/grg/adams/307c/plan‐history.ppt)
Notes This session aims at developing an understanding of the evolution of cities and
their planning history. Cities in Asia, South America, Middle East and Europe
have a history of thousands of years and obviously changed in the form, size and
complexity depending on the change in the economic processes. The planning
systems also changed to cope with changing situations of the cities. After
industrial revolution and agricultural revolution changes of the cities became
very dynamic and the problems that the cities faced became even complex.
Innovations of science and technology made the change of cities very vibrant in
the 20th century. Globalization after latter part of the 20th century created
unprecedented changes to the cities throughout the world, movement of
international capital and technology became so vibrant that kept cities so vibrant
beyond the possibility of many cities to cope with. This process requires a
paradigm shift in the process of urban planning and development. During the
same period cities in both developed and developing nations increasingly faced
natural disasters that compelled the city leaders to change the urban planning
practices to include disaster risk reduction mechanisms.
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Session 3. Cities as Engines of National Economic Development
Duration 90 minutes
Objectives Participants should be able to: Think through urban development as the key for national economic
development
Consider briefly their relevance to their own town or city in Myanmar
Content Impact of globalization on urban development ‐ current challenges faced by
cities particularly due to globalization and changing role of cities
Positive relationship between the high rate of urbanization and per capita
income of the countries in Asia
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Questions and answers/Discussion
90 minutes
Recommended
readings
3. The Economic Role of Cities, UN Habitat, Nairobi, 2011. (Source: unhabitat.org/books/economic‐role‐of‐cities)
4. Vietnam, Urban Sector Assessment, Strategy and Road Map, Asian Development Bank, August 2012 (Source:www.adb.org/.../viet‐nam‐urban‐sector‐assessment‐strategy‐and‐road‐map)
5. City Cluster Development: Towards an Urban led Development Strategy for Asia. An Asian Development Bank Publication (Source: http://www.adb.org/publications/city‐cluster‐development‐toward‐urban‐led‐development‐strategy‐asia
6. Competitive Cities in the 21st Century: Cluster – Based Local Economic Development. An Asian Development Bank Publication (Source: http://www.adb.org/publications/competitive‐cities‐21st‐century‐cluster‐based‐local‐economic‐development
Handouts
3. Cities as Engines of National Economic Development – Prepared by Hemantha K. Jayasundera
4. Catalyzing 21st Century Growth: The Role of Innovative Cities, Power Point Presentation – by Shahid Yusuf, Economic Advisor, World Bank Institute
5. Introduction to Urban Management ‐ Prepared by Hemantha K. Jayasundera. 6. Doing Business Index, 2015 and 2016, World Bank. 7. City Competitive Index (CCI) ‐ Scoring Template 8 Competitive Governance Index (CGI) ‐ Scoring Template
Notes This session aims at developing an understanding of the significance of cities in
national economic development and the necessity of the stakeholders of the city
development to take a pro‐active role in planned urban development that will
eventually raise the per capita income of the people. It will assist the participants
to understand that the traditional role of cities just as providing services to their
rural hinterlands has been changing fast to become the engines of national
economic growth. The positive relationship between the high rate of
urbanization and per capita income of the countries in Asia would be discussed
so as to establish the platform to recognize the fact that the meaning of urban
development is development of the economy of the country as a whole.
128
The session also focuses on high level of competitiveness as a prerequisite for
cities to play their roles as engines. In this context, ”Doing Business” indicators
developed by the World Bank (WB) and City Competitive Indexes developed by
Asian Development Bank (ADB) will be discussed. The session highlights the
advocacy on creating competitive cities as a foundation for establishing vibrant
urban environment for financing and investment. It also provides a preliminary
understanding of “collaborative governance index” that ADB developed to
measure the competitiveness of cities and to identify gaps so that road maps can
be prepared to bridge the gaps.
129
Session 4. Strategic Planning Introduction
Duration 90 minutes
Objectives Participants should be able to: Discuss how they can make their cities competitive in the Asian Region
Recognize the gaps of their cities in becoming competitive in the region
Understand that urban planning has changed dramatically during the last 10 ‐
20 years from mere land use planning to pro‐active development oriented
planning
Content Recent ADB advocacy on creating competitive cities as a foundation for
development
Plan and manage cities as business entities in order to face the current
challenges of strategic urban planning
Planning process for preparation of strategic urban development plan
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Brainstorming on similarities and differences between
city planning and business planning
Discussion on the participants experiences with the steps
in the planning process
90 minutes
Recommended
readings
7. MANAGEMENT TOOLS 2005, An executive’s guide, Darrell K. Rigby
(NOTE: This is a book on Management Tools, written for the executives of the
corporate sector. The participants are expected to understand these
management tools and to think how best they can apply them in urban
planning. The participants are particularly requested to read the chapters on
“Change management programmes, Core competencies, Mission and vision
statements, Out sourcing, Satisfaction and loyalty management, Strategic
alliances, Strategic planning, Supply chain management and Total quality
management and think how to apply them for urban development)
8. Urban Planning for City Leaders, UN Habitat Publication (PDF Copy is down
loadable free of charge – Source:
http://unhabitat.org/?attachment_id=91567
Handouts:
9. Comprehensive Urban Development Plan – Prerequisite One, Prepared by
Hemantha K. Jayasundera.
10. Strategic Urban Planning – A Different Meaning, Wikipedia.
Notes With the recognition of the role of cities as engines of national economic
development, urban planning has been undergoing revolutionary change from
traditional land use planning (or master planning) to greater integration between
spatial planning and economic planning. Cities are designed to attract
investments and thereby generate income and job opportunities. Cities with
efficient infrastructure and services, educated work force, clean environment,
good governance, less crime etc. will attract high level investments (such as
knowledge industry, electronics, bio medical etc.). Thus this session is intended
to discuss the new process of preparing urban development plans that departs
130
from traditional land use plans. It focuses on the need to manage a city similar to
the corporate sector managing a commercial venture, but within the public
perspective. The session will present a simple planning flow chart that could be
considered as a basis for further improvement for preparation of urban
development plans for Myanmar cities. Participants will be asked to propose
their ideas to the “planning flow chart” presented.
Strategic means “planned” or “tactical” or “intentional”, which was mostly used
in the past in the warfare and business and is now widely used in almost every
sector when it deals with decisions of “strategic nature”. High growth rate of
cities throughout the world, particularly in the developing countries, impacts of
globalization that has created vibrant economies, complex urban problems have
required the stakeholders in urban planning to think strategically departing from
traditional land use planning.
This session will also discuss some of the salient features of strategic planning
such as:
Its system as a continuous and systematic process
Greater stakeholder consultation Development of most up to date information base covering all the aspects
Greater integration with other sectors in the economy
Further the term “strategic planning” has been given different definitions; many
defined it as a process of community consultation in planning. However under
this training programme it is defined as planning and managing a city similar to
managing a business by the corporate sector but with public orientation.
Therefore the concepts recently introduced by the ADB such as “Competitive
Cities”, “Cluster based City Developments” etc. would be discussed.
131
Day 2: Strategic Planning – Step A, B, C
Session 5. Situation Analysis / Diagnosis (Step A)
Duration 90 minutes
Objectives Participants should be able to: Understand that, similar to a doctor diagnosing the ailment of a patient
before the treatment, the ailment of the city should be diagnosed (within the
globalization environment) as the first step to draw up a strategic urban
development plan
Content First step of the strategic planning process – assessment of the existing status
of the city in relation to international, national, regional and local situations
and the three Es advocated by ADB under its urban development framework
‐ Economic, Equity, Environmental
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Brainstorming on data to analyse for the cities in
Myanmar
90 minutes
Recommended
readings
9. Viet Nam Urban Sector Assessment, Strategy and Road Map, Asian
Development Bank
Handouts:
11. Importance of Data Analysis ‐ http://www.migindia.biz/data.html
12. Situation Analysis ‐ Check List for Data Collection, Prepared by Hemantha K.
Jayasundera
Notes This session discusses the first step of the strategic planning process “Diagnosis”
‐ assessment of the existing situation of the city in relation to international,
national, regional and local situations in terms of three Es advocated by ADB
under its urban development framework ‐ Economic, Equity, Environmental
aspects. Environmental aspects include all the spatial elements also. For
development of strategic urban plans, data analysis is different from that of
traditional land use plans (or master plans). For strategic plans, data analysis is
carried out based on assessment of current situation and trends, for which:
(i) Genuine, accurate and up to date data base is required. It is also necessary
to update the data base on regular basis, as the global development
environment changes so rapidly.
(ii) A dedicated research division that works hand in hand with the Planning Team is required with multidisciplinary team members to acquire and analyse
information related all kinds of development activities. (i.e. technology,
business, financing, competitions, demand for various goods and services etc.
in the global market, in addition to the national, regional and local situations)
(iii) The outcomes of the analysis should be efficiently used in amending the
strategic development plan.
132
Session 6. Natural disasters and land use planning
Duration 90 minutes
Objectives Participants should be able to: Understand that land use planning is the pre‐requisite for disaster risk
reduction (not purely engineering solutions)
Integrate the value of disaster free cities in strategic planning interventions
Content Relationship between land use planning and natural disasters
Global warming and impact on cities
Integrating strategic land use practices into natural disaster reduction
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Case studies on good practices
Questions and answers/Discussion
90 minutes
Recommended
readings
10. Hazard Profile of Myanmar, Jointly prepared by, Department of Meteorology
and Hydrology, Forest Department, Relief and resettlement Department,
Irrigation Department, Fire Services Department (of Union of Myanmar),
Myanmar Engineering Society (MES), Myanmar Geosciences Society (MGS),
Myanmar Information Management Unit (MIMU), Asian Disaster
Preparedness Centre and Supported by Department of International
Development (DFID), United Kingdom.
Handouts:
13. Land use planning and natural hazard mitigation. (Source: Natural Hazard
Mitigation Insights (A publication of the Institute of Business and Home
Safety, October 1998.
14. Land use and disaster management (Power Point Presentation) –Source:
https://training.fema.gov/hiedu/docs/paem/pa&em_session_9[1].pptx
15. Cities in USA. Situation related to natural disasters. Source:
slideshare.net/PennUrbanResearch/naturl‐disaster‐and‐land‐use‐planning
Notes Cities throughout the world are facing serious issues related to natural disasters.
Thus under the step one of the strategic planning process – diagnosis, natural
disasters are studied as a city free from natural disasters has a strong spatial
environment for its development. Hence this session is intended to provide an
understanding of relationship between natural disasters and land use. Natural
disasters have now become very common throughout the world both in
developing and developed countries. Although natural disasters are related to
“nature” and now increasingly related to global warming, human interventions in
wrong land use practices have been a major cause of creating most of the
natural disasters and aggravating the impacts of such disasters on human
settlements. However it is evident that instead of applying land use instruments
for disaster risk reduction engineering solutions have taken the priority. Thus
participants will be made to understand that application of good land use
practices is fundamental for disaster risk reduction and also establishing most
sustainable and long lasting solution.
133
Integration of environmental aspects into land use planning is a fundamental
aspect of strategic urban planning, which is mostly lacking currently. Participants
will be asked to explain the relationship between natural disasters in cities of
Myanmar and wrong land use practices and will be asked to provide proposals to
mitigate such natural disasters related to urban planning. The session will discuss
some examples both from the developed and developing countries so that the
participants will get an insight understanding of the significance of applying land
use tools for disaster reduction in place of engineering solutions.
134
Session 7. Urban Planning and Transport Planning
Duration 90 minutes
Objectives Participants should be able to: Appreciate efficient transport system as a fundamental requirement of a
competitive city
Analyse the transport system and its role in planning urban development
Content Relationship between land use and transport
Efficient transport system as a key element of strategic urban planning
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Case studies on good practices
Videos
Questions and answers/Discussion
90 minutes
Recommended
readings
11. Effective strategies for sustainable urban transport – Policy options for national and local governments – UN Habitat.
12. Shanghai Manual – A Guide for Sustainable Urban Development in the 21st
Century – Chapter 4 – Sustainable Urban Transport, UN Habitat (Source:
http://www.un.org/esa/dsd/susdevtopics/sdt_pdfs/shanghaimanual/Chapter
%204%20‐%20Sustainable%20urban%20transport.pdf)
13. Sustainable Urban Transport System – An Overview, UN ESCAP
Handouts: 16. Introduction to transport planning
17. Seven Principles for Transit – Oriented Development, The City Fix
Notes Transport is a function of land use and thus there exists a strong relationship
with land use and transport. Preparation of transport plans departing from urban
development plans therefore will bring about negative results. Traffic congestion
and associated environmental issues have become a major issue of most of the
cities which make them unattractive for investment. Efficient transport system is
a key indicator of competitive cities and therefore is considered as an urgently
needed infrastructure in strategic planning.
This session will fist highlight the issues with special reference to the region and
then introduce most successful methods and policies through best practices such
as placing priority on public transport over private transport, transit oriented
development, walking and cycling facilities etc. It will also focus on best practices
in other countries particularly by considering developing countries.
135
Session 8. Establishing the foundation and direction (Step B)
Duration 90 minutes
Objectives Participants should be able to: Apply modern tools for preparing city development plans
Formulate development scenarios in relation to their cities
Content Practical guide to establish the foundation of developing a strategic plan that
consists of four activities – (i) Vision development, (ii) SWOT analysis, (iii)
policies and (iv) strategies
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Group work – exercise 8
Questions and answers/Discussion
90 minutes
Recommended
readings
14. The Evolution of National Urban Policies, A Global Overview, UN Habitat.
Hando
uts
18. Vision development and SWOT analysis, prepared by Hemantha K.
Jayasundera. (This will be used for group work)
19. Public Policy – Wikipedia
Notes Step B of the strategic urban planning process is to establishing the “foundation
and direction” that primarily consists of four elements:
Vision development
SWOT analysis
Policies and Goals
Strategies
The city when considered the engine of growth in modern urban planning
requires a great vision so as to guide the urban development process towards
reaching the intended destination. Once the vision is established the SWOT
analysis is carried out to understand the strengths, weaknesses, opportunities
and threats of the city to achieve the set vision. These two techniques are widely
used in the corporate sector and warfare and now are adopted in urban planning
as it has got moved from traditional land use planning.
Thus the first part of this session aims at providing a practical guide to
establishing a vision for the city and carrying out SWOT analysis that will form
the foundation for developing strategies for investment. The session will have
two group works, one for developing the vision and the other for carrying out
the SWOT analysis. (Each group will consist of maximum of 6 participants). Once
done, group leaders will be asked to present them. Examples of how great
visions of cities in neighbouring countries changed their economies and attracted
finance and investment from throughout the world will be illustrated. (Ex. KL
2020) The session intends the participants to learn and apply these new skills in
preparation of strategic plans for their cities.
Completion of establishment of the city development vision and understanding
the SWOT of the city will guide the Planning Team to develop “Policies” and
136
“Strategies”. Thus the second part of this session will discuss the matters related
to establishment of policies and strategies to achieve the city vision.
Cambridge Dictionary defines policy as “A set of ideas or a plan of what to do in
particular situations that has been agreed to officially by a group of people, a
business organization, a government or a political party”. Since cities cut across a
large number of sectors (health, education, industry, commerce, housing,
infrastructure etc.), policies in strategic planning should also cover all such
sectors, which is not an easy exercise. These sectors function under different
ministries and public institutions and therefore such ministries and institutions
are responsible for preparation of policies. Since integration of all the sectors is a
major requirement of strategic urban planning, the relevant policies should be
formulated to achieve the urban vision, which is a difficult task and thus requires
the attention of the Central Government.
Example: If the vision of the city is to create “Centre of Higher Education”, then
the ministry in charge of the education should fall in line with it and related
policies should be formulated to promote the city vision.
This session intends to focus on the significance of developing policies as a
coordinated effort without which although grand visions can be formulated they
can remain grand on papers without being implemented.
Once the policies are established, which are broader expectations, the next step
is to develop goals which are very clear achievable aims with time targets. (In
many situations goals and objectives are confused. Goals are established with
broader aims and objectives are established to achieve the goals with time
targets).
However in this session, to avoid too many steps and since the vision and policies
are established and policies comprise similar characteristics of goals, goals are
considered to be having the qualities of objectives (clear target, measurable and
tangible). The strategies are sets of actions to be implemented to achieve the
goals. They guide the plan of action and select the operation of actions.
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Day 3: Strategic Planning – Step D and E
Session 9. Investment promotion, Development control (Step C)
Duration 90 minutes
Objectives Participants should be able to: Understand the role of economic driver/drivers as the spine of the spatial
plan
Integrate environmental aspects within strategic urban planning
Use planning and building regulations as means for “regulating
development”, and not for “development control”
Content Attracting economic activities
City clusters and networking
Spatial plan (including integration of environmental, disaster risk reduction
and equity concerns)
Planning and building regulations
Institutional set up (Governance)
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Questions and answers/Discussion
90 minutes
Recommended
readings
The reading materials No. 5,6,7 and 8 recommended for session three are also
recommended as the most relevant reference materials for this session also.
15. Melbourne’s North – the New knowledge Economy written by Northern
Melbourne Area Consultative Sub Committee. Source:
http://www.rdv.vic.gov.au/__data/assets/pdf_file/0007/1147867/Melbourne
s‐North‐the‐new‐knowledge‐economy.pdf)
Handouts:
20. City Cluster Development – Toward Urban‐led Development Strategy for Asia
– Executive Summary, Asian Development Bank
21 Executive Report, Melbourne’s North – the New knowledge Economy written
by Northern Melbourne Area Consultative Sub Committee (Source:
http://www.rdv.vic.gov.au/__data/assets/pdf_file/0007/1147867/Melbourne
s‐North‐the‐new‐knowledge‐economy.pdf)
Notes The traditional Land Use Plans or Master Plans departed from investment
orientation. They are mostly spatial oriented. This is evident everywhere both in
developed and developing counties primarily because economic planning and
spatial planning are handled under two separate ministries. However with the
changing role of cities, now as engines of national economic development, cities
need to place a high priority on establishing their economic role.
The session intends to highlight the necessity to depart from mere city planning
towards planning of urban regions, identifying the other urban centres in the
urban region, establishing economic drivers of the main cities and other urban
centres and clustering them. Such networking will bring more benefits to the
overall urban economy thereby the national economy. This is similar to function
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of industrial clusters. In an industrial cluster, every firm in the cluster has a role
to play and every firm benefits largely than without the being in the cluster.
The spatial plan therefore needs to be different as it now encompasses pro
active investment orientation. It is conceived within three E’s that ADB
emphasizes – Economic, Equity and Environment.
Planning and Building regulations similar to the traditional land use plans is an
important aspect of the strategic urban development plans. However they are
now focused on three Es’ Economy, Equity and Environment. (Zoning regulations
may also consider disaster risk reduction aspects. i.e. zoning of wetlands for
multipurpose activities such as flood retention, recreation, regulation of micro
climate, biological diversity. It would not be zoned for other urban uses which
require reclamation. However adjacent highlands would be zoned for high value
urban uses that can capture the value of enhanced natural environment (the
wetlands), which is an effective instrument of financing for urban development.
However in order to put such a plan in place it is a pre‐requisite to establish the
institutional setup (good governance)
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Session 10. Creating a liveable city – Integrating built environment with natural
environment (Step D)
Duration 90 minutes
Objectives Participants should be able to: Discuss how good design of space in cities can make them sustainable living
environments and attractive cities for investments
Identify potential urban regeneration projects in their own cities
Understand the economic value of urban design (other than aesthetic and
social value)
Appreciate conservation of heritage structures being a significant aspect of
liveable cities
Content Urban design / Development guide plans
Urban re‐generation projects
Heritage conservation
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Case studies / good practices
Questions and answers/Discussion
90 minutes
Recommended
readings
16.Urban Design Compendium by English Partnerships and The Housing
Corporation.
17. DESINGING OUR CITY, Planning for Sustainable Singapore.
18. The Preservation of Urban Heritage in Cambodia, UNESCO, 2006.
Handouts:
22. Chapter One (The Fundamentals) of the Urban Design Compendium (English
Partnerships and The Housing Corporation.
23. Creating places for people, Power point presentation made by Sara Stace, at
the 4th international urban design conference held in Gold Coast on 22nd
September 2011
Notes This session will concentrate on urban design and heritage conservation. Some of the terms used in urban planning do not have commonly accepted definition and “urban design” is a term of that nature. However it can be broadly defined as a subject dealing with place making in cities. It deals with designing areas or large land parcels or neighbourhoods. Similar to urban planning, urban design is also a discipline of multi‐disciplinary nature. Heritage buildings and sites are important elements of good urban designs. However such sites need to be incorporated into the city economy for their sustainable use.
Under the strategic planning, urban design and heritage conservation are considered to be important elements of creating environments for livable cities which in turn creates urban environments to attract investment in urban development. Thus the session intends to generate an understanding of an integrated approach for urban design and heritage conservation, in addition to their design, recreation, heritage and cultural values the economic value will also be highlighted as a fundamental aspect of sustainable design as mentioned in the urban design compendium fundamentals (UK), “Urban design draws together the many strands of place‐making ‐ environmental responsibility, social equity
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and economic viability” and thus is within the ADB principles of competitive cities that advocates three frontiers – economy, equity and environment.
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Session 11. Creating a liveable city (continuation)
Duration 90 minutes
Objectives Participants should be able to: Understand the status of their cities within a global ranking system
Discuss the value of branding the cities as “liveable cities”
Content Global classifications on “liveable cities”
Significance of concept in strategic planning
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint presentation
Video of best practices
Brainstorming on characteristics of liveable cities
90 minutes
Recommended
readings
19. Liveable Cities, The Benefits of Urban Environmental Planning by Cities
Alliance, Local Governments for Sustainability and UNEP. 2007.
20. SHAPING LIVABLE CITIES, Stories of Progress Around the World by IDRC, CRDI.
21. LIVABILITY LITERATURE REVIEW: A SYNTHESIS OF CURRENT PRACTICE, US
Department of Transportation, Federal Highway Administration.
22. Open Space Strategy, Planning for Future Growth, City of Melbourne.
Handouts:
24. Liveable Cities, Introduction, Hemantha K. Jayasundera.
25. Executive Summary of the book “Liveable Cities, The Benefits of Urban
Environmental Planning” by Cities Alliance, Local Governments for
Sustainability and UNEP. 2007.
Notes Session 10 and 11 are devoted to discuss the elements of liveable cities, an
important element of strategic planning. The term liveable cities are mostly
referred to cities that are people friendly and some of the elements that are
widely advocated in liveable cities are:
Priority on public transport over private transport (and more importantly
Transit Oriented Development)
Pedestrian and cyclist friendly streets
Mixed use urban land use system
Public outdoor recreation spaces
Curtail urban sprawl and creating compact cities
Integrating physical and mental health into spatial planning through
innovative urban designs.
Efficient integration of built environment with natural environment
The “Economist” Intelligence Unit prepares Global Liveability Ranking based on
several criteria. The August 2015 report placed Melbourne, Australia, as the
most liveable city in the world with Vienna taking second place. Vancouver,
Toronto and Calgary took the 3rd, 4th and 5th places respectively. There are a few
institutions involved in ranking liveable cities. Their outcomes are different.
However, safety, education, hygiene, health care, culture, environment,
recreation, political‐economic stability and public transport have been common
142
criteria for ranking the cities. However what is most important related to
strategic urban planning is that such a branding will provide the city a business
environment to attract investors.
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Session 12. Implementing mechanisms (Step E)
Duration 90 minutes
Objectives Participants should be able to: Distinguish the key elements of implementing the strategic urban plan
Be aware of the significance of leadership, as an utmost important factor in
the implementation process
Content Regulation of development (Urban design guidelines, planning and building
regulations)
Public sector investments
Private sector investments (creating and enabling business environment)
Innovative financial instruments
Institutional set up
Nature of the
session
Lecture and interactive session with guided discussion:
PowerPoint
Brainstorming on local capacity for implementation
90 minutes
Recommended
readings
23. Planning, Connecting and Financing Cities – Now, Priorities for City Leaders,
World Bank 2103 (Source:
http://siteresources.worldbank.org/EXTSDNET/Resources/Urbanization‐
Planning‐Connecting‐Financing‐2013.pdf)
24. Developing Sustainable and Inclusive Urban Infrastructure Services: A
Guidebook for Project Implementers and Policy Makers in India, Chapter 6 ‐
Urban Infrastructure Financing. (PDF copy downloadable free of charge –
Source: www.urbaninfrastructureindia.org/pdf/0b‐Front Matter_web.pdf)
25. Urban Renewal Guidebook 2014, KPMG (Down loadable free of charge –
(Source:
https:www.claytonutz.com/docs/urban_renewal_guidebook_2014.pdf)
26. Financing Urban Infrastructure, innovative financial instruments for cities,
published by KfW Bankengruppe, Palmengartenstraße 5‐9, 60325 Frankfurt
am Main, Germany (PDF copy downloadable free of charge – Source:
http://www.afdb‐jaloulayed2015.org/wp‐
content/uploads/2015/04/Financing‐Urban‐Infrastructure.pdf)
27. Financing Green Urban Infrastructure, OECD Regional Development Working Papers, 2012/10 (PDF copy down loadable free of charge - www.oecd.org/gov/regional...Financing_Green_Urban_Infrastructure.pdf)
Handouts:
26. Strategy Implementation: Six Supporting Factors by Bill Birnbaum.
27. Urban Services Business Operation Plan, Hemantha Jayasundera
Notes Implementation of strategic urban plan has three elements:
(i) Firstly implementation of the planning and building regulations, urban
design / development guide plans. This requires a well trained staff (in
urban local authorities / urban planning institutions) to process
development applications. These officers should not be control oriented but
are oriented to guide the developers / individuals to fall in line with the
strategic urban plan. They also need to be trained to listen to developers /
144
individual builders to understand any draw backs of the strategic plan and
suggestions for improvement. They need to be pro‐active for listening to
stakeholders and make proposals for potential amendments to the strategic
plans, if required. The development applications approval process should
be transparent and efficient.
(ii) Secondly financing for urban development. There need to be a well trained
staff both in the national institutions responsible for urban development
and urban local authorities to develop and apply financing instruments for
implementation of the projects listed in the strategic urban development
plan. The relationship between the national body in charge of the finance
(Ministry of Finance) and the institutions responsible for urban
development needs to be strengthened. The Ministry of finance should
understand the new role of cities as engines of national economic
development and therefore in their appraisals and evaluations priority
needs to be placed on urban development projects, particularly when
seeking for finance from international sources.
(iii) Thirdly establishing the institutional system, to make sure achieving high
level of competitiveness and governance.
Throughout the world grand urban development plans are shelved without being
implemented primarily because they lack integrated economic aspects and thus
investors move faster than the plan implementation process. In such situations
what happen mostly is development control rather than development promotion
and disintegration of public investments from private investments.
This session intends the participants to develop the skills of plan implementation
within their capacities in their respective work places.
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Day 4: Application
Session 13‐14‐15. City tour and problem identification
Duration 270 minutes
Objectives Participants should be able to: Identify development issues in the city, during the city tour, based on what
they learned during the first three days
Act as a multidisciplinary team and contribute to discussions from different
perspectives
Content Field observation of specific areas in the city
Link situation analysis elements to real life situation
Nature of the
session
City tour
Site visits
Group exercise
270 minutes
Recommended
readings
‐
Handouts City map, large scale
Exercise 13‐14‐15
Notes Sessions 13, 14 and 15 are devoted for the participants to apply what they
learned to a practical project. One small component of the strategic plan which
can be used for a practical project would be selected. Participants would be first
briefed of the assignment and taken to the field. They need to take adequate
notes, photographs, sketched etc. It is advisable to select a project site close to
the training venue so that within a maximum of three hours the field tour can be
completed.
Issues related to “liveable cities” would be a good theme for a practical project
as some of the key elements such as walking and cycling facilities, air quality etc.
could be easily recognized in the field, and the participants can discuss them in
the light of newly acquired knowledge.
However a project for the study needs to be selected in consultation with the
participants as they know better their city. Finally every group needs to make a
presentation of their findings and potential proposals to overcome the issues.
146
Session 16. Evaluation of course and closing
Duration 90 minutes
Objectives Participants should be able to: Discuss the course conclusions and its impact on their future work
Provide feedback on the course and suggestions for the advanced module
Evaluate the course
Content Participants feedback on the relevance of course, structure, and follow up
Nature of the
session
Feedback on the course ‐ interactive session with
questions and answers
Course evaluation
90 minutes
Recommended
readings
‐
Handouts Evaluation Form (Annex 1)
Notes The final session is intended to get the feedback of the participants both verbal
and written on the relevance of the course, its structure and resource persons
and their views for upgrading /amending the course. Their comments will also be
taken into account in amending the course for the other cities and formulating
the advanced module.
The Trainer needs to have informal discussions with the participants during
refreshment time so as to get their comments in a friendly manner (as many are
genuine during such discussions and free) and keep a note on the comments
received.
147
ANNEX 1: Course evaluation
The evaluation is in two parts:
Part 1. Overall evaluation of the course
Part 2. Evaluation of individual sessions
You are required to complete both parts and submit the completed form to the Course Coordinator
during the concluding session (session 12).
For Part Two please use the matrix given below to rank each of the sessions.
0 is lowest in value and 5 is the highest. For example, if you found the session extremely useful you
can tick 5 in the row named “Usefulness”. If it was of some use but not a lot 3 can be indicated, and
so on. Day ‐‐‐Session ‐‐‐‐ Session name
Day....... Session..........Session Name.......
How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
3 4
Explanation of the ranking parameters
Usefulness: Did you find the contents useful in relation to the work you do?
Knowledge acquired: Did the session add to your knowledge?
New skills learnt: Did the session help you to acquire new skills, for example of analysis,
planning, negotiation, teamwork etc?
How interesting it was: Did you find the presentation, discussions and methods interesting?
The box on the right is for your suggestions for improving the session in future courses.
Part 1: Overall evaluation of the course
1.1 Were your expectations met by the course? Yes/ No/ Partly (please circle your answer)
148
Please explain your answer briefly Suggestions for
1.2 Would you recommend this course to others who work with you? Yes/ No/ Not sure
1.3 Was the duration of the course: Too short / too long/ of the right length
1.4 What do you think should be changed to improve the course? Explain briefly
1.5 List the three sessions you found particularly useful. 1 .................................................................................. 2. .................................................................................. 3. .........................................................................
Part 2: Evaluation of sessions Daession ‐‐‐‐ Session name
Day 1, Session 2. Introduction to Urban Planning How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
149
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, Session 3. Cities as Engines of National Economic Development How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, Session 4. Strategic Planning IntroductionHow do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 5. Situation Analysis / Diagnosis (Step A) How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
150
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 6. Natural disasters and land use planning How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 7. Urban Planning and Transport PlanningHow do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 8. Establishing the foundation and direction (Step B) How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
151
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 9. Investment promotion, Development control (Step C) How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 10 ‐ 11. Creating a liveable city (Step D)How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 12. Implementing mechanisms (Step E) How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
152
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 4, Session 13‐14‐15. City tour and problem identification How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
153
ANNEX 2: Recommended readings
1. The Evolution of Urban Planning in 10 Diagrams, Emily Badger:
http://www.citylab.com/design/2012/11/evolution-urban-planning-10-diagrams/3851) 2. The evolution of cities: Geddes, Abercrombie and the new physicalism, Michael Batty and
Stephen Marshall Centenary paper (Source: www.complexcity.info/files/2011/06/batty‐tpr‐
2009.pdf)
3. The Economic Role of Cities, UN Habitat, Nairobi, 2011. (This book is downloadable free of
charge – Source: unhabitat.org/books/economic‐role‐of‐cities)
4. Vietnam, Urban Sector Assessment, Strategy and Road Map, Asian Development Bank,
August 2012 (This report is down loadable free of charge – Source:www.adb.org/.../viet‐
nam‐urban‐sector‐assessment‐strategy‐and‐road‐map)
5. City Cluster Development: Towards an Urban led Development Strategy for Asia. An Asian
Development Bank Publication (PDF copy is downloadable free of charge – Source:
http://www.adb.org/publications/city‐cluster‐development‐toward‐urban‐led‐
development‐strategy‐asia
6. Competitive Cities in the 21st Century: Cluster – Based Local Economic Development. An
Asian Development Bank Publication (PDF copy is downloadable free of charge – Source:
http://www.adb.org/publications/competitive‐cities‐21st‐century‐cluster‐based‐local‐
economic‐development
7. MANAGEMENT TOOLS 2005, An executive’s guide, Darrell K. Rigby
8. Urban Planning for City Leaders, UN Habitat Publication (PDF Copy is down loadable free of
charge – Source: http://unhabitat.org/?attachment_id=91567
9. Viet Nam Urban Sector Assessment, Strategy and Road Map, Asian Development Bank.
10. Hazard Profile of Myanmar, Jointly prepared by, Department of Meteorology and Hydrology,
Forest Department, Relief and resettlement Department, Irrigation Department, Fire
Services Department (of Union of Myanmar), Myanmar Engineering Society (MES), Myanmar
Geosciences Society (MGS), Myanmar Information Management Unit (MIMU), Asian Disaster
Preparedness Centre and Supported by Department of International Development (DFID),
United Kingdom.
11. Effective strategies for sustainable urban transport – Policy options for national and local governments – UN Habitat.
12. Shanghai Manual – A Guide for Sustainable Urban Development in the 21st Century – Chapter
4 – Sustainable Urban Transport, UN Habitat (Source:
http://www.un.org/esa/dsd/susdevtopics/sdt_pdfs/shanghaimanual/Chapter%204%20‐
%20Sustainable%20urban%20transport.pdf)
13. Sustainable Urban Transport System – An Overview, UN ESCAP
14. The Evolution of National Urban Policies, A Global Overview, UN Habitat.
15. Melbourne’s North – the New knowledge Economy written by Northern Melbourne Area
Consultative Sub Committee
Source: http://www.rdv.vic.gov.au/__data/assets/pdf_file/0007/1147867/Melbournes‐
North‐the‐new‐knowledge‐economy.pdf
16. Urban Design Compendium by English Partnerships and The Housing Corporation.
17. DESINGING OUR CITY, Planning for Sustainable Singapore.
18. The Preservation of Urban Heritage in Cambodia, UNESCO, 2006.
154
19. Liveable Cities, The Benefits of Urban Environmental Planning by Cities Alliance, Local
Governments for Sustainability and UNEP. 2007.
20. SHAPING LIVABLE CITIES, Stories of Progress Around the World by IDRC, CRDI.
21. LIVABILITY LITERATURE REVIEW: A SYNTHESIS OF CURRENT PRACTICE, US Department of
Transportation, Federal Highway Administration.
22. Open Space Strategy, Planning for Future Growth, City of Melbourne.
23. Planning, Connecting and Financing Cities – Now, Priorities for City Leaders, World Bank
2103 (Source: http://siteresources.worldbank.org/EXTSDNET/Resources/Urbanization‐
Planning‐Connecting‐Financing‐2013.pdf)
24. Developing Sustainable and Inclusive Urban Infrastructure Services: A Guidebook for Project
Implementers and Policy Makers in India, Chapter 6 ‐ Urban Infrastructure Financing. (PDF
copy downloadable free of charge – Source: www.urbaninfrastructureindia.org/pdf/0b‐Front
Matter_web.pdf)
25. Urban Renewal Guidebook 2014, KPMG (Down loadable free of charge – (Source:
https:www.claytonutz.com/docs/urban_renewal_guidebook_2014.pdf)
26. Financing Urban Infrastructure, innovative financial instruments for cities, published by KfW
Bankengruppe, Palmengartenstraße 5‐9, 60325 Frankfurt am Main, Germany (PDF copy
downloadable free of charge – Source: http://www.afdb‐jaloulayed2015.org/wp‐
content/uploads/2015/04/Financing‐Urban‐Infrastructure.pdf)
27. Financing Green Urban Infrastructure, OECD Regional Development Working Papers, 2012/10 (PDF copy down loadable free of charge - www.oecd.org/gov/regional...Financing_Green_Urban_Infrastructure.pdf)
155
ANNEX 3: List of handouts
1. History of Cities and City Planning, by Cliff Ellis
2. A short history of urban planning (Source: www.utexas.edu/depts/grg/adams/307c/plan‐
history.ppt
3. Cities as Engines of National Economic Development – Prepared by Hemantha K. Jayasundera
4. Catalyzing 21st Century Growth: The Role of Innovative Cities, Power Point Presentation – by
Shahid Yusuf, Economic Advisor, World Bank Institute
5. Introduction to Urban Management ‐ Prepared by Hemantha K. Jayasundera.
6. Doing Business Index, 2015 and 2016, World Bank.
7. City Competitive Index (CCI) ‐ Scoring Template
8 Competitive Governance Index (CGI) ‐ Scoring Template
9. Comprehensive Urban Development Plan – Prerequisite One, Prepared by Hemantha K.
Jayasundera.
10. Strategic Urban Planning – A Different Meaning, Wikipedia.
11. Importance of Data Analysis ‐ http://www.migindia.biz/data.html
12. Situation Analysis ‐ Check List for Data Collection, Prepared by Hemantha K. Jayasundera
13. Land use planning and natural hazard mitigation. (Source: Natural Hazard Mitigation Insights (A
publication of the Institute of Business and Home Safety, October 1998.
14. Land use and disaster management (Power Point Presentation) –Source:
https://training.fema.gov/hiedu/docs/paem/pa&em_session_9[1].pptx
15. Cities in USA. Situation related to natural disasters. Source:
slideshare.net/PennUrbanResearch/naturl‐disaster‐and‐land‐use‐planning
16. Introduction to transport planning
17. Seven Principles for Transit – Oriented Development, The City Fix
18. Vision development and SWOT analysis, prepared by Hemantha K. Jayasundera. (This will be
used for group work)
19. Public Policy – Wikipedia
20. City Cluster Development – Toward Urban‐led Development Strategy for Asia – Executive
Summary, Asian Development Bank
21 Executive Report, Melbourne’s North – the New knowledge Economy written by Northern
Melbourne Area Consultative Sub Committee (Source:
http://www.rdv.vic.gov.au/__data/assets/pdf_file/0007/1147867/Melbournes‐North‐the‐new‐
knowledge‐economy.pdf)
22. Chapter One (The Fundamentals) of the Urban Design Compendium (English Partnerships and
The Housing Corporation.
23. Creating places for people, Power point presentation made by Sara Stace, at the 4th
international urban design conference held in Gold Coast on 22nd September 2011
24. Liveable Cities, Introduction, Hemantha K. Jayasundera.
25. Executive Summary of the book “Liveable Cities, The Benefits of Urban Environmental Planning”
by Cities Alliance, Local Governments for Sustainability and UNEP. 2007.
26. Strategy Implementation: Six Supporting Factors by Bill Birnbaum.
27. Urban Services Business Operation Plan, Hemantha Jayasundera
156
ANNEX 4: Information to be brought by the participants
Participants will need to be notified of this requirement by the Trainer at least three weeks before
the training starts. It should be coordinated through the Local Field Coordinator to make sure that
no duplication will happen and every participant will be responsible for bringing one item.
City land use plan
Urban development plan for the city, if available
Population growth during the last 20 years
City map indicating land ownership
City map indicating the heritage buildings
A copy of the latest budget of the local authority
A list of major infrastructure projects together with funding sources
Information about annual tourist arrivals (for the last 5 years)
Information about main economic activities of the city
Information about land value appreciation during the last 10 years by zones
Historical information about the city during 1950s. (Photographs, maps, population
information, social life etc.)
Information about city development strategies
List of key issues that the city faces
List of key institutions / stakeholders involved in urban planning / financing
Legal framework (i.e. Acts / Ordinances) related to urban development
Any project proposals or plans developed by international institutions (i.e. ADB, World Bank,
JICA)
Participants should be prepared to share their own experiences, knowledge, proposals, ideas etc.
with other participants during the programme, related to urban planning.
157
ANNEX 5: Checklist of Equipment and Materials
Materials to be brought to the course by the trainer
Training Module (Trainer’s Pack)
Training Module (Participant’s Pack / Trainees KIT) – one for each participant. It is better to
produce this in a bound document format and should consist of the programme, reading
materials, a copy of the power point presentations and recommended reference material (in
a digital form) for distribution among the participants during the session one.
Colour marker pens for use by participants (6 each black, blue, green and red). These can be
with permanent or non‐permanent ink.
Colour marker pens for the use by trainer (6 each black, blue, green and red). These should
have non‐permanent ink.
Flip chart paper (at least 20 sheets of A1)
Pen Drive – 64 GB (16 is manageable)
External hard drive (having all the information related to this module stored as a backup)
Power point presentations for all the relevant sessions (in addition to the file on the computer,
two extra copies in a memory stick and external hard drive)
Site visit ‐ detailed programme (time table and description of activities to be carried out by
participants)
Evaluation sheets (hard copies) for participants to fill in.
Beamer
Digital camera
City maps (showing land use, infrastructure etc)
Venue:
Air conditioned space to accommodate 25 ‐ 30 people. (Check the AC in a good working order)
Adequate lights
Furniture – 25 – 30 chairs (built in facilities for writing), arranged in a semi circular way, provide
adequate space for the trainer to move through and reach every participant. 7 tables for the
use of group work.
Table and a chair for the trainer
Space and furniture (Table) for refreshments and lunch.
Adequate and clean wash rooms.
The venue should be easily accessible.
158
Equipment:
Lap top computer
Multimedia projector
Digital camera
Screen
Beamer
White Board
Flip Chart
Consumables for 25 – 30 participants:
Colour pens, pencils, marker pens
Butter sheets
City maps
Note books
Sticky tapes
Writing papers (Half Sheets)
Field pads
Flip chart pads (preferably with grid lines)
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ANNEX 6: Training materials to be used
PowerPoint
presentations
These are to be found in the “PowerPoints” folder.
These will be used by the trainer at the start of the sessions before
entering into discussions or exercises. PowerPoints should be 20‐40
minutes in length (assuming there are no questions or discussions).
Handouts These are all to be found in the “Handouts” folder.
The handouts include readings which are intended to save participants
from the difficulty of trying to download them from the web, given the
poor connectivity in all project cities and towns. They will be distributed
at the end of a session.
Where readings will be useful in carrying out an exercise they should be
handed out a day or more in advance.
Exercises Other handouts are instructions on how to carry out exercises. These are
to be found in the “Exercises” folder.
The trainer will distribute these at the start of the session in which the
exercise will be carried out and read through the instructions with the
participants. Participants will be encouraged to ask for clarification on
any points that are unclear to them. It is essential that participants are
clear about what they have to do.
A specific exercise is the site visit. This handout should be distributed at
the beginning of the site visit and the instructions explained. This could
be done in the bus on the way to the site or at the site itself. In the latter
case apologise and ask the guide to be patient; s/he will probably also be
interested to know what the participants will be doing during the visit.
Videos These are to be found in the “Videos” folder. The trainer will use them as
cases of best practices to illustrate how concepts are used in different
situations. Participants will be asked to comment on their relevance, and
lessons learnt from those experiences.
Evaluation
questionnaire
This appears in Annex 1, accompanied by instructions for their use.
Questionnaires will be distributed by the trainer at the start of the
session and collected by him / her afterwards. They will then be
submitted to the Team Leader who will pass them to the project’s
Quality Control Specialist.
The Quality Control Specialist will carry out focus group discussions with
participants from randomly selected workshops at the end of those
workshops. The results will be conveyed to the respective trainers.
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ANNEX 7: Training methods to be employed
Trainers’
PowerPoint
presentations
These are used in sessions 1 to 12. The purpose is to introduce
participants to a topic and impart knowledge. PowerPoints are always
followed by an opportunity to ask questions, either for clarification to
discuss and critically analyse what been presented. The trainer should
encourage this. Participants must be provided information but should
also be encouraged to question before accepting that knowledge. This
will help put the participants in the frame of mind to question existing
practice later in the workshop.
New information cannot be absorbed for longer than about 30 minutes
at a time. It is important, therefore, to limit PowerPoint presentations to
that time or, if they are longer, to break them up with periods of
discussion.
Participants’
individual verbal
presentations
This takes place in session 1 only. Other presentations take place in
connection with the group exercises but this is the only session with
individual presentations.
1. The presentations are brief self‐introductions by the participants
(which should be useful to the trainer who may wish to note names) as
well as an explanation of their interest in or work experience related to
SUP. This should also be noted by the trainer because: (a) it will give him
/her an idea of participants’ level of experience and knowledge and (b)
where a participant has experience in a particular area of relevance to
the workshop s/he can be called upon later to share that experience (e.g.
in a 5 minute presentation at a time the trainer considers it appropriate
or as an informed input during a discussion).
Note: the trainer may wish to ask participants to write their names (and
departments) on cards to be placed in front of them when they are
seated so that the trainer can learn their names.
2. This is also an opportunity for participants to say what they expect
from the training. If these expectations differ significantly from the
training objectives the trainer should say so. It is also an opportunity for
the trainer to bear these expectations in mind when facilitating the
training. This does not mean that the trainer should change the
programme but that s/he can emphasise certain points, add some detail
or start a discussion if some participants have expressed an interest in
that area.
Site Visit The site visit takes place in sessions 13, as input for the exercise. The
purpose is to take participants out of the classroom and into a real
situation to see how the subject matter they have been introduced to in
class can be applied in practice. It is in a way a test of what has been
taught. However, it is also an opportunity to question current practices
with improved alternatives.
It has to be made clear to participants by the trainer at the start of the
visit that they are there to work and do research as an input into the
group exercise which follows.
161
The guide on the site visit should be invited to the presentations which
participants make at the end of their group exercises so that they can
participate in the discussion.; this will enrich the discussion and hopefully
provide the guide with ideas to take back to the infrastructure facility
with her / him. Of course, guides may not have the time to participate in
this part of the programme and this will be respected.
Group exercises Exercises aim to have participants address a particular issue and apply
their experience and newly acquired knowledge to it. In this workshop, 2
exercises will take place:
Session 8 – group exercise for vision formulation and SWOT analysis;
Session 13‐14‐15 – the exercise linked to the site visit for problem
identification and project formulation.
There are handouts for each of the group exercises.
Exercises should be introduced and explained by the trainer before they
start and the appropriate handout distributed. Participants must be clear
about what they are expected to do so questions should be invited.
All exercises will be presented by each group for discussion. The purpose
of this is to bring the collective knowledge and analysis of other
participants and the trainer to bear on the presentation so that
conclusions are enriched. For this reason rapporteurs of each exercise
group must be told to record the comments received during discussions
of the presentations. Rapporteurs must give the flip charts and any other
presentation materials together with the comments received on their
presentations to the trainer. It is important that the trainer pay attention
to this.
Guided discussion
and brainstorming
These are used as part of all sessions, with the exception of the group
exercises. After every lecture, the trainer will ask questions and stimulate
discussion to guide the trainees to a particular point. During a structured
discussion, the trainer poses a question to a group that has to consider
and to provide feedback on.
During a brainstorming, the trainer launches a topic for discussion. The
topic/question is written in the end of the PPT presentation. The
participants should be able to think more freely and move into new areas
of thought and so to create numerous new ideas and solutions.
These will allow trainees to interact on with the trainer and with each
other, enabling every participant to voice different ideas and bounce
them over another.
Case Studies/Videos Case studies provide trainees with a chance to analyse and discuss real
workplace issues. These will be used in sessions 2, 6, 7, 10, 11 to develop
analytical and problem‐solving skills, and provide practical illustrations of
principle or theory. Their presentations is either incorporated in the PPT
presentation, or as a separate video to be watched by the participants. In
both cases, participants will be asked to identifiy relevant issues for their
own experience and lessons to be learnt.
162
ADVANCED PARTICIPANTS’ PACK
Asian Development Bank (ADB)
Republic of the Union of Myanmar
TA-8456: Transformation of Urban Management - Part I
Capacity Building for Urban Management
Strategic Urban Planning Training Module Handbook
(Advanced)
April 2016
United Nations Human Settlements Programme (UN-Habitat)
163
Foreword
This Participant’s Handbook has been developed by the ADB‐CDTA‐8456 project: Transformation of
Urban Management ‐ Part I, Capacity Building for Urban Management, with financial support from the
Asian Development Bank. It intends to facilitate those public sector professionals in the cities of
Myanmar who will be dealing with strategic urban planning in the coming years. In particular, the
authors took a practical approach in the design of this handbook, so that it aids municipal staff to
apply strategic planning instrument in the process of urban management.
This Participant’s Handbook incorporates the peer comments from the team of the Institute for
Housing and Urban Development Studies. The authors based the contents of this course on the
standards developed internationally and by governments/ donors, with a clear focus on applicability
to the context in Myanmar.
164
Table of Contents
1. Introduction to the Module 4
1.1 Training Objectives 4
1.2 Target Group 4
1.3 Overall Concept and Methodology 5
2. Module Structure 7
3. Session Contents 8
4. Session Details 14
ANNEX 1: Course evaluation 23
ANNEX 2: Recommended readings 30
ANNEX 3: Information to be brought by the participants 32
ANNEX 4: Checklist of Equipment and Materials 33
ANNEX 5: Training materials to be used 35
ANNEX 6: Training methods to be employed 36
165
1. Introduction to the Module
1.1. Training Objectives
For governments in the developing world, the challenge is to ensure that cities are planned to facilitate
economic growth and sustainable development. Urban planning has moved away from
comprehensive master plans and controlling spatial development, to more flexible strategic plans and
visions. Strategic planning integrates the physical and spatial dimensions of planning with the social
and economic dimensions. It focuses on creating synergies among development actors, and aims to
build on the potential of existing initiatives and ongoing activities in the development of cities.
To ensure implementation, urban managers, planners and architects need to translate strategies and
visions into a range of concrete action plans; these need the commitment of politicians, funding
agencies and other stakeholders. Urban managers, planners and architects need to become
acquainted with integrated strategic plans which are feasible to be implemented even in the
challenging circumstances of the contemporary world, such as rapidly growing cities with informal
housing, social deprivation and economic decline and changing climatic circumstances.
The overall learning objective of the course is for participants to be able to apply tools related to
designing, developing, presenting and implementing visions, strategies and projects that integrate
social, environmental, economic, spatial, financial and institutional components of urban plans.
After completing the course, participants should be able to:
Describe how a city functions from a social, environmental, economic, spatial, financial and
institutional perspective;
Apply tools that help to translate the multidimensional potentials of a city/ urban region into
development objectives and a vision of what the city should and could become;
Apply tools to develop and design concrete plans and projects for the city;
Discuss, present and integrate work from different teams and disciplines.
1.2. Target Group
This 4 day course targets government officials, and executive staff at local government level in
Myanmar, with responsibilities in spatial and investment planning. It also targets members of the
academic or development community involved in providing support/advisory services to
governments’ departments involved in urban planning – architects and planners, urban designers,
economists, engineers, sociologists, etc. to ensure the simulation of a multi‐disciplinary and multi‐
actor planning process for the cities in Myanmar.
1.3. Overall Concept and Methodology
The training will employ a mixture of lectures, guided discussions and group work. The training will be
case‐based, so as to maximize the applicability of the training to the participants. While the basic
166
module has introduced the planning theory and strategic planning concepts, the advanced module
will work on a real life situation /a local case study, replicating the reality of the planning process, in a
strategic, integrating approach.
The module is designed as an interactive learning environment, which facilitates the transition from
lower levels of cognition like assimilation of knowledge, to higher levels such as application and
analysis. Thus the module will consist of the following main steps:
Step Theme Key Areas
Step 1 Strategic planning principles and
methodology
The module will start with a review of strategic
planning theory, with focus on principles and
planning methodologies and techniques.
Step 2 Application / Practice A case based exercise will simulate the strategic
planning process. The trainer will select a case
study in Myanmar, which is considered relevant
for the other cities.
Note: Based on their urban complexity, the
cities of Yangon or Mandalay are recommended
for the exercise.
For the success of the case‐based exercise, the
participants will bring background information
on the current situation (maps, statistical data,
existing development reports and planning
documents which are available at the moment
of course implementation).
Participants will be required to work in thematic
groups – economic development, housing and
social infrastructure, transport and utilities, and
urban environment, for formulating strategic
objectives, programs and projects for the
particular case study.
Step 3 Integration and synthesis The result of the case based exercise will
integrate the sectoral aspects and will conclude
the simulation of the planning process.
The pedagogic methods applied in the training to translate cognitive elements are listed below:
Cognitive Element Pedagogic Methods Used in the Module
167
Knowledge and
Understanding
Presentation on concepts, approaches and real life examples
Interactive questions & answers sessions
Application Discussion of case study
Group work
Synthesis Group work
Presentation of results/conclusions of the group work
Feed back from the trainer and the participants
Evaluation Evaluation by participants
Self evaluation and
Peer Evaluation
168
2. Module structure
Day 1: Strategic planning methodology and practice
Time Session Title of Session
9.00 – 10.30 Session 1.1 Opening Session
10.30‐11.00 Break
11.00‐12.30 Session 1.2 Strategic planning – principles and methodology
12.30‐13.30 Lunch
13.30‐15.00 Session 1.3 Planning in Myanmar – current situation and challenges
15.00‐15.30 Break
15.30‐17.00 Session 1.4 Yangon/Mandalay case study – introduction to the planning exercise
Day 2: City profile, visioning and strategic objectives
Time Session Title of Session
9.00 – 10.30 Session 2.1 Situation analysis – Researching and assembling a city profile
10.30‐11.00 Break
11.00‐12.30 Session 2.2 Group work on urban profiling
12.30‐13.30 Lunch
13.30‐15.00 Session 2.3 Group work on urban profiling
15.00‐15.30 Break
15.30‐17.00 Session 2.4 Visioning and strategic objectives
Day 3: Programs and projects
Time Session Title of Session
9.00 – 10.30 Session 3.1 Visioning and strategic objectives exercise
10.30‐11.00 Break
11.00‐12.30 Session 3.2 Formulating programs and projects
12.30‐13.30 Lunch
13.30‐15.00 Session 3.3 Projects formulation exercise
15.00‐15.30 Break
15.30‐17.00 Session 3.4 Projects prioritization exercise
Day 4: Group work results and final conclusions
Time Session Title of Session
9.00 – 10.30 Session 4.1 Project implementation exercise – Project Fiche
10.30‐11.00 Break
11.00‐12.30 Session 4.2 Preparation for final presentation
12.30‐13.30 Lunch
13.30‐15.00 Session 4.3 Presentation of group work results
15.00‐15.30 Break
15.30‐17.00 Session 4.4 Conclusions of the course Evaluation and closing
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3. Session contents
Day 1: Strategic planning methodology and practice
Session title Duration Content /key words Objectives Nature of training activities
1.1. Opening session ‐ Introduction to the program
90’ Welcome the participants to the course
Participants introduce themselves and explain their interest/work experience related to the course
Understand participants’ expectations of the training
Introduce the background, objectives, content and schedule of the workshop, training methodology employed and reading materials
Review the basic concepts learnt during the basic module
Participants should be able to:
Have an understanding of each other and what they expect from the training program
Be aware of the training objectives, program, and methodology
Interactive session with guided discussion
1.2. Strategic planning – principles and practices
90’ Challenges and shortcomings
What do we need planning to achieve?
Advantages and disadvantages of strategic planning, different approaches
Forms: Integrated planning, strategic planning, city development strategies
Tools related to designing, developing, presenting and implementing strategies
Participants should be able to:
Discuss the challenges and failures faced in planning practices
Discuss and understand the trends in thinking on approaches to strategic planning
Define strategic planning, explain the concept, and identify different methodologies
Distinguish key characteristics of a strategic planning process
Lecture and interactive session with guided discussion
170
1.3. Planning in Myanmar – current situation and challenges
90’ Urban planning – legal framework in Myanmar
Planning documents and city development strategies
Participants should be able to:
Describe the legal framework for planning in Myanmar, as well as the guidelines and regulations they work with during the planning process
Discuss challenges they face at local level when developing planning documents
Identify opportunities and constraints in developing strategic plans for cities in Myanmar
Guided discussion
1.4. Yangon/ Mandalay case study – introduction to the planning exercise
90’ Introduction to Yangon/ Mandalay case study
Objectives and steps of the exercise
Participants should be able to: • Discuss the objectives and steps of
the exercise
Lecture and interactive session with guided discussion
Day 2: City profile, visioning and strategic objectives
Session title Duration Content /key words Objectives Nature of training activities
2.1. Situation analysis – Researching and assembling a city profile
90’ Existing situation and trends,
Key themes in strategic planning: economics, social problems, public utilities, transport, environment, services, etc.
Participants should be able to:
Understand the role of the city profile in a strategic/ integrated planning process
Identify the key elements of a city’s profile
Replicate the process of accessing and analysing data in making a city profile (how to’s)
Deliberate on why stakeholder analysis is an essential kick off to the city profile
Lecture and interactive session with guided discussion
171
Understand the importance of involving stakeholders in different periods of the planning process
Use the SWOT analysis as a key tool for the identification of internal aspects – strengths and weaknesses and external aspects – threats and opportunities
2.2 – 2.3 Group work on urban profiling
180’ Key stakeholders, decision makers, vulnerable groups, consultation, partnership
Key themes, identifying indicators, collecting raw data, making links between data, analysing and presenting data
SWOT as a way of prioritizing issues found in the city profile
Participants should be able to:
Search for and collect information and data for the themes assigned to different groups
Identify the key stakeholders involved in developing the city strategy, their interests, roles and responsibilities
Use the SWOT analysis as a key tool for the identification of internal aspects – strengths and weaknesses and external aspects – threats and opportunities
Group work
2.4. Visioning and strategic objectives
90’ Visioning, strategic development goals, potential for development
Different terms used
Instructions for formulation
Participants should be able to:
Understand the importance of a vision as a driving force for the integrated planning process and as basis for strategic objectives
Formulate a vision and strategic goals
Discuss elements of formulating a city vision and strategic goals, highlighted in selected case studies
Lecture and interactive session with guided discussion
172
Day 3: Programs and projects
Session title Duration Content /key words Objectives Nature of training activities
3.1. Visioning and strategic objectives exercise
90’ Visioning as building block for strategic development objective
Writing a strategic development objective
Participants should be able to:
Discuss and revise the existing city vision, according to the themes assigned
Formulate a strategic development objective related to the themes assigned
Group work
3.2. Formulating programs and projects
90’ Project making and programming; how to’s
Application of concepts and practices
Participants should be able to:
Understand how to “translate” the vision / SDGs into programmes and projects, as short action tools of measures
Understand the process of identifying and prioritizing the projects, deciding on methods and tools for selection
Make use of instruments such as Linkage Analysis and Goal Achievement Matrix in the prioritization process
Lecture and interactive session with guided discussion
3.3. Project formulation exercise
90’ Translating vision and strategic objectives per group into programmes and projects
Detailing key elements of projects
Locating projects on maps
Participants should be able to:
Detail a series of projects related to each theme and to the SDGs set
Locate these projects spatially in the city
Group work
173
Positive linkages between projects, possible negative impacts of projects on each other
Determine the geographic linkages between projects
Assess the key positive and negative relations between projects, as a step to prioritizing and choosing the projects that will be implemented
3.4. Project prioritization exercise – Goal Achievement Matrix
90’ Designing project assessment criteria
Feasibility and impact of projects
Participants should be able to:
Design their own GAM
Test feasibility of projects (with possible modifications)
Prioritise and choose projects for implementation
Understand the benefit of using GAM as an impact analysis tool – to see whether the plan or project is likely to be implemented and what will then happen if the plan is implemented
Group work
Day 4: Group work results and final conclusions
Session title Duration Content /key words Objectives Nature of training activities
4.1. Project implementation exercise – Project fiche
90’ Project objectives, target groups, project activities and expected results
Performance indicators
Potential project risks and mitigation measures
Institutional arrangements
Participants should be able to:
Formulate project objectives, target groups, project activities and expected results
Evaluate project components
Identify performance indicators to measure results
Determine institutional arrangements necessary for project implementation, monitoring and evaluation
Group work
174
4.2. Preparation for final presentation
90’
Final presentation
Integrated planning process
Participants should be able to:
Prepare the results of the group work during the exercise for the final presentation
Group work
4.3. Presentation of group work results
90’ Integrated SWOT and stakeholders analysis
Development vision, development objectives
Programs and projects
Priority projects and project fiche
Participants should be able to:
Make a final presentation of the strategic plan and receive feedback from the trainer and other participants
Plenary presentations of the integrated group and the thematic groups
4.4. Conclusions of the course/ Evaluation and closing
90’ Conclusions, next steps Participants should be able to:
Discuss the course conclusions and its impact on their future work;
Provide feedback on the course;
Evaluate the course
• Feedback on the course ‐ interactive session with questions and answers
Course evaluation
175
4. Session details
Day 1: Strategic planning methodology and practice
Session 1.1. Opening session ‐ Introduction to the program
Duration 90 minutes
Objectives Participants should be able to:
Have an understanding of each other and what they expect from the
training program
Be aware of the training objectives, program, and methodology
Content /
key words
Welcome the participants to the course
Participants introduce themselves and explain their interest/work
experience related to the course
Understand participants’ expectations of the training
Introduce the background, objectives, content and schedule of the
workshop, training methodology employed and reading materials
Review the basic concepts learnt during the basic module
Nature of the
session
Interactive session with guided discussion 90 minutes
Recommended
readings
Training materials of the basic module
Attached Participants’ handbook to be distributed
Session 1.2. Strategic planning – principles and practices
Duration 90 minutes
Objectives Participants should be able to:
Discuss the challenges and failures faced in planning practices
Discuss and understand the trends in thinking on approaches to strategic
planning
Define strategic planning, explain the concept, and identify different
methodologies
Distinguish key characteristics of a strategic planning process
Content /
key words
Challenges and shortcomings
What do we need planning to achieve?
Advantages and disadvantages of strategic planning, different approaches
Forms: Integrated planning, strategic planning, city development
strategies
Tools related to designing, developing, presenting and implementing
strategies
Nature of the
session
Lecture and interactive session with guided
discussion
90 minutes
176
Recommended
readings
EU RED Practical Guidelines, 2004. Strategy Building Process, Bosnia
Herzegovina
Cities Alliance, 2006. Guide to City Development Strategies ‐ Improving
Urban Performance, Washington D.C., USA
Davidson, F. 2006. Development planning: balancing demands between
performance and capacity ‐ A personal view, IHS Rotterdam
Albrechts, L., 2004. Strategic (spatial) planning re‐examined. Environment
and Planning B: Planning and Design, 31, pp. 743‐758
Van den Broek, J., 2004. Strategic structure planning. In: Verschure, H.
and Tuts, R. eds., 2004. Urban Trialogues. Nairobi: UN‐Habitat. Available
at:
http://ww2.unhabitat.org/programmes/agenda21/documents/urban_tria
logues/StratStructPlanning.pdf.
Urhahn Urban Design, 2010. Manifesto for the Spontaneous City. Available
at:
http://www.ifhp.org/sites/default/files/staff/general/SC_Manifesto.pdf
Attached PowerPoint presentation: Strategic planning – principles and practices
Session 1.3. Planning in Myanmar – current situation and challenges
Duration 90 minutes
Objectives Participants should be able to:
Describe the legal framework for planning in Myanmar, as well as the
guidelines and regulations they work with during the planning process
Discuss challenges they face at local level when developing planning
documents
Identify opportunities and constraints in developing strategic plans for
cities in Myanmar
Content /
key words
Urban planning – legal framework in Myanmar
Planning documents and city development strategies
Nature of the
session
Guided discussion: How is the process of urban
planning organized in Myanmar? What are the
problems identified? What are the needs for future
improvement?
90 minutes
Recommended
readings
Existing legislation and case studies ‐ planning documents in different cities in
Myanmar (to be provided by the participants)
Attached Existing legislation and case studies ‐ planning documents in different cities in
Myanmar (to be provided by the participants)
177
Session 1.4. Yangon/Mandalay case study – introduction to the planning exercise
Duration 90 minutes
Objectives Participants should be able to:
Discuss the objectives and steps of the exercise
Content /
key words
Introduction to Yangon/Mandalay case study
Objectives and steps of the exercise
Nature of the
session
PowerPoint presentations on the exercise
framework and Yangon/Mandalay case
Interactive session with questions and answers on
the exercise steps
Organization of working groups and distribution of
background materials
30 minutes
30 minutes
30 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached PowerPoint presentation: Yangon/Mandalay case study – introduction to the
planning exercise
Background documents on Yangon/Mandalay (to be provided by the
participants)
178
Day 2: City profile, visioning and strategic objectives
Session 2.1. Situation analysis – Researching and assembling a city profile
Duration 90 minutes
Objectives Participants should be able to:
Understand the role of the city profile in a strategic/ integrated planning
process
Identify the key elements of a city’s profile
Replicate the process of accessing and analysing data in making a city
profile (how to’s)
Deliberate on why stakeholder analysis is an essential kick off to the city
profile
Understand the importance of involving stakeholders in different periods
of the planning process
Use the SWOT analysis as a key tool for the identification of internal
aspects – strengths and weaknesses and external aspects – threats and
opportunities
Content /
key words
Existing situation and trends,
Key themes in strategic planning: economics, social problems, public
utilities, transport, environment, services, etc.
Nature of the
session
Lecture and interactive session with guided
discussion
90 minutes
Recommended
readings
EU RED Practical Guidelines, 2004. Strategy Building Process, Bosnia
Herzegovina
Cities Alliance, 2006. Guide to City Development Strategies ‐ Improving
Urban Performance, Washington D.C., USA
Attached PowerPoint presentation: Researching and assembling a city profile
Session 2.2 – 2.3 Group work on urban profiling
Duration 180 minutes
Objectives Participants should be able to:
Search for and collect information and data for the themes assigned to
different groups
Identify the key stakeholders involved in developing the city strategy,
their interests, roles and responsibilities
Use the SWOT analysis as a key tool for the identification of internal
aspects – strengths and weaknesses and external aspects – threats and
opportunities
Content /
key words
Key stakeholders, decision makers, vulnerable groups, consultation,
partnership
Key themes, identifying indicators, collecting raw data, making links
between data, analysing and presenting data
179
SWOT as a way of prioritizing issues found in the city profile
Nature of the
session
Group work 180 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached Instructions to exercise 2
Session 2.4. Visioning and strategic objectives
Duration 90 minutes
Objectives Participants should be able to:
Understand the importance of a vision as a driving force for the
integrated planning process and as basis for strategic objectives
Formulate a vision and strategic goals
Discuss elements of formulating a city vision and strategic goals,
highlighted in selected case studies
Content /
key words
Visioning, strategic development goals, potential for development
Different terms used
Instructions for formulation
Nature of the
session
Lecture and interactive session with guided
discussion
Recommended
readings
D’hondt, F. n.d. “VISIONING AS PARTICIPATORY PLANNING TOOL
LEARNING FROM KOSOVO PRACTICES.” UN Habitat
Andre, I., Baert, T. et all. (2011) Cities of tomorrow ‐ Challenges, visions,
ways forward. European Commission (Directorate General for Regional
Policy
Van Cutsem, M. (2010) Cities of tomorrow ‐ Challenges, visions, dys‐
visions as seen by cities. European Commission (Directorate General for
Regional Policy)
Attached PowerPoint presentation: Visioning and strategic objectives
180
Day 3: Programs and projects
Session 3.1. Visioning and strategic objectives exercise
Duration 90 minutes
Objectives Participants should be able to:
Discuss and revise the existing city vision, according to the themes
assigned
Formulate a strategic development objective related to the themes
assigned
Content /
key words
Visioning as building block for strategic development objective
Writing a strategic development objective
Nature of the
session
Group work 90 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached Instructions to exercise 3.1
Session 3.2. Formulating programs and projects
Duration 90 minutes
Objectives Participants should be able to:
Understand how to “translate” the vision / SDGs into programmes and
projects, as short action tools of measures
Understand the process of identifying and prioritizing the projects,
deciding on methods and tools for selection
Make use of instruments such as Linkage Analysis and Goal Achievement
Matrix in the prioritization process
Content /
key words
Project making and programming; how to’s
Application of concepts and practices
Nature of the
session
Lecture and interactive session with guided
discussion
90 minutes
Recommended
readings
EU RED Practical Guidelines, 2004. Strategy Building Process, Bosnia
Herzegovina
Cities Alliance, 2006. Guide to City Development Strategies ‐ Improving
Urban Performance, Washington D.C., USA
Attached PowerPoint presentation: Formulating programs and projects
Session 3.3. Project formulation exercise
181
Duration 90 minutes
Objectives Participants should be able to:
Detail a series of projects related to each theme and to the SDGs set
Locate these projects spatially in the city
Determine the geographic linkages between projects
Assess the key positive and negative relations between projects, as a step
to prioritizing and choosing the projects that will be implemented
Content /
key words
Translating vision and strategic objectives per group into programmes
and projects
Detailing key elements of projects
Locating projects on maps
Positive linkages between projects, possible negative impacts of projects
on each other
Nature of the
session
Group work 90 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached Instructions to exercise 3.3
Session 3.4. Project prioritization exercise – Goal Achievement Matrix
Duration 90 minutes
Objectives Participants should be able to:
Design their own GAM
Test feasibility of projects (with possible modifications)
Prioritise and choose projects for implementation
Understand the benefit of using GAM as an impact analysis tool – to see
whether the plan or project is likely to be implemented and what will
then happen if the plan is implemented
Content /
key words
Designing project assessment criteria
Feasibility and impact of projects
Nature of the
session
Group work 90 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached Instructions to exercise 3.4
182
Day 4: Group work results and final conclusions
Session 4.1. Project implementation exercise – Project fiche
Duration 90 minutes
Objectives Participants should be able to:
Formulate project objectives, target groups, project activities and
expected results
Evaluate project components
Identify performance indicators to measure results
Determine institutional arrangements necessary for project
implementation, monitoring and evaluation
Content /
key words
Project objectives, target groups, project activities and expected results
Performance indicators
Potential project risks and mitigation measures
Institutional arrangements
Nature of the
session
Group work 90 minutes
Recommended
readings
Background documents on Yangon/Mandalay (to be provided by the
participants)
Attached Instructions to exercise 4.1
Session 4.2. Preparation for final presentation
Duration 90 minutes
Objectives Participants should be able to:
Prepare the results of the group work during the exercise for the final
presentation
Content /
key words
Final presentation
Integrated planning process
Nature of the
session
Group work 90 minutes
Recommended
readings
‐
Attached Instructions to exercise 4.2
Session 4.3. Presentation of group work results
Duration 90 minutes
Objectives Participants should be able to:
Make a final presentation of the strategic plan and receive feedback from
the trainer and other participants
Content /
key words
Integrated SWOT and stakeholders analysis
Development vision, development objectives
183
Programs and projects
Priority projects and project fiche
Nature of the
session
Plenary presentations of the integrated group and the
thematic groups:
1. Integration group: Integrated SWOT analysis,
stakeholders analysis and city development vision
2. Group 1: Strategic objective, list of programs and
projects, priority projects and project fiche for
economic development
3. Group 2: Strategic objective, list of programs and
projects, priority projects and project fiche for
housing and social infrastructure
4. Group 3: Strategic objective, list of programs and
projects, priority projects and project fiche for
transport and public utilities
5. Group 4: Strategic objective, list of programs and
projects, priority projects and project fiche for urban
environment
Discussions and feedback from the target groups
representatives
60 minutes
30 minutes
Recommended
readings
‐
Attached PowerPoint presentations of the 4 groups and the integration group
Session 4.4. Conclusions of the course/ Evaluation and closing
Duration 90 minutes
Objectives Participants should be able to:
• Discuss the course conclusions and its impact on their future work;
• Provide feedback on the course;
Evaluate the course
Content /
key words
Conclusions, next steps
Nature of the
session
• Feedback on the course ‐ interactive session with
questions and answers
Course evaluation
45 minutes
45 minutes
Recommended
readings
‐
Attached Evaluation form
184
ANNEX 1: Course evaluation
The evaluation is in two parts:
Part 1. Overall evaluation of the course
Part 2. Evaluation of individual sessions
You are required to complete both parts and submit the completed form to the Course Coordinator
during the concluding session (session 4.4).
For Part Two please use the matrix given below to rank each of the sessions.
0 is lowest in value and 5 is the highest. For example, if you found the session extremely useful you
can tick 5 in the row named “Usefulness”. If it was of some use but not a lot 3 can be indicated, and
so on. Day ‐‐‐Session ‐‐‐‐ Session name
Day....... Session..........Session Name.......
How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
3 4
Explanation of the ranking parameters
Usefulness: Did you find the contents useful in relation to the work you do?
Knowledge acquired: Did the session add to your knowledge?
New skills learnt: Did the session help you to acquire new skills, for example of analysis,
planning, negotiation, teamwork etc?
How interesting it was: Did you find the presentation, discussions and methods interesting?
The box on the right is for your suggestions for improving the session in future courses.
Part 1: Overall evaluation of the course
1.1 Were your expectations met by the course? Yes/ No/ Partly (please circle your answer)
Please explain your answer briefly Suggestions for
185
1.2 Would you recommend this course to others who work with you? Yes/ No/ Not sure
1.3 Was the duration of the course: Too short / too long/ of the right length
1.4 What do you think should be changed to improve the course? Explain briefly
1.5 List the three sessions you found particularly useful. 1 .................................................................................. 2. .................................................................................. 3. .........................................................................
Part 2: Evaluation of sessions‐‐‐ Session name
Day 1, Session 1.2. Strategic planning – principles and practices How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
186
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, 1.3. Planning in Myanmar – current situation and challenges How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, Session 1.4. Yangon/Mandalay case study – introduction to the planning exercise How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 2.1. Situation analysis – Researching and assembling a city profile How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
187
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 2.2 – 2.3 Group work on urban profiling How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 2.4. Visioning and strategic objectives How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 3.1. Visioning and strategic objectives exerciseHow do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
188
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 3.2. Formulating programs and projects How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 3.3. Project formulation exercise How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 3.4. Project prioritization exercise – Goal Achievement MatrixHow do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
189
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 4, Session 4.1. Project implementation exercise – Project fiche How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 4, Session 4.2. Preparation for final presentation How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 4, Session 4.3. Presentation of group work results How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
190
Knowledge acquired (by you)
New skills learnt
How interesting it was
191
ANNEX 2: Recommended readings
1. Andersson E., Communities and Local Government, Community Power Pack, real people, real
power, [email protected] , Involve 212 High Holborn, London WC1V 7BF
2. Andre, I., Baert, T. et all. (2011) Cities of tomorrow ‐ Challenges, visions, ways forward,
European Commission (Directorate General for Regional Policy)
3. Baker M., Coaffee J., Sherriff G. (2006) Achieving Successful Participation, Literature Review ‐
Spatial Plans in Practice: Supporting the reform of local planning, University of Manchester
Communities and Local Government,
4. Bishop and Davis (2002) Mapping Public Participation in Policy Choices. Australian Journal of
Public Administration 61(1), pp.14‐29. Available at:
http://onlinelibrary.wiley.com/doi/10.1111/1467‐8500.00255/pdf
5. Broek Van den, J. (2004) Strategic structure planning. In: Verschure, H. and Tuts, R. eds.,
2004. Urban Trialogues. Nairobi: UN‐Habitat. Available at:
http://www.unhabitat.org/programmes/agenda21/documents/urban_trialogues/StratStruct
Planning.pdf
6. Calafati, A. G. n.d. European Cities' Development Trajectories: A Methodological Framework.
European Commission (Directorate General for Regional Policy)
7. CEMAT /European Conference of Ministers responsible for Spatial/Regional Planning ((2006)
Spatial development glossary / Glossaire du développement territorial Conférence
européenne des ministres responsables de l'aménagement du territoire, Territory and
Landscape, no.2, Council of Europe Publishing
8. Cities Alliance (2006) Guide to City Development Strategies ‐ Improving Urban Performance,
Washington D.C., USA
9. D’hondt, F. n.d. “VISIONING AS PARTICIPATORY PLANNING TOOL LEARNING FROM KOSOVO
PRACTICES.” UN Habitat
10. Davidson, F. (2006) Development planning: balancing demands between performance and
capacity ‐ A personal view, IHS Rotterdam
11. EU RED Practical Guidelines (2004) Strategy Building Process, Bosnia Herzegovina
12. European Commission (2007) LEIPZIG CHARTER on Sustainable European Cities
http://ec.europa.eu/regional_policy/archive/themes/urban/leipzig_charter.pdf
13. European Commission (2007) Territorial Agenda of the European Union Towards a More
Competitive and Sustainable Europe of Diverse Regions Agreed on the occasion of the
Informal Ministerial Meeting on Urban Development and Territorial Cohesion in Leipzig on 24
/ 25 May 2007. EC
14. European Commission (2011) Territorial Agenda of the European Union 2020 Towards an
Inclusive, Smart and Sustainable Europe of Diverse Regions agreed at the Informal Meeting of
Ministers responsible for Spatial Planning and Territorial Development on 19th May 2011
Gödöllő, Hungary http://ec.europa.eu/regional_policy/sources/policy/what/territorial‐
cohesion/territorial_agenda_2020.pdf
15. European Spatial Planning Observation Network (2005) Nijmegen Guidance Paper – final
version ‐ Project 3.2 and ESPON CU 17th March 2005
16. Fayman, S., Keresztély, K., Meyer, P. et all. (2011) Good policies and practices to tackle urban
challenges, European Commission (Directorate General for Regional Policy)
192
17. Healey, P. (1998) Collaborative Planning in a stakeholder society. The Town Planning Review,
69 (1), pp. 1‐21. Available at: http://www.jstor.org/stable/40113774
18. Office for Official Publications of the European Communities, Luxembourg (1999) ESDP /
European Spatial Development Perspective Towards Balanced and Sustainable Development
of the Territory of the European Union
19. Publications Office of the European Union, Luxembourg (2010) Making our cities attractive
and sustainable ‐ How the EU contributes to improving the urban environment
20. Svedin, U. n.d. Urban Development and the Environmental Challenges – “green” systems
considerations. European Commission (Directorate General for Regional Policy)
21. Taralunga N. (2010) INTRODUCTION OF COMPREHENSIVE PARTICIPATION OF CITIZENS AS
WELL AS GOVERNMENTAL AND NON‐GOVERNMENTAL ORGANIZATIONS IN THE URBAN
PLANNING PROCESS, Participatory planning handbook, NALAS
22. Van Cutsem, M. (2010) Cities of tomorrow ‐ Challenges, visions, dys‐visions as seen by cities.
European Commission (Directorate General for Regional Policy)
23. Wates N. (2006) The community planning handbook, Earthscan
24. Albrechts, L., 2004. Strategic (spatial) planning re‐examined. Environment and Planning B:
Planning and Design, 31, pp. 743‐758
193
ANNEX 3: Information to be brought by the participants
Participants will need to be notified of this requirement by the Trainer at least three weeks before
the training starts. It should be coordinated through the Local Field Coordinator to make sure that
no duplication will happen and every participant will be responsible for bringing one item.
City land use plan
Urban development plan for the city, if available
Population growth during the last 20 years
City map indicating land ownership
City map indicating the heritage buildings
A copy of the latest budget of the local authority
A list of major infrastructure projects together with funding sources
Information about annual tourist arrivals (for the last 5 years)
Information about main economic activities of the city
Information about land value appreciation during the last 10 years by zones
Historical information about the city during 1950s. (Photographs, maps, population
information, social life etc.)
Information about city development strategies
List of key issues that the city faces
List of key institutions / stakeholders involved in urban planning / financing
Legal framework (i.e. Acts / Ordinances) related to urban development
Any project proposals or plans developed by international institutions (i.e. ADB, World Bank,
JICA)
Participants should be prepared to share their own experiences, knowledge, proposals, ideas etc.
with other participants during the programme, related to urban planning.
194
ANNEX 4: Checklist of Equipment and Materials
Materials to be brought to the course by the trainer
Training Module (Trainer’s Pack)
Training Module (Participant’s Pack / Trainees KIT) – one for each participant. It is better to
produce this in a bound document format and should consist of the programme, reading
materials, a copy of the power point presentations and recommended reference material (in
a digital form) for distribution among the participants during the session one.
Colour marker pens for use by participants (6 each black, blue, green and red). These can be
with permanent or non‐permanent ink.
Colour marker pens for the use by trainer (6 each black, blue, green and red). These should
have non‐permanent ink.
Flip chart paper (at least 20 sheets of A1)
Pen Drive – 64 GB (16 is manageable)
External hard drive (having all the information related to this module stored as a backup)
Power point presentations for all the relevant sessions (in addition to the file on the computer,
two extra copies in a memory stick and external hard drive)
Site visit ‐ detailed programme (time table and description of activities to be carried out by
participants)
Evaluation sheets (hard copies) for participants to fill in.
Beamer
Digital camera
City maps (showing land use, infrastructure etc)
Venue:
Air conditioned space to accommodate 25 ‐ 30 people. (Check the AC in a good working order)
Adequate lights
Furniture – 25 – 30 chairs (built in facilities for writing), arranged in a semi circular way, provide
adequate space for the trainer to move through and reach every participant. 7 tables for the
use of group work.
Table and a chair for the trainer
Space and furniture (Table) for refreshments and lunch.
Adequate and clean wash rooms.
The venue should be easily accessible.
195
Equipment:
Lap top computer
Multimedia projector
Digital camera
Screen
Beamer
White Board
Flip Chart
Consumables for 25 – 30 participants:
Colour pens, pencils, marker pens
Butter sheets
City maps
Note books
Sticky tapes
Writing papers (Half Sheets)
Field pads
Flip chart pads (preferably with grid lines)
196
ANNEX 5: Training materials to be used
PowerPoint
presentations
These are to be found in the “PowerPoints” folder.
These will be used by the trainer at the start of the sessions before
entering into discussions or exercises. PowerPoints should be 20‐40
minutes in length (assuming there are no questions or discussions).
Exercises The only handouts in this module are the instructions on how to carry
out exercises. These are to be found in the “Exercises” folder.
The trainer will distribute these at the start of the session in which the
exercise will be carried out and read through the instructions with the
participants. Participants will be encouraged to ask for clarification on
any points that are unclear to them. It is essential that participants are
clear about what they have to do.
Evaluation
questionnaire
This appears in Annex 1, accompanied by instructions for their use.
Questionnaires will be distributed by the trainer at the start of the
session and collected by him / her afterwards. They will then be
submitted to the Team Leader who will pass them to the project’s
Quality Control Specialist.
The Quality Control Specialist will carry out focus group discussions with
participants from randomly selected workshops at the end of those
workshops. The results will be conveyed to the respective trainers.
197
ANNEX 6: Training methods to be employed
Trainers’
PowerPoint
presentations
These are used in sessions 1.2, 1.4, 2.1, 2.4, 3.2. The purpose is to
introduce participants to a topic and impart knowledge. PowerPoints are
always followed by an opportunity to ask questions, either for
clarification to discuss and critically analyse what has been presented.
The trainer should encourage this. Participants must be provided
information but should also be encouraged to ask questions before
accepting that knowledge. This will help to put the participants in the
frame of mind to question existing practice later in the workshop.
New information cannot be absorbed for longer than about 30 minutes
at a time. It is important, therefore, to limit PowerPoint presentations to
that time or, if they are longer, to break them up with periods of
discussion.
Participants’
individual verbal
presentations
This takes place in session 1 only. Other presentations take place in
connection with the group exercises but this is the only session with
individual presentations.
1. The presentations are brief self‐introductions by the participants
(which should be useful to the trainer who may wish to note names) as
well as an explanation of their interest in or work experience related to
SUP. This should also be noted by the trainer because: (a) it will give him
/her an idea of participants’ level of experience and knowledge and (b)
where a participant has experience in a particular area of relevance to
the workshop s/he can be called upon later to share that experience (e.g.
in a 5 minute presentation at a time the trainer considers it appropriate
or as an informed input during a discussion).
Note: the trainer may wish to ask participants to write their names (and
departments) on cards to be placed in front of them when they are
seated so that the trainer can learn their names.
2. This is also an opportunity for participants to say what they expect
from the training. If these expectations differ significantly from the
training objectives the trainer should say so. It is also an opportunity for
the trainer to bear these expectations in mind when facilitating the
training. This does not mean that the trainer should change the
programme but that s/he can emphasise certain points, add some detail
or start a discussion if some participants have expressed an interest in
that area.
Group exercises Exercises aim to have participants address a particular issue and apply
their experience and newly acquired knowledge to it. In this workshop, a
case based exercise will take place, guiding the participants through all
the steps of the planning process.
198
There are handouts for each of the steps in the group exercises.
Exercises should be introduced and explained by the trainer before they
start and the appropriate handout distributed. Participants must be clear
about what they are expected to do so questions should be invited.
In the end of the exercises, in session 4.2, the groups will prepare a final
presentation. The purpose of this is to bring the collective knowledge and
analysis of other participants and the trainer to bear on the presentation
so that conclusions are enriched.
Guided discussion These are used as part of all sessions, with the exception of the group
exercises. After every lecture, the trainer will ask questions and stimulate
discussion to guide the trainees to a particular point. During a structured
discussion, the trainer poses a question to a group that has to consider
and to provide feedback on.
199
APPENDIX 16: Sample post‐course evaluation
questionnaire template (O&M –
advanced)
200
Annex 2: Course Evaluation by Participants The evaluation is in two parts:
Part 1. Overall evaluation of the course
Part 2. Evaluation of individual sessions
You are required to complete both parts and submit the completed form to the Course Coordinator
during the concluding session.
For Part Two please use the matrix given below to rank each of the sessions.
0 is lowest in value and 5 is the highest. For example, if you found the session extremely useful you
can tick 5 in the row named “Usefulness”. If it was of some use but not a lot 3 can be indicated, and
so on. Day ‐‐‐
Day....... Session..........Session Name.......
How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
3 4
Explanation of the ranking parameters
Usefulness: Did you find the contents useful in relation to the work you do?
Knowledge acquired: Did the session add to your knowledge?
New skills learnt: Did the session help you to acquire new skills, for example of analysis,
planning, negotiation, teamwork etc?
How interesting it was: Did you find the presentation, discussions and methods interesting?
The box on the right is for your suggestions for improving the session in future courses.
Part 1: Overall evaluation of the course
1.1 Were your expectations met by the course? Yes/ No/ Partly (please circle your answer)
201
Please explain your answer briefly Suggestions for
1.2 Would you recommend this course to others who work with you? Yes/ No/ Not sure
1.3 Was the duration of the course: Too short / too long/ of the right length
1.4 What do you think should be changed to improve the course? Explain briefly
1.5 List the three sessions you found particularly useful. 1 .................................................................................. 2. .................................................................................. 3. .........................................................................
Part 2: Evaluation of sessions‐‐‐ Session name
Day 1, Session 1.2. The importance of O&M; operations and support services; international trends in support service delivery; outsourcing of support services. How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
202
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, Session 3. Workplace safety; benefits of creating workplace safety; workplace safety program; checklist for workplace analysis. How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 1, Session 4. Workplace safety continuation: hazard prevention and control; safety and health training and education; accident/incident/near miss investigation; procedure for accident investigation. How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 5. Workplace safety continuation: accident reporting policy and procedure, disciplinary program
203
How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 6. Maintenance; introducing the notion and identifying its types; create awareness on cost of poor maintenance, roles and responsibilities for maintenance ; creating a culture of maintenance How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 2, Session 7 and 8. Visit to a heritage building to identify positive and negative features of the procedures and practices regarding its maintenance How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
204
How interesting it was
Day 3, Session 9. Presenting the findings of the site visit: positive and negative features of the procedures and practices regarding the maintenance or a heritage building. How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 10. Preparing an O&M plan: introducing the concepts of asset management and O&M plan for a heritage building; presenting documents/data basis useful for O&M planning process, outline for an O&M plan How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
Knowledge acquired (by you)
New skills learnt
How interesting it was
Day 3, Session 11. Heritage building maintenance manual: need for a maintenance manual; pre‐planning and key issues of a manual; outline of an O&M manual. How do you assess the session in terms of:
0 1 2 3 4 5 Suggestions for Improvement
Usefulness
205
Knowledge acquired (by you)
New skills learnt
How interesting it was
206
Appendix 17: Sample Course Report (Strategic
Urban Planning, Yangon)
207
Asian Development Bank (ADB)
Republic of the Union of Myanmar
TA-8456: Transformation of Urban Management - Part I
Capacity Building for Urban Management
Training Course Report on
Strategic Urban Planning
Yangon, April 25th to 28th, 2016
United Nations Human Settlements Programme (UN-Habitat)
208
Basic Information on the venue of the training
(a) Venue – Training Room of the Urban Research and Development Institute (URDI),
Yangon
(b) Duration of the training programme - From 25th to 28th of April 2016 (4 days).
(c) Time – From 9.00 am to 5.00 pm
(d) Trainer's Name – Sara Candiracci, Urban Specialist
(e) Training Title – Strategic Urban Planning
(f) Training Coordinator – Moe Moe Oo, UN-Habitat
(g) DUHD Coordination – Daw Sabe Phyu, Assistant Director of DUHD, MoC
(h) Translator – Ko Zaw Htet, Freelance Translator
Participants
The training was attended by 25 participants coming from Yangon (11), Pathein (7),
Mawlamine (6) and Nay Pyi Taw (1). They all attended the training full time (four days of
training from 9.00 AM to 5.00 PM).
The full list of the training participants is in Annex 1.
Summary description of the daily training programme
DAY ONE (April 25th, 2016)
The first day of training was divided in four (4) sessions and one (1) working group.
In Session One (Opening Session) the trainer and participants introduced themselves,
explaining how their work is related to urban planning; and expressing their expectations of
the training. Then the course objectives, content and training methodology were presented,
which included: interactive power point presentations, five (5) working groups to develop the
training assignment; a field visit in Yangon; plenary presentations by training participants; and
plenary discussions. The participants were encouraged to read the relevant reading material
contained in the DVDs that were distributed on the first day.
209
Afterwards, the assignment for the group exercises to be carried out by the participants during
the four days of the training was explained. The objective of the assignment was to develop a
long-term strategic urban and territorial plan for Yangon, Pathein and Mawlamine, to build a
productive, inclusive and environmental viable City-Region. To carry out the training
assignment, the participants were divided in three groups, based on their city of origin. Each
group was asked to nominee a spoke person and a notes taker.
In Session Two (Introduction to Urban Planning) the evolution of cities and their planning
history were presented, including a brief presentation of the current urban trends globally, with
a particular emphasis on Asia. The impact of globalisation on urban development and the
current challenges faced by cities were presented. This session served also to introduce the
concept of sustainable urban development, in particular of the Asian Development Bank
(ADB) 3E approach (Equity, Economy & Environment).
In Session Three (Cities as Engines of National Economic Development) the role of cities
as engines of national economic development was explained. Examples from Asia were given
to show the positive relationship between the high rate of urbanization and per capita income
of Asian countries, and the fact that urban development is also a mean of economic
development. It was highlighted the need to consider also the social and environmental
dimensions of development besides economic growth.
In Session Four (Introduction to Strategic Urban Planning) the ADB model on how to
create competitive cities was presented, with the aim to get participants to think how best they
can make their cities competitive in the Asian Region. Then, the strategic urban development
planning process was presented, including the methods and a variety of management,
participatory and design tools to be used. A simple planning flow chart was introduced, to help
the participants in the elaboration of their assignments and to be considered as a basis for the
development of urban development plans for Myanmar cities. Step A of the Strategic Urban
Planning Process (Situation Analysis/Diagnosis) was introduced and the assignment for the
first working group was explained.
In the First Working Group (Understanding your township: situation analysis/diagnosis
of Yangon, Pathein and Mawlamyine) the participants were asked to assess the existing
status of their cities in relation to international, national, regional and local situations and the
three Es advocated by ADB under its urban development framework (Economic, Equity and
210
Environmental). This work was intended as the first step to draw u a strategic urban
development city-region plan for their cities.
DAY TWO (April 26th, 2016)
The second day of training was divided in four (4) sessions and one (1) working group.
Session Five (Land Use, Natural Disasters, Climate Change & Environmental
Conservation) started by presenting the relationship between land use planning and natural
disasters and the need to integrate strategic land use practices into natural disaster reduction
strategies and policies, as a prerequisite for disaster risk reduction – often addressed only with
purely engineering solutions. Myanmar climate change and related disaster risks situation was
presented, giving particular emphasis to the “Myanmar Climate Change Alliance” Programme,
carried out by UN-Habitat in cooperation with the Ministry of Environmental Conservation
and Forests.
Session Six (Urban Planning and Transport) started with the screening of a video on the use
of the Bus Rapid Transport system in different cities around the world, with the aim to
introduce the aim of this session, namely the use of efficient transport systems as a key element
of strategic urban planning and a fundamental requirement of a competitive city. Participants
were then asked to reflect and analyse the transport system and related issues in their cities.
Session Seven (Strategic Urban Planning Foundations and Direction – SWOT, Vision,
Strategies and Policies) provided a practical explanation on how to establish the foundation
for developing a strategic plan, with particular focus on the following four activities: SWOT
analysis, Vision Development, Goals and Policies, and Implementation Strategies. The second
working group was explained.
Session Eight (Livable cities) focused on the role played by urban design and urban cultural
heritage conservation in the creation of sustainable living environments and attractive cities for
investments. This session was meant to introduce the field visit organized for day three.
In the Second Working Group participants were asked to apply the tools explained in Session
Seven in particular to do a SWOT analysis, define a Vision and identify the Goals and Policies
for the city-region plan that each group was assigned to develop for their cities. In developing
the vision, the groups were asked to express the voices of three different urban stakeholders
(government, civil society and private sector) and to “dream” and think out of the box scenarios
in relation to the future of their cities.
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DAY THREE (April 27th, 2016)
The third day of training included a field visit in Yangon, a plenary brainstorming, one training
session, a plenary presentation by the three groups on the initial results of the work developed
during the previous days, and a working group session to carry on the strategic plan for their
cities.
During the Field Visit participants were taken to 37th and 39th Street and were asked to observe
and understand the areas based on what was learned during the first two days and, in particular,
to assess the livability of the areas.
During the Plenary Brainstorming Session the trainer asked the participants to point out the
main features (positive and negative) of both streets visited and to suggest possible
interventions to improve the conditions of the areas. In the session following the plenary
discussion (Session Nine), the trainer presented the analysis and regeneration proposals for
37th and 39th, realized by the trainer and another group during the Workshop “Heritage Works”
realized in October 2015 by YCDC (Yangon City Development Council) in collaboration with
CDIA (Cities Development Initiatives for Asia) and Yangon Heritage Trust.
During the Plenary Presentations the three groups presented the SWOT analysis and the
Vision developed for their city-region strategic plan.
During the Working Group the three groups continued on the development of their city-region
strategic urban plan to be presented in plenary on the following day, in particular on the
definition of the Goals, Policies and strategies for the city-region plan. The groups were
provided with a map of their city-region and were asked to design the spatial representation of
their proposal. The trainer provided assistance to each group during their work, giving more
information on how to define goals, policies and strategies to make their city more competitive,
and on how best to visualize their proposal on the map.
The awarding ceremony was scheduled for the following day and in order to create more
competition amongst the groups, the trainer informed the participants that some prizes were
foreseen.
DAY FOUR (April 28th, 2016)
The fourth day of the training included a training session, a working group to conclude the
assignment, a plenary presentation of the city-region strategic plans developed by the three
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groups, an awarding ceremony to announce the winners and an evaluation session for the
participants to give a feedback on the relevance of the course, its structure and resource persons.
In Session Ten (Implementation Mechanisms) were explained the restrictions and challenges
for plans implementation in developing countries and four aspects of implementation of
strategic urban development plans were presented, including: normative framework (i.e., urban
design guidelines, planning and building regulations); institutional framework (i.e.,
implementation agency set up), financial instruments (i.e., public and private sector
investments, SPV), and partnership mechanisms (public-private, public-public, public-
community).
During the Working Group the participants concluded the elaboration of their proposal.
During the Plenary Presentations the three groups presented their city-region strategic plan,
starting from the SWOT analysis, a presentation of the vision, the plan goals and policies and
the strategies for implementation. Each group had 20 minutes to do the presentation followed
by 10 minutes for the debate and questions by the participants. The jury evaluated the plans
presentations based on the agreed criteria.
During the awarding ceremony the winners were announced, respectively:
- Yangon for the more realistic plan (80 scores);
- Pathein for the best strategy (75 scores);
- Mawlamine for the best vision (75 scores).
Each group received a prize to share with its members, while the spoke-person and the notes
taker received an individual prize for the extra effort carried out during the training.
Evaluation Summary
Evaluation by Participant
The participants were very enthusiastic about the course and appreciated the way it was
structured, as it provided a good balance between theoretical concepts on urban planning and
development and the application of the methods and tools acquired in a practical project for
their cities In addition, they appreciate to participate in the field visit and to discuss during a
plenary session their impression on the sites and ideas for their requalification. It was essential
to have the course bilingual, as most of the participants did not dominate English. They also
enjoyed a lot the awarding ceremony.
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(a) Overall evaluation
0 1 2 3 4 5 Suggestions for Improvement
Usefulness - - - 3 3 19
Knowledge - - - 1 4 20
New Skills - - - 1 3 21
Interesting - - - 1 2 22
Usefulness – 19 participants (76%) out of the 25 considered the course very useful (5 marks)
and 3 participants thought that the training was useful (4).
Knowledge – 20 participants (80%) considered the course very knowledgeable (5) and 4
thought the course to be knowledgeable (4).
New Skills – 21 participants (84%) considered that they learned many new skills from the
training (5) and 2 thought that they acquired new skills from the course (4)
Interesting – As regards the interest of the participants in the training course, 22 participants
(88%) found the course very interested (5) and 2 interesting (4).
Please explain your answer briefly / Suggestions for improvement
(b) Where your expectations met by the course? Yes / No / Partly
Answer Number of Participants Involved in Evaluation (Total 25)
Number %
Yes 19 76%
No -- --
Partly 6 24%
Total 25 100%
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19 participants (76%) out of 25 expressed that the course met their expectations. 6 participants
said the course partly met their expectation because it was too short.
Please explain your answer briefly
Only 6 people explained that the course met partly their expectations as it was too short.
(c) Would you recommend this course to others? Yes / No / Not sure
Answer Number of participants involved in Evaluation (Total 25)
Number %
Yes 25 100%
No - -
Not sure - -
Total 25 100%
All of the participants answered that they would recommend the course to others.
Please explain your answer briefly
All the participants said that they would recommend the course to other people, as they
understand the relevance of urban planning for the sustainable development of their cities and
for Myanmar.
(d) Was the duration of the course: Too short / too long / sufficient
Answer Participants (Total 25)
Number 100%
Too short 6 24%
Long - -
Sufficient 19 76%
Total 25 100
19 participants (76%) stated the duration of the course was sufficient, as it was well organized
and gave space to both theoretical concepts than to the application of tools and methods in a
215
real project. Those who answered that the course was too short, said that they would like to
learn more on strategic urban planning.
What would you like to propose to change the course? Explain briefly
They recommended the use of a microphone for the next training.
Self‐Evaluation
All the participants had no background in urban planning. Few of them were engineers. Only few of
them covered a role of influence in decision-making and therefore they said that they didn’t know how
to transfer the knowledge gained during the training. Therefore, it would be advisable to select the
training participants depending on their role within the institutions where they work, with the aim to
facilitate the transmission of knowledge and thus a bigger impact of the training course. Only few of
the participants could speak and understand English, but the translator did a good job. The training was
interactive, and tried to limit as much as possible the theoretical lecture, but to capture the attention of
the participants with practical examples an by asking them to bring their professional experience into
the discussion.
Peer Evaluation
There was no peer to evaluate our training courses.
Preliminaries
Both the training and the DUHD coordinator were very helpful and provided all the information
in time. I had to review and improve some of the PowerPoint presentations and integrate them
with additional information relevant to the course. In additional, I changed the content of the
assignment for the working group, as the one recommended for the course was not meant to
develop a city-region strategic development plan. In addition, I decided to include an additional
exercise for the field visit that took place on the third day, which consisted in a plenary
brainstorming session and discussion on the assessment of the area and the conceptualization
of a regeneration proposal for the two streets visited. This exercise was supported with the
work done by myself during the CDIA/YCDC/Yangon Heritage Trust on “Heritage Works”
that took place in Yangon on October 2015.
Venue
The training venue was adequate. The training support equipment was available except there
was not an adequate sound system (microphone and speakers), therefore it has not been
possible to properly screen the video on public transportation.
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Time Schedule
The training was held from 9 AM to 5 PM for the entire course, which was adequate.
Attendance and participation
The training was attended by 25 people for the entire length of the course with enthusiasm and
active participation.
Support of the DHUD Regional Office
The support of the DHUD Office was adequate.
Field Training Coordination
The field visit took place in Yangon on the third day of the course. We visited 37th and 39th
streets with the aim to assess the area and identify possible interventions to improve it and
make it more livable and attractive. During the plenary brainstorming and discussion the
participants did an adequate analysis of the context and made interesting proposals on how to
regenerate the areas.
Coordination, Administrative Work and Translation
Coordination and Administrative Work was adequate. The translation was very good and the
translator was very helpful.
Issues that affected the Training Programme
The lack of a sound system (microphone and speaker).
Participants' Concerns
The only participants’ concern was related to the lack of a sound system. This limited their
capacity to properly follow all the training modules and the video screened during the second
day.
Amendments to the Programme
The main handout material should be printed and given to the participants before the beginning
of the training, along with a copy of the power point presentations. A good resolution map of
the city-region of the participants’ cities should b e provided. The training final project – as
suggested in the training material – should be modified, as its scope should be to develop a
long-term strategic city-region urban development plan. For this purpose, the training should
include more working groups where the training participants have the opportunity to apply in
217
practice the theoretical concepts and tools explained during the training. The awarding
ceremony at the end of the course is a good idea to stimulate the participants and make the
training more enjoyable and fun.
Successfulness of the Programme
The training was successful. The participants participated with enthusiasm and enjoyed the
working groups, the field visit and the awarding ceremony. They appreciated the fact that the
training was interactive and that there was a good balance between theoretical classes and the
application in practice of the methods and tools learned through the modules.
Final Project
The aim of the final project was to develop a long-term (40-50 years) strategic urban and
territorial plan for Yangon, Pathein and Mawlamine, to build a productive, inclusive and
environmental viable City-Region. To carry out the training assignment, the participants were
divided in three groups, based on their city of origin. Each group was asked to nominee a spoke
person and a notes taker. The groups were provided with a map of their city as they were asked
to represent spatially their proposal. They were also asked to design a map representing the
relationship (economic, transportation) between their city and the surrounding territory.
During the first working group they were ask to do an assessment/analysis of their city and its
relation with the surrounding territory. During the second working group they did a SWOT
analysis of their appraisal, which was then presented in plenary by each group. During the third
working group they were asked to identify a vision for their city, along with the goals and
policies for their strategy. Then they represented spatially their proposal and were asked to
develop an implementation strategy to realize their plan, taking into account the normative,
institutional and financial frameworks.
The trainer explained that a jury (composed of the trainer, the translator and the training
coordinator) would have evaluated the three city-region strategic plans on the fourth day of the
training based on the criteria illustrated in Figure 1.
218
Figure 1 – Matrix used for the evaluation of the strategic urban plans developed during the
working groups
In order to create more competition amongst the groups, the trainer informed the participants
that some prizes were foreseen.
Each group had 20 minutes to present the strategic plan for their city, followed by 10 minutes
debate and questions by the other participants.
The jury evaluated the plans presentations based on the agreed criteria and the winners were
announced during the awarding ceremony: Yangon for the more realistic plan (80 scores);
Pathein for the best strategy (75 scores); Mawlamine for the best vision (75 scores).
Each group received a prize to share with its members, while the spoke-person and the notes
taker received an individual prize for the extra work carried out during the training.
Conclusions & Recommendations
The training was successful and most of the participants found it very useful. However, most
of them found frustrating the fact of not being in the position to transmit to their colleagues the
knowledge acquired during the course. Some of them were representing other people and others
were not in the right decision-making position of influence within their institution. Therefore,
it would be advisable to choose the participants based on their position, and to allow them to
participate in all the training Programme and not only in few courses.
Most of the participants mentioned that the course was too short, but very informative.
219
It would be advisable to have training of trainers’ courses, as this capacity building programme
should be carried out continuously throughout out Myanmar.
Any other Comments: None
220
Annex 1 – List of participants
221
Annex 2 – Pictures taken during the training
Fig. 1 – Group of Malawyaing while doing the situation analysis
Fig. 2 – Spoke-persons of the groups of Yangon (left) and Malawyaing (right) while presenting the situation analysis
Fig. 3 – Group of Pathein while doing the SWOT analysis Fig. 4 – SWOT analysis by the group of Yangon
222
Fig. 5 – Field visit at 37th and 39th Street
Fig. 6 – Situation analysis & proposal for 39th Street
Fig. 7 – Groups of Pathein (left), Yangon (center) and Malawyaing (right) working on the spatial representation of their strategic proposal
223
Fig. 8 – Pathein strategic plan
Fig. 9 – Group of Pathein
Fig. 10 – Malawyaing Strategic Plan
Fig. 11 – Group of Malawyaing
224
Fig. 12 – Yangon Strategic Plan
Fig. 13 – Group of Yangon
Fig. 14 – Plenary Presentation of the Pathein Strategic Plan
Fig. 15 – Awarding Ceremony
Fig. 16 – Group Picture
225
APPENDIX 18: Training Course Evaluation Report
226
Training Evaluation Report
1. Introduction
Transformation of Urban Management: Capacity Building of Urban Management Project in
Myanmar (CDTA‐8456‐Mya) started 1st October 2014 and finished in September 2016. The project
was implemented in six cities. Out of 6 cities Yangon and Mandalay Cities are big cities with City
Development Committees and Monywa, Mawlamyine, Lashio and Pathein are relatively small cities
without City Development Committees, the Regional General Administration Department take the
leading role in Urbanization work and its role is mostly on administration and coordination issues
related to urban planning and development. Project developed 8 course modules at basic and
advance levels for capacity development trainings.
The Project aims to improve the skills of City Authorities to manage urban development in a
participatory and inclusive manners. Urban Planning and Management trainings were held in the
following cities ‐
1. Yangon
2. Mandalay
3. Monywa
4. Lashio
5. Pathein
6. Mawlamyine
Sustainable Urbanism is a recent term prevalent in urban design and planning of the Transformation
of Urban Management, rooted in study of sustainability and durability in rapid urbanization. A
manager from Yangon City Development Committee said “In Myanmar there are very few staffs
working in Urban Development Work with Urban Development background education. Most of the
staff working in Urban Development have engineering background”.
Generally, this project had over 29 partners departments to attend capacity building training of
Urban Transformation Management. So there are a lot of coordination work in holding a single
training. The Department of Human Settlements and housing Development under Ministry of
Construction handling all coordination works to carry out trainings in 6 cities.
In field level there were Field Training Coordinator (FTC) to coordinate between Yangon and
respective cities. All cities had FTCs to disseminate information between Yangon and respective
cities. FTC were also responsible to work as logistic during trainings and to assist the project trainers.
2. Methodology
The method using in this evaluation is “Focus Group Discussion” (FGD) and interviewing manager
level who took in leading role in participant selections and sending participants to the trainings. FGD
discussions held in 6 cities to collect participants view on the trainings, participant selection,
achievements and suggestion on how to improve the training.
Studying the training records is another way to understand the information regarding to each
training and implementation of trainings. The evaluator received summary of training attendance
from Yangon UN‐Habitat Project Office. Attendance sheet for each training were not received. So
227
that, the data in this evaluation comes from the distribution of above mentioned summary sheet
into different formats to focus on different views and different information.
3. Training Participants
Training participant came from Government Service and a few volunteers who are working
for Government Departments. Generally, the participant background are engineers,
administrative staff and finance staff. The following table shows participant and their
department /section attended in basic and advance trainings. There are total 29
departments / sections were recorded. The department / section names were recorded
according to the “Summary of Training Attendance”. It is a little bit confused with shortcut
names and acronyms.
Sr Department Basic
(Training. Participant)
Advance (Training. Participant)
Basic + Advance(Training x Participant)
1 Budget Department 7 7
2 Building Storage Department 2 2
3 Civil Department 1 1
4 DALMS 12 8 20
5 Development Committee 128 128 256
6 Department of Urbanization and Housing Development
87 36 123
7 DWIR 12 32 44
8 Environmental conservation Department 40 32 72
9 Forest Department 51 16 67
10 General Administrative Department 106 40 146
11 Irrigation Department 27 8 35
12 Myanmar Economic Bank 14 14
13 Myanmar Electric Power Enterprise 4 4
14 Ministry of Construction, Region, Township 10 8 18
15 Ministry of construction, Bridge 5 5
16 Ministry of construction, Public Work 3 3
17 Ministry of construction, Road 77 32 109
18 Planning Department 87 48 135
19 Railway Department 6 6
20 Myanmar Red Cross 3 3
21 Revenue Department 7 7
22 Road Transport Department 3 3
23 Settlement Department, Upper Burma 1 1
24 Survey and Land Record Department 5 5
25 Transportation Department 5 5
26 Volunteer, LNGO 2 2
27 Volunteer, Development Supporting Committee 59 8 67
228
Sr Department Basic
(Training. Participant)
Advance (Training. Participant)
Basic + Advance(Training x Participant)
28 Water Resources Management Department 20 20
29 Water Resource Utilization Department 10 0 10
Total Participants ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ 794 396 1190
Total participant means there were 794 Participants attended in 51 basic trainings. For advance
training there were 396 participants attended in 4 trainings. The following table shows number of
persons attended in 51 basic trainings and 4 advance trainings.
Basic Training Participants (Persons) from city
Sr City Module Participants
Pathein 9 50
Lashio 8 49
Yangon 9 47
Mandalay 8 53
Mawlamyine 9 29
Monywa 8 41
Total Person ‐‐‐‐‐‐‐‐‐‐‐‐‐‐ 51 269
Advance Training, Participants from Cities
Sr City Participants
1 Pathein 7
2 Lashio 7
3 Yangon 15
4 Mandalay 7
5 Mawlamyine 7
6 Monywa 7
Total Person‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ 50
Total persons 269 means there were 269 persons attended to 51 training module in basic training
and total 50 persons mean there were 50 persons attended in 4 advance training. Advance training
were held in cluster wise. The following table shows number of training modules attended by one
person in basic training. In Advance training, 49 person attended 8 training modules and 1 person
attended 4 modules.
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Number of Modules Attended by one Participant in Basic Training
Sr Participant
Pathein
Lashio
Yangon
Mandalay
Maw
lamyine
Monyw
a
Total
1 Participant (Person) Attended 1 Training 19 16 18 21 11 18 103
2 Participant (Person) Attended 2 Training 9 5 10 11 0 6 41
3 Participant (Person) Attended 3 Training 9 5 6 12 2 7 41
4 Participant (Person) Attended 4 Training 2 5 3 3 2 4 19
5 Participant (Person) Attended 5 Training 3 7 1 3 6 1 21
6 Participant (Person) Attended 6 Training 6 4 3 0 4 4 21
7 Participant (Person) Attended Training 0 4 2 3 2 0 11
8 Participant (Person) Attended 8 Training 0 2 1 0 2 1 6
9 Participant (Person) Attended 9 Training 2 1 3 0 0 0 6
50 49 47 53 29 41 269
4. Development and Distribution of Training Modules
Transformation of Urban Management: Capacity Building for Urban Management Project developed
and distributed the following training modules to each trainees. In addition to that, trainers
developed and distributed soft copies of power point and some useful information handouts to help
understand easily. The 8 training modules are ‐
Strategic Urban Planning
Urban Land Management
Financing for Urban Development
Urban Infrastructure Investments
Environmental and Social Safeguards
Operation and Maintenance
Procurement and Project Implementation
Management of Public‐Private Partnership.
5. Training Preparation
The trainings were planned to holding basic training and advance training. After preparing the
training modules basic training were carried out. The following table shows number of basic
trainings and implemented dates.
Basic Training and Implemented Dates
Sr Modules Pathein Lashio Yangon Mandalay Mawlamyine Monywa
1 Environmental Safeguards 13‐Oct‐15 23‐Dec‐15 30‐Dec‐15 19‐Nov‐15 27‐Oct‐15 28‐Oct‐15
2 Financing for Urban Development 27‐Jul‐15 8‐Sep‐15 11‐Aug‐15 22‐Sep‐15 15‐Sep‐15 3‐Aug‐15
3 operation and maintenance 23‐Feb‐16 8‐Dec‐15 8‐Sep‐15 16‐Nov‐15 23‐Nov‐15 6‐Oct‐15
230
Sr Modules Pathein Lashio Yangon Mandalay Mawlamyine Monywa
4 Procurement 5‐Jan‐16 19‐Jan‐16 21‐Dec‐15 2‐Feb‐16 8‐Dec‐15 17‐Nov‐15
5 Project Implementation 29‐Apr‐16 26‐Apr‐16 29‐Apr‐16 26‐Apr‐16 29‐Apr‐16 19‐Nov‐15
6 Social Safeguards 24‐Mar‐16 21‐Apr‐16 3‐Nov‐15 21‐Mar‐16 24‐Mar‐16 21‐Apr‐16
7 Strategic Urban Planning 25‐Apr‐16 5‐Apr‐16 25‐Apr‐16 5‐Apr‐16 25‐Apr‐16 5‐Apr‐16
8 Urban Infrastructure Investment 11‐Jul‐15 11‐Aug‐15 6‐Oct‐15 28‐Oct‐15 17‐Aug‐15 18‐Aug‐15
9 Urban Land Management 3‐Aug‐15 17‐Nov‐15 20‐Oct‐15 6‐Oct‐15 22‐Sep‐15 8‐Sep‐15
10 Public Private Partnerships 17‐Nov‐15 20‐Jul‐15 21‐Oct‐15 Nil Nil Nil
One of the Managers from Yangon said “usually, in basic trainings, the proposed training schedule
was 2 trainings in one month and one training last for one week including transportation to
respective cities. The trainees had to spend two weeks to attending training in one month, the result
is that the departments didn't send key staffs or busy staff with better skill”. Actually, this proposed
plan never happened. See in above table and Attached file “Chart” for frequency of trainings against
weeks. Basic trainings started from July/2015 and finished in April/2016, so that, it took over 40
weeks to finish all basic trainings.
One of the Managers from Monywa said “it is difficult situation for the Government Departments to
allow key / busy staff to attend trainings which took place for several months with irregular
frequency”. Focus group discussion in Monywa said, “it is better that the whole trainings schedule
should be given in advance so that participants can manage their office work and attending
trainings”.
One of the Manager from Yangon said “As it took a long time to finish all training modules, the
trainees were not able to take longer interest on 8 training modules.” Focus group discussions in
Monywa mentioned that “the amount of course and the length of time is not match. Time is too
short. Even though the trainings are not difficult, trainees couldn’t understand as much as they
should. It is better that the whole trainings schedule should be given in advance so that participants
can manage their office work and attending trainings”.
One of the Manager from Mandalay said “different staffs were selected to attend different trainings
in some departments, but there were no coordination among those staffs to holding follow up
discussions. Trainees hardly remember the basic course because of there was no follow up
mechanism.
Out of 8 Training Modules, Social Safeguards and Environmental Safeguards Modules was split into
two different training sections, Sometimes Procurement and Project Implementation Module was
split into two parts and held in different dates. So, that, in training list there were more than 8
trainings modules were recorded.
As the basic trainings happened so long a time, advance trainings were planned to hold differently
by grouping clusters. Total ‐4 advance training were held in Yangon and Mandalay Cities, that is,
there were 2 trainings in Yangon and 2 trainings in Mandalay. One advance training covered 3 cities
and 4 modules, so that 2 advance trainings covered 8 modules. There were 2 clusters, Yangon,
Mawlamyine and Pathein were included in one cluster and Mandalay, Monywa and Lashio were one
cluster. Clusters trainings were held in Yangon and Mandalay Cities.
231
6. Participant Selection
The selection of training participants was handled by Regional Government Office (Regional GAD)
but they didn’t select the trainees directly. Receptive Regional Level Departments were asked by
Regional GAD to select training participant by send official letter, then Regional Government Office
approved the selections and sent invitation to trainees through regional departments.
The training invitation sent from Regional GAD has no detail criteria on participant selection. They
mentioned only desirable level / position of participants. Also, there were no indications to which
sub‐division / section of that Department to be selected, there are several sections under a
department. So that, there were possibility of selecting participants from wrong sections.
One of the Managers from YCDC said “in the preliminary meeting among Government Offices and
UN‐Habitat, there were trainees‐selection criteria but later it was disappeared”. One of the
Managers from Mawlamyine city said the participant selection process should have a set of criteria,
for example – education background, minimum work experience, age limitation or something like
that.
One of the Managers from Yangon City said “The trainees think there were weaknesses in selection
of participants. They would like UN‐Habitat to give more cooperation in selection process with
Government Department. UN‐Habitat gave only Ministries and Department names for participant
selection to Executive Department, DUDH Yangon Head Office. There was no indication of section or
sub‐division under the Department. That is why, sometimes participant from wrong departments
were included in training list”.
In Focus group discussion of Yangon City mentioned “the trainees should be selected based on their
education background and service background. For example‐ more Engineers should be selected on
engineering background modules. Some departments are working on urban related works but their
job backgrounds are totally different from engineering work. For example – GAD.
One of the managers from Mawlamyine City said “There are staff with better skilled but they are
busy with urgent works, so that they were not selected to attend trainings”. Also in Mandalay FG
discussions they said “usually, the staff who are not in key positions were selected to attend the
trainings. Some departments assigned a suitable staff to attend all trainings. For example,
Environment Department selected a staff to attend all Urban Planning and Management Trainings”.
In Lashio FG discussions they said, “The numbers of trainees allowed in each department was not
consistent. For example‐ In advance training participant selection, there were considerable
reduction to Monywa participants. Some staffs who attended basic training wanted to attend
advance trainings but they didn't get chance due to the reduction of the numbers of trainees. In
discussion with a Managers from Lashio, they said, “Normally 22 participants attended each basic
trainings held in Lashio, but we got only 7 participants for the trainings held in Mandalay. There
were 3 trainings we attended in Mandalay. Because of the reduction, we faced trouble in participant
selection”.
Monywa also faced this kind of situation in basic trainings. Monywa participants attended 3 basic
trainings in Mandalay and in those trainings some participants were not invited.
A manager from Yangon city said, “The Departments which are working on Urban Transformation
works are DUHD, Development Committees and GAD. Mainly targeted on those departments can
reduce management, coordination and participants selection works. Also, trainings will be more
effective for those staffs whose works are mostly related to Urban Transformation”.
232
Focus Group discussions in Yangon City said, “The trainees came from Support Groups of
Development Committees are not Government staff but they got priority in participant selection...
They are elected persons from respective Districts and voluntarily working for Development
Committees. Now, the new Government dismissed their Post and Services, so they no longer
engaged in Development Committees work
The numbers of trainees participated in basic and advance trainings were quite different. In basic
trainings, total 269 participants from 29 departments / sections attended in 51 trainings. In advance
training total – 50 participants from 12 departments / sections attended in 4 trainings. See the
following table for number of participants attended from 6 Cities. All trainees got on‐duty to
attending trainings.
Training Modules and Participants in 6 Cities
Sr City Basic Training Advance Training
Participants Modules Participants Modules
Pathein 50 9 7 8
Lashio 49 8 7 8
Yangon 47 9 15 8
Mandalay 53 8 7 8
Mawlamyine 29 9 7 8
Monywa 41 9 7 8
269 50
7. Training Implementation.
Basic trainings were held for each modules in each city. There were 8 modules. Out of 8 training
modules, social safeguards and environmental safeguards modules was divided into 2 parts and held
2 trainings separately. Procurement and Project Implementation module also divided into two parts
and sometimes held separately and sometimes held continuously. That is why, there are more than
8 trainings in implementation records. The following table shows basic training modules and number
of trainings held in 6 cities.
Basic Trainings (Module) Held in Each City
Sr Module
Pathein
Lashio
Yangon
Mandalay
Maw
lamyine
Monyw
a Total Training Held
1 PPP 1 1 0 0 0 0 2
2 Urban Land Management 1 1 1 1 1 0 5
3 Strategic Urban Planning 1 1 1 1 1 1 6
4 Procurement and Project Implementation 1 0 0 0 0 0 1
5 Urban Infrastructure Investments 1 1 1 0 1 1 5
6 Social Safeguards 1 0 1 1 1 1 5
7 Procurement 0 1 1 1 1 1 5
8 Project Implementation 0 0 1 1 1 1 4
233
9 Operations & Maintenance 1 1 1 1 1 1 6
10 Financing for Urban Development 1 1 1 1 1 1 6
11 Environmental Safeguards 1 1 1 1 1 1 6
9 8 9 8 9 8 51
Four trainings attendance were missing in file received from Urban Management Project. Those 4
trainings are –
1. Social Safeguards in Lashio City
2. Project Implementation in Lashio City
3. Urban Infrastructure Investments in Mandalay City
4. Urban Land Management in Monywa City
Advance trainings were carried out as cluster trainings. Yangon, Pathein and Mawlamyine were in
one cluster and Mandalay, Monywa and Lashio were in one cluster. There were two trainings held in
each cluster and one training covered 4 modules. The advance training were held in Yangon and
Mandalay cities and participants from remaining cities came to attend the trainings according to
their clusters. The following table shows basic and advance trainings participant from cities,
participant attended to both basic and advance trainings and participants that attended advance
training only.
Sr City Basic
Training Advance Training
Basic & Advance Both
New or W/O Basic Training
Participants Participants Participants Participants
1 Pathein 50 7 6 1
2 Lashio 49 7 7 0
3 Yangon 47 15 10 5
4 Mandalay 53 7 4 3
5 Mawlamyine 29 7 7 0
6 Monywa 41 7 7 0
269 50 41 9
A Manager from Yangon DUHD said – Field Training Coordinator were selected from other
Departments instead of DUHD which is key Department for arranging trainings. This created
problems in training arrangements. Local Training Coordinators didn’t give full support because they
had to carry out their Department urgent works, also this training coordination work was not an
essential duty for their Departments. We face problems in training arranging in Pathein City and
Lashio city. So, DUHD use their Regional Office staff in arranging trainings. (UN‐Habitat asked
Regional Authorities to select Local Training Coordinators from meeting participants at that time)
In Mandalay FGD discussion the participant mentioned that “There were some problems in
preparing trainings. The trainings coordinators were not useful in preparing trainings. They keep
away from doing coordination and logistic issues. After all DUHD had to work training coordinator’s
work. The training coordinator should be selected from DUHD which is the executive department for
this training.
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8. Learning
A Manager from YCDC said that “Urban Planning and Development trainings are useful to Yangon
City Development Committee staff. For example, it can be seen during staff meetings, sometimes
they put up new ideas which they learned from those trainings”.
Mandalay Regional DUHD Manager said that trainees got knowledge especially in town planning,
waste management and finding new water resources for town water supply. The trainees'
knowledge and skilled are improved after attending the trainings. They have been applying their
newly acquired knowledge in staff meeting.
One of the manager said that the trainees got on‐duty to attend trainings, usually the trainees were
afraid to respond in English and they have less interest on group discussions and braining storming
works, the trainees should give more attention on trainings and should be serious in their time
keeping.
The trainees wanted to attend the trainings without disturbances, sometimes trainees didn’t get this
kind of situation especially there were urgent works to do in their office. They had to finish their day
to day office work after finishing the training every day. For example – There were no relieving staff
absence in offices, they couldn’t give adequate attention while attending trainings in duty station
Cities.
Most of the trainers were well prepared for trainings. They prepared handouts, training notes and
carefully prepared power point presentations before giving trainings. The trainers created group
discussions and encouraged the trainees to share their knowledge and experiences during trainings.
The trainers also added remarks and advice on those discussions, they gave concrete examples on
how to apply knowledge in practical work in Myanmar context.
The trainers gave attention and response to trainees’ questions. The trainees were allowed to put up
their views and experience during lectures also. Mostly, training methods were power point
presentation, lectures, group discussions and presentations.
The trainers’ lectures should be in sequence with training notes and handouts so that trainees can
make notes on respective places. Some trainees faced trouble because of less English. Some trainees
think the training needed additional facilitator who can speak Myanmar language, so that facilitator
can help in resolving unclear issues and helping trainees who left behind from training flow. Some
trainees think translation during training is acceptable and it is useful for them, translator should
have more time presentation were very quick to understand.
The training contents were appropriate to Myanmar context. The trainers’ examples during lectures
were appropriate to Myanmar context. The trainers gave good examples related to Myanmar
context which are not included in training modules or handouts. Trainers also gave appropriate
examples which were related to Myanmar Context, for example – utilization of Kandawgyi Lake and
awareness on waste management. In Short, the trainings were mostly appropriate to Myanmar
context.
Mostly the trainees got training invitation in time. First they got telephone message and later
invitation letters. Information about training agendas were also received in time. It needed official
letter from State /Regional Government Office to get permission to attend training, without
permission some departments do not allow to leave duty.
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Sometimes the official invitation letters were late. At that time trainees had to come without
knowing the training subject. Telephone message to respective offices is not enough for training
invitation. It needs to send fax to section heads directly.
9. Job Impact
The Trainees as well as Managers agreed that the trainings added new knowledge to the
participants. At present they have limited opportunities to apply new knowledge in the practical
work because there are not / few projects related to urban transformation work, for example ‐ the
trainees got knowledge on how to manage waste but they needs to wait sometimes to apply that
knowledge in practical work. It needs Government staff and existing Civil Society to make awareness
to inhabitants on how to categorize the waste before throwing it. Also Government Departments are
needed to increase staff force, tools and facilities to manage the big amount of waste systematically.
Still there are opportunities to apply knowledge in day to day work such as procurement, Project
Implementation, Environmental Safeguards. The followings are some points they raised during
discussions
The training knowledge is not directly related to some partners' department work, there
were 29 department / section attended the trainings.
GAD, DUHD and Development Committees works are mostly related to Urban Planning and
Management. The trainings content are directly useful in day to day work of DUHD and
Development Committees.
Managers, Decision Makers are needed to keep in touch with the training modules so that
they were well informed to training content.
For the time being, there is not much opportunities to apply training knowledge to practical
work. There are possibilities to apply knowledge but largely depend on decision maker staff
and availability of new projects related to urban transformation.
The training content is useful for GAD especially in resettlement works after disaster. At that
time GAD need to management land for new settlements.
GAD has programme on systematic and synchronized development of urban and rural areas
and several departments from Township are working together in this programme. For
example, GAD, TDC, Land Records Department and Forest Department are working in that
programme
Focus Group Discussion in Lashio City Focus Group Discussion in Mandalay City
10. Training Environment
236
Mostly, the training environment is conducive to learning and good venue, good enough food and
logistic support.
One of the manager said that UN‐Habitat provided meal cost for the trainees 6500 kyat per person
but didn’t provide transportation cost and guestroom charges for trainees who came from nearby
townships. As a result, trainees had to use own money to pay for transportation and guestroom
charges. After all those trainees cannot afford cost to attend trainings.
In the preliminary discussions, UN‐Habitat asked to select trainees from the respective Cities only,
but Regional Authorities selected trainees from other townships in the Divisions. Participant from
Mandalay Focus group discussion said, the trainees who came from nearby townships of City should
be allowed guest room charges, transportation charges and meal allowances.
11. Conclusion and Recommendation
Transformation of Urban Management: Capacity Building of Urban Management Project in
Myanmar (CDTA‐8456‐Mya) started 1st October 2014 and finished in September 2016.
There are no negative comments on 8 training modules and all participants agreed that the training
modules are very useful for them.
Participant gave suggestion that if the training modules are in Myanmar then they could
have got more knowledge
At least, summary of training notes and handout should be distributed in Myanmar that is
easy for them to learn quickly.
Vocabulary of technical terms from English to Myanmar should be attached in training
notes. It is very useful for self‐learning after trainings.
Participant think basic training schedule took so long a time to finish. So that managers were
hesitate to allow key staff or busy staff to attend training.
They preferred advance training schedule to basic training schedule.
Most of the trainees think basic training time was appropriate but advance training time is
too short.
They gave suggestion that the whole basic training schedule should be given first so that
they could manage to their office work and attending trainings.
Participant selection should be improved. Criteria were missing in participant selection.
Participant selection should be based on education background, years of experience,
background experience and age limitation.
The trainees think there were weaknesses in selection of participants so that UN‐Habitat
should gave more cooperation in selection process.
The selection of training participant shouldn’t be based on the urgency of work in their
hands. (Busy staff should be selected)
The Departments which are working on Urban Transformation are DUHD, Development
Committees and GAD. Mainly targeted on those departments can reduce the burden of
management, coordination and participant selection works. Also, trainings will be more
effective.
237
Urban Transformation work become prevalent in Myanmar in recent years so the training is very
useful. All trainees agreed they got new knowledge especially in town planning, town water supply
and waste management. Training modules and handouts are useful for learning.
All trainers were well prepared power point and the power points are interesting. Trainers
gave attention to trainees’ questions and encourage the trainees to share knowledge during
group discussions. Trainers gave appropriate examples which were appropriate to Myanmar
Context.
They give suggestion that the trainers’ lectures should be in sequence with training notes.
Some trainees think the training needed additional facilitator who can speak Myanmar
language, so that facilitator can help in resolving unclear issues and helping trainees who left
behind from training flow.
Some trainees think translation during training is acceptable and it is useful for them. Some
trainees think translator should have more time for translation as presentation were very
quick.
Training invitation were received in time to make necessary preparation. Information about
training agendas were also received in time.
There should be follow up discussions among trainees to share experience and realize the
training contents. This kind of discussions should be parts of the training schedule.
All Trainees including managers agreed that trainees got new knowledge but they have limited
opportunity to apply knowledge in practical work. It needs to wait sometimes to apply their new
knowledge
GAD, DUHD and Development Committees works are mostly related to Urban Planning and
Management. The trainings content are directly and widely useful for them.
There are possibilities to apply new knowledge but that is largely depends on decision maker
staff and availability of new projects related to urban transformation.
Managers, Decision Makers are needed to keep in touch with the training modules so that
they were well informed to training content.
12. Participant Reaction
See attached excel file – Participant Reaction
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Participant Reaction from Focus Group Discussion and Manager Interview
Sr City Person Group
Discussion Points
1 LSO Managers
We have Professional staff / Civil Engineers in Urban transformation work, but we can do only practicing design or producing plan. For implementation stage we are needed to suport to GAD and Land Record Department. Normally other Departments are needed to follow GAD's implementation works.
2 MDY FGD
Usually staff who are not working in key positions were selected attend trainings. Actually key persons should be selected. It was happened because departments do not have sufficient staff to cover its work.
3 MDY Manager Urban Transformation work become prevalent in DUHD in recent years so the training is very useful for us.
4 YGN FGD
Not all trainings are useful for all trainees. Let us say, some training‐modules are useful for some departments some modules are not. For example, all training modules are useful for trainees from Development Committees. Procurement Training Modules, Project Implementation Training Modules and Operation and Maintenance Training Modules are useful for Water Resources Utilization Department.
5 LSO FGD
The trainings are useful but depend on the participants’ backgroud experience. For example‐ Environmental safeguard is useful for Forestry department. Almost all of the modules are useful for GAD as their works are linked to rural development and urban Management. In short, the trainings are useful for participants.
6 LSO Managers There are constraints to apply training knowledge in practical work. We do not have much work related to urban transformation.
7 MON FGD
The trainings are useful for Development Committees. For example Precast Concrete Works and Waste Management work is very useful for Development Committees. But still it need some times to apply this knowledge of waste management in practical work.
8 MLM Khin Mg Latt
Some trainees attended the trainings because of their senior staffs asked them to attend, but their works were not related to the trainings.
9 PTN Manager
It is crucial that the section heads of the departments are needed to attend trainings. The change will happen only after the head of the sections were convinced to the trainings.
10 MLM Khin Mg Latt
There are staff with better skilled but they are busy with urgent works almost all of the time. So they were not selected to attend training.
11 PTN Group
We didn't have relieving staff in our duty while attending training which were held in duty‐station city. We need to manage our office works as possible as we can.
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12 PTN Group Training environment, venue and food is good.
13 PTN Group There were more competitions in advance training schedule as trainees came from different cities
14 PTN Group The trainers encouraged participant to share their own experience. Also, they gave attention to trainees questions.
15 YGN FGD The level of trainings are appropriate to trainees.
16 YGN FGD
The trainees didn’t have relieving staff in their duties while attending the basic trainings. They were needed to carry out their office work after attending the training every day.
17 YGN FGD
Vocabulary of technical terms from English to Myanmar should be attached in training notes. It is very useful for self‐learning after trainings.
18 YGN FGD Some trainees attended advance trainings without attending the basic trainings.
19 YGN FGD
Basic and advance trainings should be carried out continuously so that trainees can learn more easily. Otherwise, the trainees hardly remember the basic course. The trainees understanding is that basic training is for theory and advance training is for application.
20 YGN FGD
It is better to give video clips on lecture and presentation as the lecturing process was too quick and the trainees couldn’t take notes on training hard copies.
21 YGN UTA
The Urban Planning and Development trainings are useful to YCDC staff. It can be seen during staff meetings. Sometimes they put up new idea which they learned from those trainings.
22 YGN UTA The staffs improved knowledge after attending the training if job background is related to the trainings content.
23 YGN UTA The training invitation came from Regional GAD, there were not detail criteria on trainees‐selection.
24 LSO FGD The level of trainings were appropriate to trainees. The trainings were not difficult.
25 LSO FGD
The trainings add to new knowledge. For example GAD has programme on systematic and synchronized development of urban and rural areas and several departments from Township are working together in this programme. For example, GAD, TDC, Land Records Department and Forest Department.
26 LSO FGD The training content and trainees’ works are quite different. The opportunity to apply training knowledge to practical work is limited.
27 LSO FGD The translation from English to Myanmar were useful but the presentation were quick to understand in detail.
28 LSO Managers If the training notes were in Myanmar the trainees could have got more knowledge.
29 MON FGD
The amount of course and the length of time is not match. Time is too short. Even though the trainings are not difficult, we couldn’t understand as much as we should. Let u say, we got 70 to 80% of the training.
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30 MON FGD
We didn’t have relieving staff in our duty while attending trainings in duty station City. We had to take care our office work while attending training. Let us say, after finishing the training we had to work in our office. Sometimes, during training time we were needed to carryout out urgent works.
31 MON FGD
The trainings add knowledge. There are also work places to use the knowledge in practical work. The GAD, Development Committees and DUHD works are mostly related to urban development.
32 MDY FGD
Some information were missed or dropped out in translation. The translators didn’t get enough time. At least, summary of training notes and or handout should be distributed in Myanmar.
33 MDY FGD
Trainers’ presentations, discussions and training methods were interesting. They created group discussions to share experience. Trainers also gave appropriate examples which were appropriate to Myanmar Context, for example – Utilization of Kandawgyi lake and awareness on waste management.
34 MDY Manager The trainees got knowledge especially in town planning, waste management and finding new water resources for town water supply.
35 MDY Manager It is better to add more field visits to understand linkages between classroom and practical work.
36 MLM Khin Mg Latt
Departments were need to choose participants who are knowledgable and can support their department after the training.
37 PTN Manager The trainees should be selected from the departments which works are directly related to urban transformation
38 PTN Group The selection of trainees should be based on their background experience, profession and type of work they are doing.
39 PTN Group The selection of training participant shouldn’t be based on the urgency of work in their hands. (busy staff should be selected).
40 PTN Manager
The training participants selection was mostly depended on the section heads of the departments. It needs UN‐Habitat to keep in touch with the sections heads to advocate about the Project
41 PTN Group Trainees perception is that different trainees for different modules is not effective.
42 YGN FGD
The selection of training participants was handled by Divisional GAD but they didn’t select the trainees. Respective Government Departments selected the trainees and GAD approved it and sent training invitation to selected staff.
43 YGN FGD
The trainees think there were weaknesses in selection of participants. They advised UN‐Habitat should gave more cooperation in selection process.
44 YGN FGD
The participant came from Support Committee of Development committee are not staff from government Office. They were elected persons respective townships and voluntarily working for Development Committees but now the new Government dismissed their services and duties.
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45 YGN FGD
The Government Staff from Development Department did think they should be allowed more staff to attend trainings. The Voluntary Staff from Supporting Committees got priority in participant selections instead of Development Committee staff. Development Committee got permission to attend training for 3 staffs after applying additional application to Urban Planning and Management Training Participant Selection Unit.
46 YGN FGD
The trainees should be selected based on their education background and service background. For example‐ more Engineers should be selected on engineering background subject. Even though some departments are working on urban related works their job backgrounds are totally different from engineering work. For example – GAD.
47 YGN UTA
There are very few staffs working in Urban Development Work with Urban Development Background Education. Mostly staff have other background education especially engineering background.
48 YGN DS
Usually, in basic trainings, there were 2 trainings in each month and one training last for one week of time including transportation to respective cities. The trainees had to spend two weeks for attending training in each month. The result is, the departments cannot send key staffs or busy to the trainings
49 YGN DS
The invitation was included Ministries names and concerning Department names. The targeted section names were not included. A department may have several section in it. That is why, sometimes there were wrong participant in the training list.
50 YGN DS
The Departments which are working on Urban Transformation are DUHD, Development Committees and GAD. Mainly targeted on those departments can reduce the burden of management, coordination and participants selection works. Also, trainings will be more effective.
51 MON Manager Different staffs attended in different trainings but there were not coordination among those staffs to put their knowledge together.
52 MON Manager
It is difficult situation for the Government Departments to allow key / busy staff to attend trainings for several months. Usually, the staff who are not in key positions were selected to attending trainings. Some departments assigned a suitable staff to attend all trainings. For example, Environment Department selected a staff to attend all basic trainings.
53 MON Manager
There were no detail criteria on selection of training participant. Regional GAD's invitation mentioned only desirable level / position for a participant. The invitation were sent to concerning departments but there were no indications to which section or sub‐division of the Departments. So there were possibility to select participants from wrong section.
54 MON Manager
The process of selection of participants should have a set of criteria, for example – education background, years of experience, background experience and age limitation.
55 MON Manager
The numbers of trainees allowed in each department was not consistent. For example‐ There were considerable reduction of participants in advance trainings. Some staffs who attended basic training wanted to attend advance trainings but they were not allowed due to the reduction of the numbers of trainees.
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56 MON Manager
There should be follow up discussions among trainees to share experience and realize the training contents. This kind of discussions should be parts of the training schedule.
57 MDY FGD The key departments who are working for urban transformation works are DUHD, GAD, Development committees.
58 MDY Manager We made trainees selection process according to the Regional GAD invitation letter. The trainees got on‐duty for attending trainings.
59 MON Manager
The participants improved after attending the training, for example ; Development Committee sent 2 staff to trainings. One has engineering background another one is finance staff. Now they both work together in writing business plan proposal for waste management of Mawlamyine City.
60 MDY FGD
We got knowledge from trainings but there are many opportunities to apply in practical work. There are not much projects related to urban transformation. We understand that; we need to protect our Kandawgyi Lake, U Pain Bridge and our city drinking water quality. We understand that drainage systems are needed improvements in our City. Drainage system should be done first in establishing an urban,
61 MDY FGD
We understand that Mandalay inhabitants are needed to raise awareness on environmental conservation. Community based organizations have weakness in organizing people. They should be strong to carry out or to stand for environment affairs and waste management work.
62 MDY Manager
The staff skill also improved after attending the trainings, for example they understand that systematic drainages systems are important in establishing urban. They get opportunities to apply their new knowledge in practical works. Also, they put up their advice in new projects.
63 MLM Khin Mg Latt
The trainees received training invitations in time to make preparation to attending trainings
64 MLM Khin Mg Latt
The training needs additional facilitator who can speak Myanmar language apart from main trainer (Expatriate staff) so that the additional facilitator can help in resolving unclear issues and helping trainees who left behind from training flow.
65 MLM Khin Mg Latt
UN‐Habitat should define training participant selection criteria carefully to get knowledgable staff.
66 MLM Khin Mg Latt
In 'Advance Training' schedule, the departments can save time and avoid frequent on‐duty to attending trainings
67 YGN FGD
Managers are needed to keep in touch with the training modules so that they were informed about new technologies or new ideas. For example, in drainage systems there should be un‐plastered areas so that storm water can infiltrate into earth. That is very easy work which can be incorporated in our existing construction work.
68 YGN FGD Usually, the trainees got invitations by phones in time. The official invitation letters received later.
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69 YGN DS
UN‐Habitat provided 6500 kyats for each trainees and actually this amount of cash was not enough. Our Department provided for excess expenses. It needed to manage lunch, Tea and snacks for two breaks including drinking water and cleaning cost with that 6500 kyats for each training participants. Normally there were 25 participants for each training and each training last for 4 days.
70 YGN DS
UN‐Habitat provided meal cost for the trainees but didn’t provide transportation cost and guestroom charges for trainees who came from other townships of Yangon Division. As a result, trainees had to use own money to pay for transportation and guestroom charges. After all those trainees cannot afford cost to attend trainings which were running twice in a month and once for a week of time.
71 YGN DS
UN‐Habitat asked to select trainees from the respective Cities only, but Regional Authorities selected trainees from other townships in their Divisions.
72 YGN DS
Local training coordinators were selected from other Department instead of DUHD which is key Department for arranging trainings. This created problems in training arrangements. Local Training Coordinators didn’t give full support because of their Department urgent works, also training coordination was not an essential duty for their Departments. We face problems in training arranging in Pathen City and Lashio city. So, DUHD use their divisional Office staff in arranging trainings. (UN‐Habitat asked Regional Authorities to select Local Training Coordinators from meeting participants at that time)
73 LSO FGD
The training environment in Mandalay were not conducive because of the electricity interruptions. The air conditioners broke down frequently. Lashio trainees attended trainings in Mandalay 4 times.
74 LSO FGD
Trainees DSA was not enough. Some trainees came from out of Lashio were not provided transportation charges and guestroom charges.
75 LSO Managers
Normally 22 participants attended each training held in Lashio. We got only 7 participants for the trainings held in Mandalay. There were 3 trainings we went to attend in Mandalay. Because of the reduced number of trainees we faced trouble in participant selection.
76 MON FGD
Basic trainings should have been given continuously like advance trainings but the training time should be more longer. Advance trainings time was even shorter than basic trainings.
77 MON FGD
It is better that the whole trainings schedule should be given in advance so that participants can manage their office work and attending trainings.
78 MON FGD We attended 3 basic course trainings in Mandalay and in those trainings some participants were not invited.
79 MON FGD
Mostly we got training invitation in time. First we got telephone message and later we got invitation letters. Both of them were received in time. Information about training agendas were also received in time.
80 MON FGD The training environment was also good and lunch and snacks during training breaks were acceptable.
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81 MON Manager
Monywa DUHD took responsibility for holding trainings and organizing trainees. Regional GAD issued the official letter of invitation to respective departments and DHUD coordinate the departments to get the trainees in time.
82 MON Manager It is better to take and distribute lectures and presentations video files.
83 MDY FGD
The trainings content is too much compare to trainings time so that we couldn’t understand in detail. We got in overall 70 to 80%. Actually we can learn more than that if the trainings time are appropriate to training content.
84 MDY FGD The training plan for all trainings should be drawn and informed in advance so that trainees can prepare to attend trainings
85 MDY FGD
Instead of holding 4 days training frequently in basic training, longer days training (for example ‐14 /21 days) should be organized for several modules like advance trainings.
86 MDY FGD
There were some problems in preparing trainings such as in training coordination logistic issues. The trainings coordinators were not useful in preparing trainings. After all DUHD had to work training coordinator’s work. The training coordinator should be selected from DUHD.
87 MDY Manager
The trainees are needed to share their knowledge to other staffs. I also help in sharing knowledge to other staff by creating discussions and meetings.
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Appendix 19: Training of Trainers Course Report
246
Training of Trainers Course Report
COURSE REPORT
TRAINING OF TRAINERS
‐Capacity Building for Urban Management Project‐
Yangon, 30 November‐ 4 December
CONTENTS
1. The Course and its objectives
2. The participants and Course Program as implemented
3. Location
4. Evaluation of the Course
4.1 Attainment overall Course Objectives
4.2 Attainment of specific learning objectives
4.3 Feedback on the Contents, Program, Teaching Clarity and Training Materials
4.4 General course feedback
Annexes.
1. Course Outline as designed
2. Course Program as implemented
3. Summary Feedback Final Course Evaluation Questionnaire
4. Summary Feedback attainment learning objectives English speaking only
5. Summary Feedback attainment learning objectives non‐English speaking only
6. List of Participants
247
1. The Course and its objectives
UN‐HABITAT is looking to further support the Government of Myanmar in developing its capacity in
the area of urban management and infrastructure planning. It has entered into an agreement with
the Asian Development Bank to implement the project entitled “The Transformation of Urban
Management: Capacity Building for Urban Management Project” with the objective to promote
sustainable urban development in Myanmar towns by building institutional capacity of local
authorities, leading to the prioritized needs‐based provision of essential infrastructure. The project is
anchored in the Ministry of Construction and activities will cover townships of Yangon, Mandalay,
Mawlamyine, Pathein, Lashio, and Monywa. The main tasks of the project are to (a) develop training
modules in eight key areas of urban management, (b) implement training activities in six cities, (c)
formulate urban services business operations plans and (d) institutionalise capacity development at
city level and at the Urban Research Development Institute (URDI).
This Training of Trainers Course is meant to build the capacity of a group of persons to become
skilled trainers, able to implement and deliver the training modules developed under this program in
the six cities, and ensure that there is a consistency in the approach to training which they use, as
well as to bring them up‐to‐date with current training techniques.
The participants of this course will comprise the eleven project team members and six local field
training coordinators assigned by the project cities.
The overall purpose of this course is:
To build capacity of a group (network) of professionals to strengthen the Urban Research and
Development Institute, to conduct and manage tailor made and specialized training to professionals,
technical cadre and‐or policy makers in the six cities in the fields of Strategic Urban Planning, Urban
Land Management, Preparation of Urban Infrastructure Investments, Environmental and Social
Safeguards, Financing for Urban Development, Management of Procurement and Project
Implementation, Operations and Maintenance, and Management of Public‐Private Partnerships
The overall Course Objective:
After the course the participants understand the principles for effective training and learning, and
are able to apply those principles themselves in the preparation, design, delivery, evaluation and
management of the training.
The Learning Objectives
The course is designed to address all stages of the training cycle with a particular focus on adult
learning and its implications.
The course will in sequence address the following learning objectives:
After the Course the participants should be able to:
248
Explain the difference and complementarities between Education, Training, Human resource
development and Capacity Building at large.
Differentiate between pedagogy and andragogy (adult learning) with regard to the learners
motivation and the roles of the teacher and the learner.
Identify some key characteristics of adult learning and its implications for the training methods and
the role of the trainer.
Demonstrate an understanding of Kolb’s experiential learning cycle and its implications for training.
Identify their own preferred learning style, and recognize three main categories of learning styles,
and its implications for the role of the trainer.
Differentiate between the pro’s and con’s of the application of various training methods and be able
to select the most appropriate methods in a given situation and prepare for effective supporting
training materials.
Deliver a professional and effective presentation and be able to select and prepare for and use
effective supporting presentation materials.
Appreciate the concept of training as a process of performance improvement, and to mention the
different stages of the training cycle
Identify a number of approaches to assess training needs
Formulate overall course objectives as a basis for overall course design, and be able to apply some
principles of sequencing and modularization for detailed Curriculum Development.
Formulate detailed learning objectives as the foundation for detailed session design and preparation
To apply the model of the experiential learning cycle as a tool for session design and preparation;
Appreciate the four different levels of training evaluation and the related indicators for data
collection during the training cycle.
Organize and manage a training cycle and keep quality control.
2. The participants and Course Programme as implemented
Twenty five participants joined the course and were present throughout the course (See Annex 6 for
the list of participants).
The program was designed to address all stages of the training cycle, and implemented as such.
Please refer to Annex 1 for the detailed course outline, and Annex 2 for the Course Program as
implemented.
Reason for the adjustments in the program is mainly the language/communication problem, causing
more time required to address the learning objectives. Nine out of the 25 participants had a
sufficient proficiency in the English language. For the other 16 participants there was translation
facilitated during the lectures. A lot of training activities were planned as group work (4 groups of 6
participants each), allowing the English speaking to translate the handed‐out materials to their
249
colleagues, and after that working in their local language. This all took more time than planned for,
causing from Session 6 upto 11, to move activities to the next session, and cancelling the activities
planned for session 11 (an exercise on re‐design of a session plan). Thus in the end only one of the
planned sessions had to be cancelled.
3. Location
The training was conducted in a conference/meeting room of URDI (Urban Research and
Development Unit) of the Ministry of Construction. Lunch and coffee/snacks were provided in the
same building. The facilities and equipment were all in place, and facilitated a smooth
implementation of the training program.
4. Evaluation of the Course
Note: The following results are based on the feedback from 20 participants. The summary results of
the evaluation questionnaire are presented in Annex 3. References are made to the question‐
numbers in that questionnaire.
Participants were asked not to fill‐in the open‐questions, because I’m not able to read their replies in
the local language: Instead I asked them to express their views during the following plenary
feedback/review discussion.
4.1 Attainment of the overall Course objectives (see sheet 1, Annex 3).
Overall course objectives
The overall level of satisfaction, in terms of understanding the principles for effective training and
learning was positive: only 30% was moderately satisfied (1.1). As well a positive feedback was
provided on whether participants felt capable now to apply the principles of effective learning in the
design, evaluation and management of more effective training programs and the conduct of training
sessions. (1.2.1 and 1.2.2): only 10% expressed to have some doubts.
Overall it can be concluded that the training was a success with regard to its purpose and overall
objectives.
4.2 Attainment of the specific learning objectives (see sheet 1, Annex 3)
4.2.1 Learning objectives (based on self assessment)
Participants were invited to provide feedback on the achievement of the learning objectives of the
course by means of self assessment (1.3.1‐1.3.11)
The feedback of the whole group was as follows:
Yes I am capable: 21%
Most probably capable: 56%
Have some doubt: 23%
Don’t feel capable: 0%
Thus 77% at the positive side.
Given the comments during the final review discussion that some preferred to have all materials
translated (too expensive!) and complaints on the quality of the available translator as well as
250
English expressions being difficult to translate, I made a separate assessment of the English speaking
and non‐English speaking participants with regard to the attainment of the learning objectives. The
findings are as follows:
The feedback from 9 English speaking participants (see Annex 4):
Yes I am capable: 37%
Most probably capable: 54%
Have some doubt: 9%
Don’t feel capable: 0%
Thus 91% at the positive side.
And the feedback from 11 Non‐English speaking participants (see Annex 5):
Yes I am capable: 8%
Most probably capable: 61%
Have some doubt: 31%
Don’t feel capable: 0%
Thus 69% at the positive side.
It can thus clearly be concluded that the attainment of the learning objective was much higher with
the English speaking participants, compared to the Non‐English speaking participants.
4.3 Feedback on Contents of Program, teaching clarity and training materials (sheet 2A, Annex 3)
Relevance of the Content of the sessions :
Only 2% replied: not relevant
Teacher clarity:
Only 1% replied: unclear
Quality of materials:
Only 1% replied: poor
4.4 General Course Feedback (sheet 3)
The overall organization of the course (course description, program, assess to materials, lecture
notes and instructions) was received as very good:20% and Adequate: 65%.(3.1)
Level of mixture theoretical versus applied work: 5% felt too academic while 90% felt an adequate
mixture (3.3)
251
Relevance of learning for future own involvement in training: 75% definitely yes and 25% I’m in
doubt (3.4)
Duration of the course: 75% just right; 25% too short (3.5)
Would you recommend others (for whom it is relevant) to follow this course: 80% definitely yes and
20%: I’m in doubt (3.6)
Hans Teerlink
9‐12‐2015
252
ANNEX 1
Course Program: Objectives and Training Methods per session
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
MODULE 1: TRAINING, ADULT LEARNING AND TRAINING METHODS
Session 1 Opening
and Introduction to
the Course.
What is training?
45’
45’
To welcome the participants to the course
and introduce to each other; incl. (future)
role in training and field of specialization
To familiarise the participants with the
background, objectives, content and
schedule of the course and to explain the
training methodology applied and
participants expectations.
Be able to distinguish between
characteristics of formal Education, Training,
HRD and CB; resulting in a clear view of what
a training impact should be.
Opening of the course
Participants introduce themselves and make
name cards
Explanation of the course program, with
reference to the expressed expectations.
Training concept in the context of Education,
HRM and CB. And the dimensions of Capacity
Building
5’ Opening words
2x5’ Two participants interview each
other
15’ Round where participants
introduce their neighbour (based on
the interview)
10’ Explanation of the course
program, linking‐in to expectations
45’ participants discuss in groups
differences between training,
education, HRM and CB.
‐Format for
interview
‐“cards” pens
for names
Course Outline,
Ex.sheet 1
253
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
Session 2 Capacity
Building, Training and
HRM
90’ Be able to differentiate between the four
dimensions of Capacity Building.
Recognize the difference between training
and education
Recognize some dimensions for
Organizational development
Understand the mutual relation between
Training and Human resource Management
Dimensions of capacity building
Definitions for Education and Training
Dimensions of organizational development
Relation training‐HRM
45’ Group presentation and plenary
discussions
15’ PP presentation on dimensions of
Capacity Building
15’presentaion + discussion on
organizational development
15’presentation relation training‐
HRM
Copy PP 2.1
Copy PP 2.2
Copy PP 2.3
Handout 2.1
Session 3 Training
and Adult learning
90’ Be able to differentiate between pedagogy
and andragogy with regard to learners
motivation and the roles of the trainer and
the learner
Be able to list some key characteristics of
adult learning and its implications for the
training methods and the role of the trainer.
Implications short‐term nature of a training
course
Pedagogy vs. Andragogy and the principles of
adult learning.
Characteristics of Adult learning and its
implications for training.
20’ PP interactive lecture
10’ Question and answer
15’ Presentation
30’ Self‐study handout
15’ Discussion
Copy PP 3.1
Handout 3.1
Session 4
The learning cycle
and individual
learning styles
90’ To understand Kolb’s experiential learning
cycle
Participants should be able to identify their
own preferred learning style, and recognize
three main categories of learning styles
amongst adults.
Kolb’s Learning Cycle
Assessment of the individual preferred learning
style;
the categorization of individual learning styles,
and the implications for the role of the trainer
and the selection of training methods.
15’ presentation
30’ Self‐test
Copy PP 4.1
Handout 4.1
254
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
Be able, for the three main categories, to
mention the implications for the role of the
trainer and the selection of suitable training
methods.
15’ Plenary discussion results
15’ Presentation on implications
15’ Brainstorming on training
methods
Ex.sheet 4
Copy PP 4.2
Ref. Article 4.2
Session 5
Pro’s and Con’s of
various training
methods
90’ Be able to differentiate between the pro’s
and con’s of various training methods,
recognize the importance of participatory
methods,
Pros and cons of different training methods.
Suitability of methods linked to the learning cycle
and styles.
90’ groups work on pros and cons of
training methods by discussion and
study of the handout on training
methods. And prepare for
presentation in the next session
Ex. Sheet ses 5
Handout ses 5
Session 6
Choice of training
methods and
Presentation
techniques.
90’ Be able to select suitable methods for a
particular session (to secure that the learning
objectives will be attained).
Be able to prepare for and deliver an
effective and professional presentation with
the appropriate use of visual support
Pros and Cons of methods
Choice of methods
Presentation techniques
45’ Plenary presentation and
discussion of training methods
15’ interactive lecture on choice of
training methods and use of case
studies.
30’ presentation on presentation
techniques
Assign some methods to the groups
for the try‐outs at the end of the
PP ses 6.1
PP ses 6.2
255
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
course (lecturette plus Q&A;
Brainstorm or NGT)
Ex sheet 6
MODULE 2: DESIGN AND MANAGEMENT OF TRAINING
Session 7
The Training cycle;
training needs
assessment;
90’ be able to list the different stages of the
training cycle and to appreciate TNA as the
foundation for program and course design.
be able to explain some different TNA
approaches and when to apply them.
Training Process and Training Cycle.
Application exercise of the Nominal Group
Technique
Different approaches to identify training needs.
15’interactive lecture
60’Nominal group technique to
generate ideas on: “how and where
can we obtain information for a
training needs assessment”
15’ short lecture
PP ses 7.1
Handout ses 7.1
Ex sheet 7
PP ses 7.2
REF 7.1
REF 7.2
Session 8
modalities of
training.
Course design and
curriculum
development
90’ Be able to differentiate between different
modes of training.
be able to formulate overall course
objectives as the foundation for course
design.
appreciate the concept and advantages of
modularisation in curriculum development
and know some ways how to structure
courses.
Different modalities of training/learning
Overall course objectives,
curriculum development and modularisation.
15’presentation training modes and
training strategies. (case IUIDP
Indonesia)
10´brainstorm on modes
10’study handout 8.1
10’ Q&A.
45’interactive lecture curriculum
development
Pp ses 8.1
Handout ses 8.1
Handout 8.2
256
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
PP ses 8.2
Session 9
Learning objectives
as the foundation
for session design
90’ Be able to formulate proper and thus
“SMAL” learning objectives with a clear
statement of what has to be achieved by the
learner, as the foundation for detailed
session design
Guidelines for the formulation of ‘SMAL’ learning
objectives based on behavioural criteria
(cognitive, motoric, affective)
10’ intro
30’ group exercise
15’ discussion results
20’study of under project developed
course outlines
15’discussion comments
PP ses 9
REF article 9
Ex sheet 9
Handout of
project course
outlines
Session 10
Session design and
preparation
90’ Be aware of the experiential learning cycle,
and be able to apply it as a tool for
structuring and designing a training session.
The experiential learning cycle and the
sequencing of learning activities and choice of
training methods.
Format and guidelines for training session
design.
20’ interactive lecture
35’exercise to structure a sessions
15’discussion results
20’interactive lecture
PP ses 10
Ex sheet ses 10
Session 11
Session (re)
design exercise.
90´ Be able to structure, design and
prepare in a consistent and
systematic manner a training
session, applying participatory
training methods, in participant’s
own field of professional expertise.
‐ Group assignment on the (re‐)design
of a training session
‐ Presentation by the groups;
discussions on the quality of the session
50’ group assignment to (re)
design a training session
Ex sheet ses
11
257
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
Presentation
and discussion
of results.
(Objectives, activities, methods,
materials)
designs, and feedback on the quality of
visual support and presentation skills.
40’ plenary discussion and
feedback results
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
Session 12
Training
evaluation and
impact
assessment.
Training
management
and quality
control
90´ Be able to differentiate between the
four different levels of learning
impact/ training evaluation,
Be able to design an end‐of‐course
evaluation
Understand the ways by which we
can measure change as part of
training impact assessments
(knowledge increase and
performance improvement)
Be able to track the most important
indicators for monitoring and
management of the training cycle.
‐ Levels of learning impact and methods
of data collection and evaluation.
‐ Indicators for monitoring of the
training cycle.
‐ Checklist and tips for organizing and
managing training
15’ Interactive lecture on
training evaluation
30’ group assignment
15’ discussion results and
categories of evaluation
feedback
30’interactive lecture on
monitoring and management
of the training cycle
PP ses 12.1
Handout
12.1
Ex sheet ses
12
PP ses 12.3
Handout
12.2
258
Title of module /
session
Duration
in
minutes
Objectives Key words on contents/activities Nature and timing of the
training activities
Notes and
materials
Session 13
Final
preparations for
Try‐out sessions
90´ . Participants prepare for the final Try‐
out sessions (lecturettes of 45’)
Lecturette group 1; 45’
Lecturette group 2: 45’
Session 14&15
4 Try‐out
sessions of each
45 min.
180´ Be able to prepare for and conduct a
Lecturette of 45’(a presentation
including options for trainee
participation)
Lecturette group 3; 45’
Lecturette group 4: 45’
Check list for
presentation
s
Session 16
Course review,
evaluation, and
closing
Get participants feedback on the
training and the learning impact
Evaluation questionnaire and feedback
discussion.
30’ for distribution and filling
in the final evaluation
questionnaire
30’plenary discussion and
review
30’closing
evaluation
questionnair
e
259
ANNEX 2
Course Schedule as Implemented (in blue cells the changes)
Day 9:00‐10:30 11:00‐12:30 12:30‐
13:30
13:30‐15:00 15:30‐17:00
Monday
30
November
‐
‐ Welcome
Lunch
Session 1
Opening and
what is training?
Session 2
Capacity building;
Org.development;
Training‐HRM
Tuesday
1
December
Session 3
Pedagogy‐
Andragogy;
characteristics
of adut
learning
Session 4
Experiential
learning
cycle;
Categories of
learning
styles.
Lunch Session 5
Pro’sand Con’s
of various
training
methods
Session 6
Choice of training
methods;
Planned
Presentation
techniques
moved to session
7
Wednesday
2
December
Session 7
Presentation
Techniques
(Planned
session 7
moved to
session 8)
Session 8
Conduct
Session 7
Training
Cycle;
Training
needs
assessment
(Planned
Session 8
moved to
Session 9)
Lunch Session 9
Conduct Session
8
Different
modalities of
training/learning
Course design;
curriculum
development
(Planned
Session 9 moved
to session 10)
Session 10
Conduct Session 9
Learning
objectives as
foundation for
session design
(planned session
10 moved to
session 11)
Thursday
3
December
Session 11
Conduct
Session 10
Session design
and
preparation
Session 12
Training
evaluation;
impact
assessment;
Training
management
Lunch Session 13
Final
preparations for
try‐out
presentations
Session 14
Try‐out group 1
Try‐out group 2
260
( planned
Exercise
session (re)‐
design was
cancelled)
& quality
control
Friday
4
December
Session 15
Try‐out group
3 Try‐out
group 4
Session 16
Evaluation
and closing
Farewell
Lunch
Optional/spare sessions:
In case the training progress,
because of language/communication
was too slow.
261
ANNEX 3
262
SUMMARY FEEDBACK Final Course Evaluation Questionnaire: <Training of Trainers Course>
Sheet 1: Attainment of Learning objectives
<<Please tick the O‐boxes and/or wrtite your comments at the ………… lines
1.1 In terms of understanding <the principles for effective training & Learning>, what is your overall level of satisfaction
with this course?
Very
satisfied
Mostly
satisfied
Moderatel
y
satisfied
Dis‐
satisfied
20% 60% 20% ‐
1.2 Do you feel that you are capable now to apply these principles in: Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.2.1 the design, evaluation and management of more effective training programs?
20% 65% 15% ‐
1.2.2 the preparation and conduct of more effective training sessions? 10% 70% 20% ‐
1.3 The following learning objectives were stated for the course. Could you indicate how successful the course
curriculum was in achieving the following learning objectives.
Please indicate whether you feel capable now:
Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.3.1 To explain the difference and complementarity between Education, Training, Human Resource
Development and Capacity Building at large. 10% 60% 30% ‐
1.3.2 To differentiate between pedagogy (child) and andragogy (adult) with regard to the learners motivation and the
roles of the teacher and the learner. 25% 60% 15% ‐
263
1.3.3 To mention some key characteristics of adult learning and its implications for the training methods and the role
of the trainer. 40% 45% 15% ‐
1.3.4 To Identify your own preferred learning style, and recognize three main categories of learning styles, and its
implications for the role of the trainer. 25% 55% 20% ‐
1.3.5 To differentiate the pro’s and con’s of various training methods and to link them to the ‘dependent’,
‘collaborative’ and ‘independent’ learning styles.
30% 65% 5% ‐
1.3.6 To prepare for and deliver a professional and effective presentation 30% 45% 25% ‐
1.3.7 To appreciate the concept of training as a process of performance improvement, and to mention the
different stages of the training cycle 10% 70% 20% ‐
1.3.8 To apply principles of course structuring and sequencing in Course design and curriculum development. 20% 55% 25% ‐
1.3.9 To formulate ‘SMAL’ learning objectives as the foundation for detailed session design and preparation
25% 55% 20% ‐
1.3.10 To apply the model of the experiential learning cycle as a tool for session design
5% 65% 30% ‐
1.3.11 To explain the four different levels of training evaluation and the crucial indicators for monitoring and
managing the training process.
10% 40% 50% ‐
Overall Average Attainment Learning Objectives 21% 56% 23%
264
SUMMARY FEEDACK Final Course Evaluation Questionnaire : <Training of Trainers Course >
Sheet 2 A : Feedback on sessions
. <<Please tick the O‐boxes and/or write your comments at the …….lines >.
2.1 What is your opinion about the following
class sessions? Content of the sessions Level of teaching clarity Quality of materials
(PP sheets, exercises. Handouts)
Very
Relevant
Partly
Relevant
Not
Relevant
Very clear Just right Unclear Very good Just right poor
2.1.1. Block 1: Education, Training, HRD ,
Capacity Building and adult learning and
learning styles.
65% 35% ‐ 30% 70% ‐ 35% 65% ‐
2.1.2. Block 2: Training methods and
presentation techniques. 75% 20% 5% 35% 65% ‐ 35% 65% ‐
2.1.3 Block 3: Training cycle, TNA and course
design 40% 60% ‐ 25% 75% ‐ 25% 75% ‐
2.1.4. Block 4: Formulation of learning
objectives and session design. 60% 40% ‐ 30% 70% ‐ 25% 75% ‐
2.1.5. Block 5: Training management ,
evaluation and impact assessment 55% 40% 5% 35% 60% 5% 35% 60% 5%
Overall average Feedback 59% 59% 2% 31% 68% 1% 31% 68% 1%
265
2.2 Which blocks did you find most
important?
………………………..
………………………..
2.4 Is there any topic that you are missing
that you would like to have had in this
course? ………………
2.5 If you have comments on the teaching
style/method give them here:
……………………..
2.6 If you have any comments on the
completeness of lecture materials (lecture
notes, handouts, Pppresentations) give
them here: ……………………….
2.3 Which blocks did you find least
important?
…………………………..
…………………………….
266
SUMMARY FEEDBACK Final Course Evaluation Questionnaire : <Training of Trainers Course >
Sheet 3: General Course feedback
<<Please tick the O‐boxes and/or write your comments at the …….lines >
3.1 What is your opinion on the organization of the Course, in terms of course description and program, timely handing
out of reading materials, lecture notes, instructions, etc? Very good
20%
Adequate
65%
Poor
15%
Bad
‐
3.2 Please clarify your answer in case you responded to question 3.1 with ‘poor’ or ‘bad’.
………………………..
3.3 What is your opinion on the level and mixture of theoretical versus applied work?
Too
academic
5%
Adequate level/mixture
90%
Too
practical
5%
3.4 Do you think that what you have learned during this course will be relevant for your own training involvement in
the future? Definitely
Yes
75%
I’m in doubt
25%
Definitel
y Not
‐
3.5 What is your opinion on the total duration of this course? Too long
‐
Just right
75%
Too
short
25%
3.6 If a similar Training of Trainers Course would be offered at some time in the future, would you advise/recommend
others (for whom it is relevant) to follow that course? Definitely
Yes
80%
I’m in doubt
20%
Definitel
y Not
‐
267
lease indicate what you intend (will try) to do/apply in your future teaching/training involvement, as a result of this TOT program:
…………………
268
ANNEX 4
269
SUMMARY FEEDACK ENGLISH SPEAKING PARTICIPANTS Final Course Evaluation Questionnaire: <Training of Trainers Course>
Sheet 1: Attainment of Learning objectives
<<Please tick the O‐boxes and/or wrtite your comments at the ………… lines
1.1 In terms of understanding <the principles for effective training & Learning>, what is your overall level of satisfaction
with this course?
Very
satisfied
Mostly
satisfied
Moderatel
y
satisfied
Dis‐
satisfied
10% 60% 30% ‐
1.2 Do you feel that you are capable now to apply these principles in:
Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.2.1 the design, evaluation and management of more effective training programs?
20% 70% 10% ‐
1.2.2 the preparation and conduct of more effective training sessions?
10% 80% 10% ‐
1.3 The following learning objectives were stated for the course. Could you indicate how successful the course curriculum
was in achieving the following learning objectives.
Please indicate whether you feel capable now:
Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.3.1 To explain the difference and complementarity between Education, Training, Human Resource
Development and Capacity Building at large. 20% 70% 10% ‐
1.3.2 To differentiate between pedagogy (child) and andragogy (adult) with regard to the learners motivation and the
roles of the teacher and the learner. 60% 40% ‐ ‐
270
1.3.3 To mention some key characteristics of adult learning and its implications for the training methods and the role of
the trainer. 70% 30% ‐ ‐
1.3.4 To Identify your own preferred learning style, and recognize three main categories of learning styles, and its
implications for the role of the trainer. 60% 40% ‐ ‐
1.3.5 To differentiate the pro’s and con’s of various training methods and to link them to the ‘dependent’,
‘collaborative’ and ‘independent’ learning styles. 60% 30% 10% ‐
1.3.6 To prepare for and deliver a professional and effective presentation 30% 60% 10% ‐
1.3.7 To appreciate the concept of training as a process of performance improvement, and to mention the
different stages of the training cycle 20% 70% 10% ‐
1.3.8 To apply principles of course structuring and sequencing in Course design and curriculum development. 40% 60% ‐ ‐
1.3.9 To formulate ‘SMAL’ learning objectives as the foundation for detailed session design and preparation 30% 50% 20% ‐
1.3.10 To apply the model of the experiential learning cycle as a tool for session design ‐ 80% 20% ‐
1.3.11 To explain the four different levels of training evaluation and the crucial indicators for monitoring and managing
the training process. 20% 60% 20% ‐
Overall average attainment Learning objectives 37% 54% 9% ‐
271
ANNEX 5
272
SUMMARY FEEDBACK NON‐ENGLISH SPEAKING PARTICIPANTS Final Course Evaluation Questionnaire:
Training of Trainers Course
Sheet 1: Attainment of Learning objectives
<<Please tick the O‐boxes and/or wrtite your comments at the ………… lines
1.1 In terms of understanding <the principles for effective training & Learning>, what is your overall level of satisfaction
with this course?
Very
satisfied
Mostly
satisfied
Moderatel
y
satisfied
Dis‐
satisfied
30% 60% 10% ‐
1.2 Do you feel that you are capable now to apply these principles in: Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.2.1 the design, evaluation and management of more effective training programs? 20% 60% 20% ‐
1.2.2 the preparation and conduct of more effective training sessions? 10% 60% 30% ‐
1.3 The following learning objectives were stated for the course. Could you indicate how successful the course curriculum
was in achieving the following learning objectives.
Please indicate whether you feel capable now:
Yes I’m
capable
Most
probably
I have
some
doubt
I don’t feel
capable
1.3.1 To explain the difference and complementarity between Education, Training, Human Resource
Development and Capacity Building at large. ‐ 55% 45% ‐
1.3.2 To differentiate between pedagogy (child) and andragogy (adult) with regard to the learners motivation and the
roles of the teacher and the learner. ‐ 70% 30% ‐
273
1.3.3 To mention some key characteristics of adult learning and its implications for the training methods and the role of
the trainer. 20% 50% 30% ‐
1.3.4 To Identify your own preferred learning style, and recognize three main categories of learning styles, and its
implications for the role of the trainer. ‐ 60% 40% ‐
1.3.5 To differentiate the pro’s and con’s of various training methods and to link them to the ‘dependent’,
‘collaborative’ and ‘independent’ learning styles.
10% 90% ‐ ‐
1.3.6 To prepare for and deliver a professional and effective presentation 30% 30% 40% ‐
1.3.7 To appreciate the concept of training as a process of performance improvement, and to mention the
different stages of the training cycle ‐ 70% 30% ‐
1.3.8 To apply principles of course structuring and sequencing in Course design and curriculum development. ‐ 55% 45% ‐
1.3.9 To formulate ‘SMAL’ learning objectives as the foundation for detailed session design and preparation 20% 60% 20% ‐
1.3.10 To apply the model of the experiential learning cycle as a tool for session design 10% 50% 40% ‐
1.3.11 To explain the four different levels of training evaluation and the crucial indicators for monitoring and managing
the training process. ‐ 80% 20% ‐
Overall Average Attainment Learning Objectives 8% 61% 31% ‐
274
ANNEX 6
TOT training attendance List for ADB Project
No Name Organization Date of Birth Place of Birth
1 U Htun Tin ADB-CDTA 26th Feb 1955 Sittwe, Myanmar
2 Daw Moe Moe Oo ADB-CDTA 1st July 1984 Yangon, Myanmar
3 U Htin Myaing ADB-CDTA 18th May 1940 Toungoo, Myanmar
4 Mr. Reinhard Skinner ADB-CDTA
5 U Naing Thu Linn ADB-CDTA/UN-Habitat 17th July, 1982 Yangon, Myanmar
6 U Tin Shwe UN-Habitat 18th August, 1956 Yangon, Myanmar
7 Daw San San Nwet UN-Habitat 13th October,1949 Katha, Myanmar
8 Naw K'mwee Paw UN-Habitat 8th February, 1988 Yangon, Myanmar
9 Daw Sein Htike Thu DUHD/ Department of Urban and Housing Department
6th October, 1970 Yangon, Myanmar
10 Dr. Sabe Pyu Lwin DUHD 23th April,1974 Yangon, Myanmar
11 Daw Sandar Win DUHD 2th June, 1987 Yangon, Myanmar
12 U Aung Aung DUHD 15th September, 1968 Myingyan, Myanmar
13 U Aung Nay Phyo DUHD 26th June, 1983 Kyan Kinn, Myanmar
14 U Hla Myo Aung DUHD 9th August, 1961 Yangon, Myanmar
15 U Myint Thein Thanlyin/ Development and Supporting Committee
7th, July, 1955 Thanlyin, Myanmar
275
16 Daw Saw Sandar Oo Yangon CDC 10th September, 1968 Mandalay, Myanmar
17 Daw Nwe Nwe Aye Mandalay/ Planning Department
10th March, 1972 Mandalay, Myanmar
18 Daw Zar Ni Win Baw Mandalay/ Planning Department
29th Septembe, 1973 Yeu, Myanmar
19 U Thein Htay Department of Highway, MOC 12th January, 1974 Kyaukse, Myanmar
20 U Tin Mg Soe Shan State/ Development Committee,
11th December, 1956 Shwebo, Myanmar
21 U Tun Tun Oo Mon State/ Environmental Conservation Department
23th, August1967 Yamethin, Myanmar
22 U Ye Lwin Mudon TDC 25th January, 1969 Yangon, Myanmar
23 Daw Han Aye Pathein /Planning Department 25th October, 1963 Yangon, Myanmar
24 U Moe Kyaw Aung Pathein/ General Adminstration Department
18th January, 1969 Monywa, Myanmar
25 Daw Thiri khing Monywa/ TDC 30th June, 1966 Myinmu, Myanmar
276
Appendix 20: URDI Business Plan
277
Strengthening
the
Urban Research and Development Institute
Business Plan
Discussion Paper
Transformation of Urban Management ‐ part 1
Capacity Development Technical Assistance
(ADB CDTA ‐8456‐MYA)
Government of the Union of Myanmar Ministry of Construction
Department of Urban and Housing Development
Asian Development Bank
Japan Official Development Assistance
Norwegian Ministry of Foreign Affairs
UN Habitat Myanmar
November 2016
278
1. Preamble
This document has been drawn up to address Output 4 of the ADB funded Transformation of Urban
Management part 1 ‐ Capacity Development Technical Assistance (ADB CDTA) project. Output 4 calls
for a business plan for training and research activities which relate specifically to the strengthening
of the Urban Research and Development Institute (URDI) and offers an opportunity to help build both
the credibility and experience of URDI as the national leader in urban management training and also
to support the process of longer term business plan development.
This paper then, does not set out to document the history of URDI; that has been adequately
addressed by a number of other authors. Nor is it a comprehensive sustainability study but rather a
discussion paper to help formulate a business plan which aims to achieve the long term viability of
URDI.
This document sets out to clarify or modify the objectives of the institute, the constraints to
achieving them, and a strategy to overcome the barriers and reach the objectives. It is a document
specifically directed towards DUHD to assist it in its own planning and approaches to partners and
potential donors.
Limitations in drawing up the paper have been the institutes relatively small user base, an overall
lack of awareness of the institute outside of UN Habitat and ignorance or confusion about its role,
and the difficulties in arranging fruitful consultations with stakeholders. On top of that, the rapidly
changing context in Myanmar, including the recent 100 day review of ministries, necessitates the
development of a plan which must consider the continuing evolution of URDIs role to address the
changing needs of its users.
It must be said though that the last round of stakeholder consultations which took place in Nay Pyi
Taw in September 2016 has stimulated a realization that URDI is indeed useful and could play a
greater role in research and training and as a resource center, and the stakeholders have voiced a
commitment to perform the necessary work to arrive at a viable plan ‐ albeit at a late stage in the
project.
This document then should be seen as a draft for discussion pending the results of more broad
ranging and extensive consultations with stakeholders in the urban domain. These consultations will
hopefully lead to the decisions necessary to draft a comprehensive business plan.
The present document is based on consultations held with MoC, DUHD, YCDC, UN Habitat staff and
the Urban Management Training Working Group. A list of persons met for consultation is found in
Annex D.
2.Background
The Urban Research and Development Institute ‐ URDI was established via a Memorandum of
Understanding7 2011 09 12 between the Ministry of Construction, Department of Human Settlement
and Housing Development, and UN Habitat Myanmar under the Myanmar Program for Safer
Settlements and Urban Research (MPSSUR). Objective (iv) of the MoU envisaged setting up an Urban
Research and Development Institute.
7 HabitatMoC MOU20110912.pdf
279
An annex to the MoU stipulated that during the period 2011 ‐ 2016 the donor, the Norwegian
Ministry of Foreign Affairs, through UN Habitat, would provide 200 000 USD under the Capacity
Building / Urban Development for Human Settlements Planning element which also entailed the
founding of URDI within the Ministry of Construction in the Department of Urban and Housing
Development.
Article I Purpose and description stated that The overall aim of the Program is to enhance
human safety, including that of community and urban assets, by promoting urban research,
capacity building of relevant technical counterparts and assisting the development of
building codes and techno‐legal regimes that are disaster resilient and facilitate development
of safer human settlements in urban, peri‐urban and rural areas.
URDI was subsequently established as a substantive institution, located in the Ministry of
Construction Department of Urban and Housing Development Yangon Division building. It was
officially opened by the Minister of Construction in January 2012.
3.URDI Current Set up and Achievements
URDI facilities comprise offices providing project based research and training activities, a resource
center and meeting hall. It serves as the venue for the implementation of a number of UN Habitat
urban projects.
DUHD Building Yangon 2016 i
Since its inception URDI has accomplished a significant number of achievements.
It has carried out numerous trainings particularly in urban management, research in urban policy,
housing, disaster management, and drafted the national building code. It has served as the venue
for seminars, workshops and public lectures and has been the institutional location for several
donor projects including UN Habitat DRR, ADB CDTA, and 100 Resilient Cities, DRP Curb and Mapping
Yangon’s Informal Settlements. A resource center has been established and supplied by UN Habitat,
World Bank and ADB with a modest number of publications.
A partial list of URDI activities is set out in Annex A
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Successful operation of the current URDI government / UN Habitat based model depends on
governments mostly in kind contributions and international donor funding.
3.1.1 Training
Since 2012 a considerable number of trainings have been carried out by international and national
experts in the fields of urban management, housing, municipal infrastructure, city development
strategy, land use planning, disaster and risk reduction and urban poverty to name a few.
The audience for training has typically been mid level government staff, drawn from across the
country. Approximately 500 ‐ 600 government staff have been the beneficiaries of URDI sponsored
training in Yangon and other urban centers in Myanmar.
Trainings, usually of one or two days duration, have been conducted principally in Yangon but also in
Mandalay and other smaller centers.
Training has been within the context of UN Habitat projects such as the ADB funded Transformation
of Urban Management part 1 ‐ Capacity Development Technical Assistance (ADB CDTA) project and
the Myanmar Disaster Risk Reduction project.
3.1.2 Research
Research within URDI has been carried out under several UN Habitat projects.
A series of discussion papers have been produced on national urban policy and national housing
policy, mapping of Yangon’s informal settlements has been completed, and the national building
code has been written and enacted. Research at the institute has led to a number of publications
and educational materials in the fields of urban management and disaster risk reduction as well as
conducting several seminars and workshops.
3.1.3 Resource center
URDI is equipped with a modest resource center stocked with urban related publications, which
have principally been supplied by UN Habitat and the World Bank. An URDI website was created and
a computer with digital resource material made available.
The resource center is staffed by a full time librarian. Access to the resource center is limited to
normal office hours. A log is kept of visitors to URDI who have numbered less than 20 this year to
date, all apparently from Yangon. Users are predominantly drawn from UN Habitat projects, as well
as a few government staff or university students. The majority of those users borrow paper
publications.
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URDI Resource Center 2016 i
3.1.4 Current Challenges
Having suffered decades of isolation and international sanctions Myanmar remains at an early stage
in the development of its cities and the urban sector in general. In the coming decades infrastructure
renewal and development will be the major focus of investment both in funds and in human capital.
Without a knowledgeable and skilled cadre of people Myanmar risks remaining a passive recipient of
donor assistance with little participation in the design and planning of its own development.
Already there are a large number of planning and infrastructure projects, some completed or in the
implementation stage. These projects though have largely been undertaken without the benefit of
coherent urban planning and management, informed by international best practices and a
comprehensive understanding of the Myanmar context and needs.
Myanmar suffers across all sectors from a shortage or lack of qualified personnel to plan, design and
manage the development of its urban areas. The demand though for urban training and research is
rapidly increasing. Government lacks not only capable staff in sufficient numbers but also facilities,
equipment and funding.
In addition Myanmar institutions of higher learning are few in number and under resourced. This
means there is also a great need for assistance in the educational field to establish or develop
municipal engineering and urban planning / management curricula and programs.
Language barriers present a tremendous impediment to project implementation and knowledge
transfer and it is likely that a primary need now is for English language training and the institution of
bilingual resources for development programs.
282
The lack of adequate funding and the lack of sufficient capacity in personnel and outdated or
rundown facilities, equipment and other resources are the primary obstacles to the achievement of
URDI objectives.
Additionally, UN Habitat and government have not demonstrated a strong enough commitment to
providing URDI with the staff and other resources that are necessary for it to operate successfully.
Consequently URDI suffers from low utilization and visibility with its intended user base.
Until this situation improves URDI will come under increasing threat from other urban related
entities – other UN agencies and NGOs, universities, and government institutes, who will compete as
urban venues and for funds, staff and other resources. It must also be mentioned that there has also
been the persistent threat of the relocation of government related institutions and donor projects to
Nay Pyi Taw the consequences of which for URDI are difficult to predict.
URDI facilities in general are in disrepair and do not inspire confidence that it is a credible,
professional institution. The resource center is not properly equipped with ventilation or air
conditioning, and lacks suitable task lighting. Some publications have been damaged by water or
insects. There are no workstations or carrels at which to access the digital materials or to perform
internet based research.
Computer based resource material has been accessed infrequently and digital content must be
requested from the librarian. The URDI website ‐ a Facebook page, has not been updated, viewed or
maintained since it was set up in 2014.
Importantly, there is no budget for acquisition of paper publications or digital resources.
Although the initial aim of the institute was primarily to develop capacity within government, a
rigorous needs assessment for training was not carried out. The selection of suitable subjects and
candidates for training has been problematic raising questions as to whether training topics are
fitting and at the appropriate level, and are targeted at the right people. As well, due to the limited
number of suitable staff within government, their availability for training, especially for longer term
courses or for travel, is restricted.
The URDI based facilities used for training are in dire need of renovation and essential equipment is
lacking or out of date.
There is no research coordinator or research specific staff or facilities assigned for research outside
of the UN Habitat project context and no URDI based research, independent of UN Habitat projects,
has been carried out.
URDI has attempted to address these gaps but has not been entirely successful. Although it is a
government based institution with the ability to mobilize resources ‐ funds, staff, facilities and
equipment, and to drive users to the facility, URDI has been under utilized and is dependent on UN
Habitat for its day to day operation and survival. Its roles and potential are unclear to government,
UN Habitat, other users and to itself.
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3.2 Future of current URDI set up
Clearly URDI is in a precarious situation, hosting a diminishing number of donor projects and with a
declining user base. Its potential value to decision makers has belatedly been recognized.
A number of de facto directors have attempted to guide URDI to growth and along a more
sustainable path but they have lacked the resources and support to do so. On the other hand DUHD
apparently perceives URDI as a UN Habitat institution, as simply a vehicle for UN Habitat projects,
most of which are scheduled to conclude by 2017 ‐ 2018. This perception is reinforced by the fact
that there are numerous urban projects, past, ongoing and in the inception stage, which are not now
or planned to be located in URDI, even though some of these urban projects are based in the same
DUHD building. These include among others UN Habitat Myanmar Consortium for Capacity
Development on Disaster Management MCCDDM project, and JICA Thilawa Special Economic Zone
Project Team and the German University of Cologne Urban Research Project.
In order to ensure the sustainability of URDI, current and potential users must be convinced of its
value and their use of the institute and its resources must be facilitated.
4.Vision / mission
4.1 Expressed needs / objectives
The Urban Research and Development Institute’s purpose is to improve the capacity for analysis and
decision making by partners and stakeholders in the urban sector through strengthened training and
research capacity and the analysis and dissemination of information.
There is an expressed wish by government that URDI fulfill its research function in the long term
while maintaining a training function in the near to medium term, as well as maintaining a resource
center with a mainly online presence.
With regard to seeking opportunities for revenue generating activities and payment for URDI
services there was little if any support. DUHD places a high value on providing free access to services
and information in order to make it accessible to all potential users. This may change when a larger
user base has been established.
The institutional location of URDI is another matter for discussion as research and training centers
are often located within the setting of an academic institution, to the mutual support and benefit of
both. Given the present limited capacity and resources of institutions of higher learning in Myanmar
it is inadvisable to pursue that avenue at this time.
4.2 Vision
URDI as the national leader in urban research ‐ an urban think tank, with a short to medium term
transitional role as a training center in urban affairs.
The scope of URDIs interests should be broad and encompass urban policy, management, planning,
regulation, finance, and municipal engineering including urban related environmental, climate
change, disaster risk reduction, and urban socio economic issues. In the spatial domain URDI should
be directed at settlements with a population greater than 10 000, peri urban spaces and address
urban rural linkages.
In the long term URDI may transition to an academic setting such as the Yangon Technological
Institute where similar urban institutes in many other countries are typically based.
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5.Objectives
Although there are felt or perceived needs for the improvement and sustainability of URDI,
nonetheless a thorough assessment of research and training needs should be performed before
moving too far ahead. The following objectives are drawn from the expressed needs of government,
discussions with URDI and project staff and other stakeholders. Wider and more intensive
stakeholder consultations need to be held to confirm and provide the necessary details of these
objectives.
5.1 Overall objectives
Make the institute responsive to its users
Increase the capacity and resources available to URDI
Increase the visibility of URDI
Increase the number of users of URDI
Increase funding for URDI
5.2 Specific objectives
5.2.1 Urban research
An international government and donor funded urban research center for independent and academic based urban research
URDI as a location for the implementation of pilot international urban development projects and urban related consultancies
5.2.2 Training
URDI with a short to medium term role as a country wide urban training center
A short to medium term focus on training of trainers
URDI with a short to medium term transitional role as a center for English language training and the development of technical Myanmar language resources
5.2.3 Urban resource center
URDI as a digital resource center accessible through an online urban portal
a repository of digital urban educational material, textbooks, research studies and urban project documents, maps, plans and drawings
a digital historical archive of urban documents, maps, plans and drawings
a limited library of paper based training materials
6. Actions to improve the viability of URDI
6.1 Desired Outcomes
Strengthening of URDI will provide significant benefits to Myanmar by providing training and
research opportunities to urban managers, professionals and academics throughout Myanmar. The
benefit to government decision makers is a more educated and skilled cadre of government staff
who are capable of more effective and responsive planning and management of the urban sector.
This will lead to decreased expenditures and increased government revenue accruing from improved
and effective municipal finance mechanisms and more efficient urban management.
285
Partnering with international organizations, institutes and scholars will provide URDI with
opportunities and resources otherwise not available, generating synergies and enhancing
collaboration. By strengthening URDI and establishing it as an urban think tank, a meeting place, a
location for stimulating debate, and portraying it as a cutting edge institution, users, partners and
donors will be attracted to and want to be seen as a part of it.
6.2 Strategy
To achieve a self sustaining institute, and to drive users to URDI, it is first of all desirable to use
URDIs strengths as a government supported institution to mandate its different roles until it can
achieve its objectives and be built up into a strong viable institute. For some roles, URDI will serve as
a transitional or intermediary venue until such time as other institutions have developed the
capacity to take them over. As a government mandated center, URDI will have an advantage over
other institutions in attracting projects and funds.
Make the institution responsive to its users by altering its structure
Increase URDI capacity through government policies of resource allocation
Increase visibility through promotional activities
Increase its user base by mandating participation, hosting urban projects, and partnering with relevant urban sector organisms
Increase funding by diversifying the sources of funds
6.2.1 Improve governance
To give a decisive role and management direction and to overcome the lack of continuity in the
staffing of URDI, ownership must be claimed by Myanmar staff and national institutions. This also
entails making URDI a fully bilingual institute, with a Myanmar focus, yet still looking outward so as
to garner the benefits of international urban experience and knowledge.
Government policy should require that project design includes training and language elements as
well as mandating that research activities be included for certain types of projects. Government
should mandate all urban research, training and capacity building and urban pilot projects be carried
out under the URDI umbrella.
An advisory board comprising representatives of its users ‐ the Ministry of Construction, DUHD,
universities and other organizations, should be created to guide the future of URDI and to provide
strategic direction (Annex C). Donors, who by their nature can influence URDI in other ways, should
not be on the board. During the review phase of URDI the advisory board should convene on a
monthly basis.
In addition to the strategic direction provided by the advisory board, monitoring and evaluation
mechanisms should be established to measure the relevance and effectiveness of the institute. The
director should also issue an annual public report of the institutes activities and achievements.
6.2.2 Increase resource capacity of URDI
URDI cannot be viable, much less sustainable without acquiring sufficient resources. Additional
resources can be secured through the establishment of government policies which are geared to
direct greater donor assistance to support building national capacity.
Government policy can require that counterpart staff positions, appropriate intensive technical
training, and up to date equipment be provided for all urban development projects. To enhance the
286
sense of national ownership, projects should present a Myanmar face by mandating bilingual
resources for projects and ensuring more effective knowledge transfer to beneficiaries through high
level English language training.
6.2.3 Increase visibility
URDI can increase its visibility through a strong online web site presence and self promotional
program.
The establishment of a bilingual website and digital database of urban related information,
particularly pertaining to the Myanmar context, will attract local, regional and international users
and increase the recognition of URDI as an important institution in the urban sector. A professional
informative website is an inducement to others to contribute material, further developing and
strengthening URDIs role as a resource center.
The public presence of URDI should be enhanced by creating activities encouraging interaction with
the public at large. This means hosting public lectures, debates and conferences on pressing urban
issues as well as the generation of URDI research papers and other publications.
The design and display, where appropriate, of URDI signage, logos and other promotional material
would be helpful.
6.2.4 Increase users
URDI can significantly increase the number of users via government policies, seeking partners and
making linkages, and branching URDI services to Myanmar states and regions.
Government must consider URDI as its own national urban resource and direct relevant government
organisms to make use of it.
URDI should establish links to and engage in partnerships with universities, international agencies,
engineering societies, NGOs, urban consulting firms and other urban organisms in Myanmar and
abroad to learn best urban practices and engage in knowledge exchange. Linkages with universities
will engage students and foster a new cadre of thoroughly modern urban professionals. URDI should
become recognized as a place where high level urban discussions take place.
URDI resources should be made accessible to all potential beneficiaries and state and region urban
offices through a physical presence such as a branch office or representative, or through
communications links with outlying states and regions. URDI services, particularly training, should be
convenient for users, offered at flexible times such as outside office hours.
The establishment and maintenance of a repository and Myanmar digital urban library for
contemporary and historical urban documents, particularly Myanmar urban research and project
documents will ensure URDI is the top destination where users may obtain up to date urban
information.
6.2.5 Increase funding
The proposed URDI model will maintain a similar funding arrangement to the current one but aims
to increase international donor and government funding through government mandated donor
project requirements and by diversifying the current sources of funds.
287
The inducement for international development agencies to increase funding particularly of URDIs
capacity building and research is the resulting improvement in urban management practice, and an
increase in effectiveness of assistance.
URDI should seek to diversify its funding and not rely on a single source or few sources of funding
nor should it be locked into solely a training role for example, by the inducement of greater donor
funds for training. Instead budgeting should strike a balance between training, research and
resource center funding.
6.3 Activities and action plan
Below are proposed activities which aim to help achieve the project objectives, and budget and
timeline.
6.3.1 Research Center
Research activities
perform a research survey and needs analysis
develop research programs
produce desk research
create URDI research series on topics such as city profiles, urban governance, urban demographic and socio economic profiles
perform policy research in cooperation with other governments to gain benefits from their experiences
create research publications based on URDI source material
link with academic institutions to host student research and create an international student and scholar exchange program
establish and maintain urban databases in coordination with the URDI resource center
Public lecture series
initiate quarterly and occasional public lecture series with local and international speakers on urban topics of public interest
hold seminars, debates and conferences on vital urban issues
Pilot project implementation
actively seek and plan for URDI to host urban pilot projects
Staff
hire research coordinator to perform research needs analysis and develop research programs and direct the day to day research activities of URDI or
if required, initiate a consultancy to perform a research needs analysis and develop research programs
Facilities and equipment
no research specific facilities or equipment have been made available
provide necessary modern, up to date facilities and equipment for research purposes
Funding activities
288
potential sale of publications to the public on a cost recovery basis
6.3.2 Training Center
Training Activities
perform a comprehensive and professional urban sector training needs assessment
design training strategy and develop long term training programs
develop training of trainers program
develop training curricula with initial focus on urban management, advanced language training
develop rational methodology for selection of trainees
initiate management seminar series
develop mechanisms and resources to facilitate mobile, on site and distance learning
development of continuing education programs
perform a comprehensive and professional urban sector skills needs assessment
develop skills training program
initiate training incentives for beneficiaries such as course certification and job related advancement and benefits linked to training achievements
development of training evaluation mechanisms
Language Training
create center within URDI for technical English Myanmar language training
develop Myanmar English technical lexicon / dictionary in cooperation with academics
Staff
hire a training coordinator to perform training needs analysis, design training strategy, design long term training program and develop curricula and direct the day to day training activities of URDI or
if required hire a consultancy to perform a training needs analysis, design training strategy and design long term training program and develop curricula
hire a consultant to perform skills needs analysis, design skills development strategy, design long term skills development program and develop curricula
Facilities and equipment
renovate existing training facilities
provide additional modern up to date facilities and equipment for training purposes
289
6.3.3 Resource center
Activities
Website and database
initiate in house programming of source material for web based URDI platform
design and develop a bilingual English Myanmar (unicode) web portal for URDI
establish web hosting by joint international / local provider
create URDI online presence through Ministry of Construction website, Facebook, LinkedIn, urban fora and other relevant web based sites
under the guidance of the research and training coordinators compile and classify source material
digitize source material
create and maintain URDI user online database
create mechanisms to update database and distribute updates to the states and regions
acquire resource materials on a continuing basis
establish user monitoring, data analytics / reporting
establish data and website backups and security protocols
Promotion
development of URDI identification through signage, logos, letterhead, business cards and others
Library
maintain a small library of paper based training materials
URDI might consider handing over paper media to academic institution library
Staff
hire an IT / database technician to design, develop and maintain URDI user database
hire a web developer to design, develop and maintain the URDI web portal
engage an intern to digitize materials for URDI web site and database
Facilities and equipment
provide modern up to date facilities and equipment for hosting the technical facilities and staff for the development and maintenance of URDIs web portal, digital database and communications requirements
renovate existing resource center facilities to suit purpose
provide web site, database and telecom equipment in duplicate / redundant set for back up
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7. Action Plan
Phase Period Activities
1 Review 2016 09 ‐ 2016 12 Consult stakeholders
Review and revise objectives
ToR advisory board
Establishment advisory board
Develop sustainability plan
Develop strategic plan
Establishment monitoring and evaluation mechanisms
2 Redirection / Re
establishment
2017 01 ‐ 2017 12 Acquire key staff
Restructure the institute
Renovate facilities
Consultancies for needs analysis research and training
Development training and research programs
Create technical language center
Seek urban development projects and funding
Compile and develop urban database
Develop URDI web portal
Develop and initiate URDI self promotion program
Set up partnerships
Initiate revised training programs
Initiate research program
Ongoing monitoring and evaluation
3 Expansion 2018 01 ‐ 2018 12 Acquire additional staff and facilities
Create state and region networks to access URDI and its services
Develop mechanisms for mobile / on site training
Ongoing monitoring and evaluation
4 Evaluation and
transition
2019 onwards Ongoing monitoring and evaluation
Ongoing review of possible transfer of URDI to an appropriate academic institution
291
8. ToR
8.1 Director URDI
8.2 Research Coordinator
8.3 Training Coordinator
8.4 IT technician / Database developer
8.5 Web developer
Strengthening the Urban Research and Development Institute
292
Annex A: Training and Research Activities
From To
1 25/6/2012 30/6/2012Exposure Training on Urban and
Regional Planning
Mr. Mike Slingsby and local
expertsYangon
Around 30 (mid‐level government officials from
14 States and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
2
Basic Training on Urban
Planning for YCDC Urban
Planning Unit
Mr. Mike Slingsby Yangon35 fresh graduates who recently joined Urban
Planning Unit of YCDC
3 2013/04/02 2013/08/02 Housing Delivery Systems Dr. Yap Kioe Sheng Yangon
35(mid‐level government officials from 14 States
and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
4 18/3/13 22/3/13 Housing Delivery Systems Dr. Yap Kioe Sheng Mandalay
32 (mid‐level government officials from
Mandalay (MoC, CDC, GAD, Township
Deveopment Committee)
5
16/12/2014 20/12/2014Training on Infrastructure and
basic services
Mr. Mike Slingsby and local
expertsYangon
30(mid‐level government officials from 14 States
and Regions (MoC, CDC, GAD, Township
Deveopment Committee)
6 2013/07/10 2013/11/10 Housing Delivery Systems Dr. Yap Kioe Sheng Monywa
35 (mid‐level government officials from Monywa
(MoC, CDC, GAD, Township Deveopment
Committee)
7
16/12/2013 20/12/2013Training on preparation of City
Development StrategyMr. Mike Slingsby Yangon
30 (mid‐level government officials from
Yangon(MoC, CDC, GAD, Township Deveopment
Committee)
DateNo Name Trainer City No and level of participants
Strengthening the Urban Research and Development Institute
293
Main Heading Sub heading Others Author Category
Urban Planning
Composite module of training carried
out at YCDC
Powerpoint Presentations, data analysis and
participants' group work presentations Mike Slingsby Training Module
Urbanization trends and conditions
in Myanmar U Than Moe Training Module
Urban water supply Dr. Khin Ni NiThein Training Module
Overview on infrastructure and
basic services Mike Slingsby Training Module
Introduction to integrated land use
transport planning U Than Moe Training Module
Sewerage and Sanitation system U TheinMyint Training Module
Storm water management system U AungKyawZan Training Module
Report on poverty analysis of peri‐
urban areas in Yangon
Mike Slingsby and
BiswajitSarkar Research
Housing
Urban low‐income housing in Asia
and Myanmar Yap Kioe Sheng Training Module
Low‐income housing options Reference articles on housing Yap Kioe Sheng Training Module
Slum upgrading in Myanmar U AungMyint Training Module
DRR Integrating DRR in infrastructure and
public services Dr. Kyaw Thu Training Module
City Development
Strategy
Introduction to the CDS process Mike Slingsby Training Module
Introduction to SWOT analysis Strengths and Weaknesses, Opportunities and Threats ,
Presentations from Group exercises Mike Slingsby Training Module
Strengthening the Urban Research and Development Institute
294
Annex B
Strengthening the Urban Research and Development Institute
295
Strengthening URDIUN Habitat
1 visiodocument 21/09/1601:39file:Page
Ministry of Construction
URDIAdvisory Board
Director
Assistant DirectorResearch
CoordinatorIT & Database
TechnicianWeb Developer &
Acquisitions
URDI Organization
Intern
Deputy Director
Department of Housing and Urban Development
DUHD
Urban Research and Development Institute
URDI
Transition Structure
Ministry of Construction
Director
Assistant Director
Librarian
Deputy Director
Department of Housing and Urban Development
DUHD
Urban Research and Development Institute
URDI
Existing Structure
UN Habitat
Training Coordinator
Strengthening the Urban Research and Development Institute
296
Annex C List of potential partners and users
Partners / users
UN Habitat
Myanmar Engineering Council
Myanmar Engineering Society
Myanmar Geosciences Society
Myanmar Earthquake Committee
IHS
MIMU
JICA
ADB
Myanmar Association of Architects
Housing Development Bank
World Bank
Asia Foundation
local universities
international universities
Yangon Technological University (YTU)
NGOs
OneMap Myanmar
Myanmar Institute of Economics
Strengthening the Urban Research and Development Institute
297
Annex D Budget
URDI Facility Aggregated Budget USD Year 1 2 3 4 5
Total
Income
Government 0 0 0 0 0 0
donor 0 0 0 0 0 0
sub total 0 0 0 0 0 0
Expenditures
training facility 209310 112400 112400 112400 62400 608910
research facility 50000 112400 109000 109000 61000 441400
resource center 55430 60000 55000 55000 55000 280430
sub total 314740 284800 276400 276400 178400 1330740
Total ‐314740 ‐284800 ‐276400 ‐276400 ‐178400 ‐1330740
Notes on budget
1 Income
During the initial period of revamping of URDI, income is expected from donor sources with
in kind contributions of staff, facilities and maintenance from government.
Full funding by government to be explored later
Income generated from sale of publications is expected to be negligible.
2 Year 1
Needs assessment and development programs for training facility
Emphasis on improving Yangon based training facility
Commence set up of resource and research facilities
Incur set up costs
3 Year 2
Emphasis on completion of resource and research facilities and research programming
Commence program of expansion of URDI facility to states and regions
Costs of expansion of URDI to states and regions not included
Incur set up costs
4 Year 3 onward
Regular training program
Regular conduct of research program and development of partnering
Regular operation of resource facility
Continue URDI expansion program to states and regions
Begin replacement international staff with national staff year 5
Strengthening the Urban Research and Development Institute
298
Research Facility
Staffing nr
research coordinator 1 full time
consultant research needs analysis /
development research program
1 temporary
Research Facility
Equipment nr unit cost total
desktop computers
complete
1 1000 1000
laptop computers 1 600 600
printers 1 110 110
scanners 1 100 100
photocopier 1 2000 2000
software 3000
supplies 2000
Office
desk 1 150 150
tables large 1 80 80
tables small 1 50 50
chairs 3 100 300
book shelf 2 150 300
filing cabinet 3 drw 1 130 130
water cooler 1 130 130
air conditioner 1 450 450
Total 10400
Strengthening the Urban Research and Development Institute
299
Research Facility
Budget USD Year 1 2 3 4 5
Income
Government
donors
sub total 0 0 0 0 0
Expenditures
Staff
research coordinator 100000 100000 100000 50000
consultant 50000
publications, lectures /
seminars
2000 6000 6000 8000
Operation & maintenance 10400 3000 3000 3000
sub total 50000 112400 109000 109000 61000
Total ‐50000 ‐112400 ‐109000 ‐109000 ‐61000
Strengthening the Urban Research and Development Institute
300
Training Facility
Staffing nr
training coordinator 1 full time
secretary / technician (national) 1 full time
consultant training needs analysis / strategy
/ development training programs
1 temporary 6
months
consultant skills needs analysis / strategy /
development programs
1 temporary 6
months
Training Facility
Equipment nr unit cost total
desktop computers
complete
2 1000 2000
laptop computers 10 600 6000
printers 3 110 330
scanners 2 100 200
photocopier 1 2000 2000
smart board 1 2000 2000
large format lcd display 2 500 1000
digital projectors 5 600 3000
software 3000
supplies ‐ markers,
whiteboards, flip charts
4000
Training Room
tables large 4 80 320
tables small 2 50 100
chairs 40 20 800
air conditioner 1 450 450
Strengthening the Urban Research and Development Institute
301
Office ‐ training
coordinator & secretary
desk 2 150 300
chair 4 100 400
book shelf 2 150 300
filing cabinet 3 drw 1 130 130
water cooler 1 130 130
air conditioner 1 450 450
Total 26910
Training Facility
Budget USD Year 1 2 3 4 5
Income
Government
donor
sub total 0 0 0 0 0
Expenditures
Staff
training coordinator 80000 100000 100000 100000 50000
secretary (national) 2400 2400 2400 2400 2400
consultants 100000
Operation & maintenance 26910 10000 10000 10000 10000
sub total 209310 112400 112400 112400 62400
Total ‐209310 ‐112400 ‐112400 ‐112400 ‐62400
Strengthening the Urban Research and Development Institute
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Resource Center
Staffing nr
Director (national) 1 full time
Deputy Director (national) 1 full time
Assistant Director (national) 1 full time
IT database technician (national) 1 full time
Web developer (national) 1 full time
intern (national) 1 full time
Resource Center
Equipment nr unit cost total
servers complete 2 1500 3000
desktop computer
complete
1 1000 1000
laptop computers 2 600 1200
modems routers telecoms
sets
2 1500 3000
printers 1 110 110
document scanner 1 800 800
large format scanner 1 1100 1100
office scanner 1 100 100
software 6000
expendables 2000
Office
desk 3 150 450
chair 4 100 400
tables large 2 80 160
tables small 2 50 100
book shelf 2 150 300
Strengthening the Urban Research and Development Institute
303
filing cabinet 3 drw 1 130 130
water cooler 1 130 130
air conditioner 1 450 450
Total 20430
Resource Center
Budget USD Year 1 2 3 4 5
Income
Government
donor
sub total 0 0 0 0 0
Expenditures
Staff
IT technician 30000 20000 20000 20000 20000
web developer 20000 20000 20000 20000
intern
Acquisition digital source
material
5000 5000 5000 5000 5000
web hosting / isp 5000 5000 5000 5000 5000
Operation & maintenance 15430 10000 5000 5000 5000
sub total 55430 60000 55000 55000 55000
Total ‐55430 ‐60000 ‐55000 ‐55000 ‐55000
304
Annex E Persons met
Name Affiliation Position phone EMAIL
U Min Htein Department of Urban and Housing
Development Director General
Daw Aye Aye Myint Department of Urban and Housing
Development Deputy Director 09448548951 [email protected]
U Naing Lin Maung Ayeyarwady Regional Development
Affairs
Deputy Superintendent
Engineer 098550344 [email protected]
Daw Moe Moe Hlaing Myint Department of Urban and Housing
Development Deputy Director 0943187151 [email protected]
Dr. Toe Aung Yangon City Development
Committee Director 095046089 [email protected]
U Zaw Win Mandalay City Development
Committee Head of Department 092019689 [email protected]
U Myint Naing Ministry of Construction Deputy Director General 095041661
Daw Mie Mie Tin Department of Urban and Housing
Development Director 09420707292 [email protected]
U Kaung San Linn General Administration Department Director 0943023293 [email protected]
U Tin Maung Soe Shan State Development Committee Deputy Superintendent
Engineer 09422527525 [email protected]
U Sai Tun Tun Shan State Development Committee Deputy Superintendent
Engineer 095243101 [email protected]
U Thit Htoo Myint Sagaing Region Development
Committee Director 094492509911 [email protected]
Dr. Nyi Nyi Htoo MMA Jr. Sec. MMA (NPW) 09797887266 [email protected]
U Kyaw Kyaw Department of Urban and Housing
Development Sagaing 092450520 [email protected]
U Tin Ko Ko Mon State Development Affairs Deputy Superintendent
Engineer 095232252 [email protected]
305
U Htun Linn Saw Mandalay City Development
Committee Staff Officer 095023075 [email protected]
Daw Khin Thi Thi (Mon) Department of Urban and
Housing Development Director 095061945 [email protected]
U Htay Aung Department of Urban and Housing
Development Director 09420702264
U Tun Aung Kyaw (Shan) Department of Urban and
Housing Development Director 0949213671
U Nay Win Aung Yangon Region Government 095017235 [email protected]
U Myint Tin Mandalay Regional Government 092030003 [email protected]
Dr. Sabe Phyu Lwin Department of Urban and Housing
Development Assistant Director 095195223
Daw Eain Nann May Department of Urban and Housing
Development 092150790 [email protected]
Daw Thinn Thinn Htun Department of Urban and Housing
Development 09797703669 [email protected]
U Zaw Zaw Aye Department of Urban and Housing
Development 0943015627
U Than Soe Department of Urban and Housing
Development 09420707304
Daw Kay Thi Aung Department of Urban and Housing
Development 09420741420 [email protected]
U Yu Khaing Department of Urban and Housing
Development 09254148359
U Aung Kyaw Oo Department of Urban and Housing
Development 092020987
Shon Campbell MIMU Director
Reinhard Skinner UN Habitat Team Leader CDTA
Moe Moe Oo UN Habitat Training & Administrative
Officer
Jack Finegan UN Habitat
306
307
Appendix 21: USBOPs‐Solid Waste Management
Data Collection Template
308
Urban Services Business Operation Plan
For Solid Waste Management Data Collection Template
Data List
2.1 Data Base Development – (Data Collection and Analysis)
309
To develop a USBOP for water service, a comprehensive data base covering all the aspects ‐
social, technical, financial, human resources etc. is required without which a reasonable
conclusions cannot be made on the base line situation. The most difficult component of the
data base is to obtain a correct assessment of the existing water distribution system, as it is
not visible. The following are the key areas to be covered for the data base development.
2.2.1 City Background and Urban Planning Information
Location, national / regional significance
Topography and spatial information
Growth prospects
Current city plans and their expectations
City share of national GDP
Current land use plan
Land use zoning plan
Existing and proposed building density plans (i.e. FAR), planning and building
regulations in relation to development densities.
Vulnerability to disasters (particularly related to water supply, i.e. floods, doubts)
Any studies carried out or plans prepared related to Solid Waste service.
2.2.2 Demographic Aspects
Size of the current city population
Historical growth pattern of population
Estimated future population growth rates / size (2020, 2030,2040,2050)
Population distribution by wards
Population densities by wards
Floating population and their destinations in the city (this information is difficult to
obtain, a value judgement would be adequate depending on the city economic activities
to get an indication)
Income and expenditure pattern of the households
Per capita income of the city population in comparison to the national level. Growth of
per capita income during the last 10 years and projected per capita income.
2.2.3 Legal Background
a) National / Provincial or Local Authority legislations that governs solid waste management
b) Any standards and specifications provided under those legal provisions?
c) Does the law provide for Private Sector participation in solid waste management?
d) Is there any plan prepared for solid waste management?
e) Institutional set up provided by the law for solid waste management.
2.2.4 Technical Information
310
Solid waste generation
a) Total amount of solid waste generated per day (current)
b) Total amount of solid waste generated per day by year during the past 5 years
c) Classification of solid waste by activity (i.e. residential, commercial, industrial – if
available by %)
d) Per capita solid waste generation
Solid waste composition ( as a percentage)
a) Bio degradable ‐ ...%
b) Polythene.......%
c) Plastics........%
d) Glass.....%
e) Other......%
Summary of the current solid waste management system;
a) Wholly handled by the local authority
b) Degree of involvement by the Central / Provincial Council
c) Private sector involvement (i.e. collection, land fill operations, recycling etc.)
d) If the private sector is involved, describe the type of involvement (i.e. PPP contracts,
100% private sector, conditions of the PPP, selection procedure of private partners,
duration of the contract)
Application of sustainable solid waste management practices (best practices) i.e. RRRR,
(Reduce, Recycle, Reuse and Reject)
a) Programmes implemented for education of the public
b) Any practical work already initiated?
Current Solid waste management system
a) Collection system (how many times a week, type of equipment used
b) Transfer station (number, size, locations, ownerships, management)
c) Programme for separation at the source / transfer station or at the disposal site
d) Final disposal site / sites. (number, size, capacity, locations, ownership, management,
amount of waste currently disposed in the site, any facility installed to extract gas)
e) Final disposal method ((i) Separation, recycling and composting (ii) Sanitary land fill
(iii) controlled land fill (iv) Open dump
f) If composting is done, amount produced per month, income earned per year,
marketability etc.
g) Any proposals for development of waste to energy projects? Current rate of electricity
and potential rate if the produced electricity is sold to the national grid
311
h) Number of transfer stations, their locations, capacity, facilities available, quantity of
that can be stored, how many days the waste is stored in transfer stations, conditions
of access roads to the transfer stations.
i) Does any form of environmental monitoring exist?
j) Is there involvement of informal sector in collecting and recycling waste?
k) Present coverage (indicate in a map)
l) Is the city divided into zones for managing solid waste, (indicate in a map)
m) Amount of services provided to low income housing areas.
n) Recent projects launched.
Hospital waste
a) Number of hospitals and their locations
b) Amount of solid waste generated by hospitals (i.e. Clinical waste and infections or
human body parts waste)
c) Current disposal system of hospital waste
d) Standards practiced
Waste from funeral parlours;
a) Current practice of disposal of waste from dead bodies (Incineration, burying)
b) Are they regulated? What standards?
E Waste
a) Amount of E waste generated per year
b) Current method of collection and disposal
Hazardous waste disposal
a) Current system of collection and disposal
b) National standards of managing hazardous waste.
Construction waste disposal
a) Current collection and disposal system
Average water content of solid waste (as a %)
c) Any awareness programmes implemented to make the people aware of impact of e‐
waste?
d) Any informal collection system.
Industrial Waste
a) Any separation practiced
b) Any special method to handle hazardous waste
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2.2.5 Operational Data
Number of customers connected to the system (by category – residential, commercial,
industrial etc.)
2.2.5 Financial Data
General
Sources of income of the local authority
Loans obtained in the near past (within the last 5 years) and debt servicing
performance
List of properties owned by the local authority and their status (vacant, occupied by
municipal buildings, leased out...)
Tax base of the local authority and recent amendments
Revenue collection efficiency (amount collectible, average amount collected and
backlog),
Property valuation system, how often the valuation is done, when the last valuation
was done.
A copy of the latest and previous budget of the local authority
Procurement system for both capital works and day to day operational activities
Accounting practices (whether income from water services is separately accounted
for reinvestment purposes or sent to the consolidated fund)
Is wastewater management service provided free? Or
Solid Waste Sector
Current tariff structure (if available) and the amendments introduced in the recent
past.
Annual cost of solid waste management (Capital investment and Operation and
Maintenance cost – CAPEX and OPEX), sources of investment.
Annual budgetary allocation for solid waste management
Revenue – annual revenue, revenue collection by type (i.e. residential, commercial,
etc.), collection efficiency (current and for the past 5 years). Total revenue collected
during the past 5 years (annually), collection issues.
Income sources: Government grants, recycling, composting, waste energy, land fill
operation.
Current revenue collection system (if available) , should the customers come
personally to the local authority to make the payment or is there any other system
(payments through banks, private sector involvement), on line payment system.
Assets: Equipment, vehicle, disposal sites, composting sites, waste separation sites,
recycling plants, transfer stations, closed land fill sites with their locations and extent,
any other properties.
Any foreign assistance received? If yes details.
Market for recycled waste and recyclable waste for collectors (compost, metal, glass,
paper, plastics, polythene.
313
Indicate the status of equipment (i.e. garbage trucks – the type, brand, age, fuel usage
and efficiency, repairs encounter etc.)
2.2.7 Management Data
Management structure of the institution responsible for water supply
Staff strength – The number, designations, educational qualifications, experience,
duties and responsibilities, required staff to run the service efficiently, back log, new
recruitments etc.
Availability of training
Integration with other relevant institutions (hospitals, NGOs, industrial
establishments, markets etc.)
Communication system with the public (say how the complaints are communicated
and attended)
Any studies carried out recently. If yes provide related information.
314
Appendix 22: Handbook for the Preparation of an
Urban Services Business Operations
Plan for Water Supply
315
Hand Book (Final Draft)
For Preparation of
Urban Services Business Operation Plan
For Water Supply
316
1.0 What is an Urban Services Business
Operation Plan?
1.1 Introduction
Business plans are the key documents in the corporate sector that guide how to run their
businesses more profitably. A company needs to understand how to improve its
product/service to satisfy the clients, how to exist in the competitive market and to achieve
its estimated profits and long‐term business objectives.
Business plan of a company generally consists of the business focus, vision (setting the future
orientation), mission ‐ defining the business, SWOT analysis, market analysis, business
strategy, marketing plan, business operations plan and financial plan etc. Thus “Business
Operations Plan” is one of the components of the Business Plan” itself.
The Business Operation Services Plan consists of activities related to operating the “Business”
as defined in the “Business Plan”. Thus, before preparing the “Business Operation Services
Plan” it is necessary to prepare a “Business Plan” as “Business Operation Services Plan” is a
component of the “Business Plan.”
Is it to manage and operate your business better?
Is it to manage fast growth better?
Is it to manage in a declining market better?
Is it to manage the impact of your competition better?
Is it to introduce more products or services (or to consider doing so)? Or to add more locations?
Is it to change ownership: adding new partners, adding key employees?
Is it to obtain financing? Is it to sell your business?
Box 1: First, determine why do you
want to do a business plan:
Source: http://www.more‐for‐small‐
business.com/business‐plan‐outline.html
317
1.2 Relationship with Urban Development
1.2.1 Why a city needs a business plan?
Cities are considered to be the “Engines of National Economic Development”. Their traditional
roles as just service centres to their rural hinterlands have changed fast and dramatically, and
now they have become growth poles of the national economies. To make the “Engine”
functions efficiently new tools and instruments are needed. The tools (the plans) that existed
before for city planning (i.e. Master Plans, Physical Plans, Structure Plans) are no longer
suitable for preparation of urban development plans to face the current challenges primarily
because of their departure from “business orientation”. Cities need to be run as business
ventures so as to optimise their efficiency as engines of national economic development and
to be competitive in a competitive global business environment.
1.2.2 Business Plan
By continuing the section 1.2.1, I consider “Strategic Plan” for the city as its “Business Plan” as
it consists of all the elements of a Business Plan of corporate sector but within a “Public
Orientation”. It includes all the elements that ADB advocates in its “Urban Operation Plan”
(2012 – 2020). Therefore, I consider that preparation of a “Strategic Urban Plan” as the pre‐
requisite for the development of guidelines for “Urban Services Business Operation Plan.”
1.3 Urban Services Business Operations Plans
Now, it is necessary to define or understand the meaning of “urban services business
operations plans.”
1.4 USBOP – The Meaning in Transition
Conventionally Urban Services Business Operation Plans mean preparing business plans for
operation of the services provided by the city councils / local governments such as wastewater
management, solid waste management, water supply, storm water drainage, public outdoor
recreational spaces, etc. The business operation plan for each such service should primarily
consist of;
(i) Vision/aim (Example – To expand the service coverage to 80% of the city by 2020)
(ii) An assessment of the related assets (status, coverage, estimated future needs,
technology to be used, operation and maintenance issues, manpower, etc.)
(iii) Cost estimation – Incremental capital expenditure required to cater to future demand
and replacements, Operation and Maintenance cost, etc.
(iv) Income – The way in which the cost related to capital investments and operation and
maintenance be found. This approach typically consists of financial instruments
available for urban infrastructure development such as donor funding, central
government grants, joint ventures, public private partnerships, etc. It is also the
current thinking that user fee to be a major source of infrastructure development
(mainly to cover the cost of operation and maintenance). In most of the cases, the
user fee is built into the property tax and therefore, formulation of property tax
becomes an essential aspect of the income.
318
This kind of urban services business operation plans are necessary to make sure that the
services provided by the city councils are run smoothly catering to the growing city demand
and to ensure that the services are provided to acceptable norms and promotes efficient
operation of city functions. The main drawback of preparing urban services business operation
plans without in the first place having a business plan (strategic urban development plan) is
the disintegration of investments without having a primary direction towards creating a
competitive city. However in the absence of a “Business Plan” (Strategic Urban Development
Plan), “Urban Services Business Operation Plans” can do a lot in developing the city’s
infrastructure.
1.5 Urban Services Business Operation Plan (USBOP) ‐ The Hand Book
The USBOP preparation process is presented in figure 1.
Overall Understanding
Data base development & Analysis
Vision Development
Gap Analysis
SWOT Analysis
Objectives
Strategies
Project Activities and Scheduling
Financing and Appraisal
Establishment of
Project Management
Unit Stage 1
Commencement
Stage 2
Diagnosis
Stage 3
Establishing the
Foundation
Stage 4
Road Map
319
2.0 Stage One ‐ Commencement
In many developing countries water supply is handled by Engineering Department of the
responsible institution (i.e. engineering divisions of local authorities). Involvement of other
relevant divisions (i.e. finance, management, planning, health, etc.) is nonexistent or minimal.
It is to be understood that drawing up of a successful urban services business operation plan
(USBOP) for water supply (WS) is a teamwork involving all the relevant departments.
Consultation with relevant stakeholders (i.e. industries, commercial establishments, NGOs,
financial institutions, research institutions, etc.) and community participation is also equally
important. Therefore, the first step of the preparation of USBOP is the establishment of a
responsible team in the service provider organisation to prepare it. It may be a special unit
within the same organisation established for this purpose. The staff assigned for the
preparation of the USBOP may work part time as many institutions are unable to recruit full‐
time employees for special purposes. This unit may be called, the Project Management Unit
(PMU). The most important consideration in establishing the PMU is that it should represent
all the relevant divisions of the organisation (i.e. Engineering, Finance, Planning, and Health).
The PMU will hold the sole responsibility of preparing the USBOP. It needs to establish a
system for stakeholder consultation and community participation, throughout the plan
preparation process.
Stage Two ‐ Diagnosis
Overall Understanding
Under this stage; the members of the PMU are expected to acquire a comprehensive
knowledge of the WS systems. Some of the important aspects in this regards are listed below;
(i) It is to be understood that there is a strong connection between water, wastewater and storm
water and therefore when business plans are prepared such areas of interest need to be
considered so as to minimise the potential waste of funds and increase the efficiency of
infrastructure provision. (i.e. enforcement of water tariff results in reduction in water usage
which has a positive impact on reduction of wastewater reducing the cost of wastewater
management)
(ii) Supply of drinking water has a big cost element and therefore it is not a free good.
320
(iii) Community involvement has a great impact on successful operation of water supply system
with regards to reduction of water use, as conservation of water is a key objective of water
supply systems.
(iv) There are many stakeholder institutions involved in WS at different levels. (i.e. NGOs,
Universities and Research Institutes, media, etc.). Consultation and working together with
such institutions is a prime requirement of making rational decisions in formulating the USBOP
for WS.
(v) The most common issues related to solid waste management in developing countries are;
Institutional
Division of authority of water supply among various institutions, mainly control by Central
or State institutions with fewer powers to local governments
Inadequate financial, management, and technical capabilities particularly inadequate
qualified technical staff due to unattractive salaries of the public sector.
The disintegration of three connected environmental infrastructure – water supply,
wastewater management, and storm water management which has an adverse impact
on cost minimization and management efficiency.
Weak enforcement of regulations
Technical
Inadequate equipment, vehicles, finance
Neglected O&M
Absence of non‐revenue water (NRW) reduction programmes
Lack of water resources monitoring system
Lack of rehabilitation of the distribution network.
Weak enforcement of regulations
Inadequate number of qualified and trained staff
Lack of a comprehensive database of the water supply system particularly that of a digital
database
The absence of “Integrated Water Resources Management” (IWRM) systems, as a whole.
Finance
Inadequate investments (both capital and O&M)
Poor financial performance (absence of tariff restructuring, poor revenue collection
efficiency, political sensitivities)
High proportion of non‐revenue water (NRM)
Non‐billing of all the users
Heavy dependence on the Central / State Government’s grants/subsidies
Environmental
Destruction to catchment area / upstream of the water intake
Global challenges – global warming which results in unpredicted rainfall patterns,
droughts affecting water quality and quantity.
321
Contamination of water
Social
Many people think that water is a free good and that the cost of production and delivery
of potable water is not understood.
Due to the low tariff in many developing countries, there exists a high proportion of water
wastage.
The Economic Significance of portable water (i.e. reduction of water borne‐diseases and
the cost savings in the health sector) is not appreciated.
3.1 Data Base Development – (Data Collection and Analysis)
Development of the business plans requires genuine, up to date and realistic database to
understand the present situation and estimate the desired future situation. Such a database
is fundamental to make rational decisions. To develop a USBOP for water service, a
comprehensive database covering all the aspects ‐ social, technical, financial, human
resources, etc. is required without which, reasonable conclusions cannot be made related to
the baseline situation. The most difficult component of the database development is to obtain
a correct assessment of the existing water distribution system, as it is not visible. The following
are the key areas to be covered during the database development stage.
3.2.1 City Background and Urban Planning Information
Location, national / regional significance
Topography and spatial information
Growth prospects
Current city plans and their expectations
City share of national GDP
Current land use plan
Land use zoning plan
Existing and proposed building density plans (i.e. FAR), planning and building
regulations in relation to development densities.
Vulnerability to disasters (particularly related to floods and droughts)
Any studies carried out or plans prepared related to WS by the same institute or any
other institute in the near past.
3.2.2 Demographic Aspects
Size of the current city population
Historical growth pattern of population
Estimated future population growth rates / size (2020, 2030,2040,2050)
Population distribution by wards
322
Population densities by wards
Floating population and their destinations in the city (this information is difficult to
obtain, a value judgement would be adequate depending on the city economic activities
to get an indication)
Income and expenditure pattern of the households
Per capita income of the city population in comparison to the national level. The growth
of per capita income during the last ten years and projected future per capita income
for 2020, 2030 and 2040.
3.2.3 Legal Background
National and state policies and legislations related to water resources management and
city water supply
Current water supply authority
Institutional set up provided by the law for water supply.
3.2.4 Technical Information
Head Works
Status of the water source and who owns it.
Status of the water intake facility
Status of the raw water pumping facility
Status of the pre‐treatment facility
Status of the pos‐ treatment facility
Status of the treated water pumping facilities
Status of the water testing laboratory facility
Existing production level
Potential optimum supply capacity of the current water source
Distribution System
Water mains, pumping stations, storage (Status – age, materials used, repairs,
replacements needed, location map)
The amount of non‐revenue water (NRW) as a percentage, and the reasons for the high
rate of NRW.
Consumption levels and rates (per capita consumption rates by different category of
population, i.e. residential, commercial, industrial etc.) – NOTE, it is advisable to collect
such information for different time periods if possible (i.e. 2000, 2010 and 2016) as
there is a direct relationship with the water tariff and per capita consumption. Higher
the water tariff, lower the per capita consumption.
Maps showing the areas covered by the present system and areas uncovered.
323
3.2.5 Operational Data
Number of customers connected to the system (by category – residential, commercial,
and industrial, etc.)
A list of large‐scale water consumers (with average quantity consumed per day)
Demand and supply for connections (say during the past 10 years how many
applications have been received per year and how many have been honoured and
reasons for not meeting the full demand.)
Duration of the water supply (how many hours a day)
Volumes of water provided by category (residential, commercial, industrial, etc.)
Pressure (Status and areas having complains from the people)
Water quality (at the source and after treatment)
Current assets
Classification of major repairs carried out during the last five years.
A list of major issues (if possible quantify)
Status of operation activities (are they carried out by in‐house staff? Or subcontracted
to private sector individual or contractors)
3.2.6 Financial Data
General
Sources of income of the local authority
Loans obtained in the near past (within the last 5 years) and debt servicing
performance
List of properties owned by the local authority and their status (vacant, occupied by
municipal buildings, leased out...)
Tax base of the local authority and recent amendments
Revenue collection efficiency (amount collectable, average amount collected and
backlog),
Property valuation system, how often the valuation is done, when the last valuation
was done.
A copy of the latest and previous budget of the local authority
Procurement system for both capital works and day to day operational activities
Accounting practices (whether income from water services is separately accounted
for reinvestment purposes or sent to the consolidated fund)
Is wastewater management service provided free? Or
Water Sector
Current tariff structure (rate and connection charges) and the amendments
introduced in the recent past.
324
The cost of water (Capital Investment and Operation and Maintenance cost – CAPEX
and OPEX).
Water rates by use – residential, commercial and Connection charges.
Consumers who are exempted from water levy.
Number of public standpipes and amount of water use of those pipes, number of low
income‐people served (approximately)
Revenue – revenue collection by type (i.e. residential, commercial, etc.), collection
efficiency (current and for the past five years). Total revenue collected during the past
five years (annually), collection issues.
Current revenue collection system (Provide a description – meter reading, issuance of
bills (manual), should the customers come personally to the local authority to make
the payment or is there any other system (payments through banks, private sector
involvement), online payment system.
Sources of investments (Both capital and O&M)
Assets: Equipment, vehicle, headworks, piping system, etc. with their size (diameter),
material, age and present condition
3.2.7 Management Data
Level of authority of the local authority (i.e. total water supply including catchment
management, head works, distribution or part)
Management structure of the institution responsible for water supply
Management Structure and the staff strength – The number, designations,
educational qualifications, experience, duties and responsibilities, required staff to
run the service efficiently, backlog, new recruitments’ etc.
Availability of training
3.3 Analysis
This stage is to analyse the data already collected to arrive at a comprehensive understanding
of the current system of the service. Analysis can be done based on the very same
classification under which the data has been collected (i.e. city background, demographic
aspects, land use plan, technical aspects, operational aspects, financial aspect and
management aspect.). This analysis will also help the PMU to establish the benchmark f the
existing situation. The study needs to provide a series of statistical presentation and
conclusions. The analysis should have two components;
(i) Component One – Establish the baseline ‐
(ii) Component Two – Establish the future scenario (ex. Estimation of per capita water
consumption, the total amount of water demand say by 2020, 2030 and 2040.
4.0 Stage 3 – Establishing the Foundation
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4.1 Gap Analysis
The GAP analysis is a comparison of current performance with desired (or expected) future
performance level, which is a widely used management tool in business. It; (i) first deals with
benchmarking the current performance level and then (ii) establishes the desired future
performance level. Since it has a close connection with the vision and SWOT analysis, it may
also be carried out after the Vision development.
Firstly, the team should have a reasonable understanding of the role of the city in the national
economic development and the goals of the city development plan to achieve national
development objectives. The team should then understand the necessity of developing an
efficient infrastructure service to increase the competitiveness so as to make the city
attractive to investors. Secondly, the team should set targets to achieve say for the next 5 or
10 years. (i.e. current coverage of water supply is 60% and expected level of coverage by 2020
will be 100% Thus, there is a gap of 40% to bridge.)
Another activity may be the duration of water supply. The current length of time is say 8 hours.
The desired level in the next 5 years may be 24 hours. Thus, the GAP to be bridged during the
next 5 years is 18 hours.
When the stage two – diagnosis is complete, it will give a good understanding of both the
current situation of the service and the future requirement. Therefore, stage two will guide
the team to develop the gap analysis realistically.
4.2 Vision Development
The vision is an achievable future dream or imagination (this can also be a kind of an extension
of the gap analysis as during the gap analysis future targets are fixed). The team should
indicate in the Business Plan its clear future vision with regards to the service delivery. A few
of the guidelines for preparation of a good vision for provision of utility – in this case, WS is
listed below;
Needs to be a reflection of the city development vision (as illustrated in the city
development plan)
Bridging the gap as illustrated in the “Gap Analysis” (Example – Increasing the coverage
up to 90% by 2025 or Meet the WHO water quality standards by 2025)
Think big, be ambitious, be strong and feel it is reachable
Imaginations and Novelty
To be brief and clear
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Give the citizens an inspiration, pride and hope – (Example – “2020 CLEAN WATER FOR
ALL”)
Easily remembered (catchy words – Even this can be a picture, example – a young girl
drinking water directly from the tap, with a caption in 2020, to indicate that the water in
2020 will be so pure.)
4.2 SWOT Analysis
The SWOT analysis in the past was used predominantly in the corporate sector for business
development and in warfare for developing strategies to defeat the enemy, is now widely used
almost in every sector to achieve a set vision.
It is a tool to develop a correct assessment of the internal factors of an organisation (strengths
and weaknesses) and the existence of external factors (opportunities and threats), which will
guide to formulate strategies to achieve the vision.
In this situation, (Example, say the vision of the city X – is, “2020 – Clean Water for All”.
Then the business planning team needs to list the strengths and weaknesses internal to the
organisation and the city and opportunities and strengths that are external to the organisation
and the city in relation to achieving the vision. Next, the business planning team can develop
strategies to strengthen its strengths further, overcome or eliminate its weaknesses which are
internal to the organization and exploit the opportunities available (i.e. availability of outside
funding for environmental infrastructure) and face or avoid the threats which are external to
the organisation / city. (i.e. pollution in the upstream of the water source)
Example;
SWOT
Strength Location of xxxx river in........having the capacity of extracting .......m3 of
water a day throughout the year
Lashio
Water ‐ 2020
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Weakness High percentage of Non‐Revenue Water (50%) in the current system
Opportunity Priority placed by international donor agencies for environmental
infrastructure
Threat Pollution of the water source by the development activities located outside
the authority of the organisation.
4.4 Objectives
Vision, Mission, Goals, Objectives – people get confused with all these words. To make it simple, in this USBOP, please note the following;
(i) The team has diagnosed the current situation of the service and have a thorough
understanding of where do they stand? (ii) The team has clearly understood the future of their city as an engine of the national
economy and has fixed targets for achievement. The gap analysis has provided an indication of the size of the gap of water service that needs to be bridged within the next x.....years.
(iii) Based on the above and the futuristic city plan, the team has developed a Vision – a dream.
(iv) The team has prepared a SWOT analysis so as to understand its strengths, weaknesses, opportunities and threats to achieve the vision.
(v) It is now necessary to have some specific directions towards achieving the set vision. Such specific directions can be called “Objectives”. The simple definition of objectives is “they based on facts rather than feelings or opinions” (Source: http://www.merriam‐webster.com/dictionary/objective). In general, objectives are more specific and easier to measure than goals. Objectives are basic tools that underlie all planning and strategic activities. They serve as the basis for creating policy and evaluating performance. Some examples of business objectives include minimising expenses, expanding internationally, or making a profit” (Source: http://www.businessdictionary.com/definition/objective)
(i) Reduce per capital water
consumption (residential) from
200 l/p/d/h to 120 l/p/d/h
(ii) Maintain the potable water
quality to the WHO standard by
2025
(iii) Reduce non revenue water
(NRW) from current 50& to
15% by 2020.
Box 2: Examples for water service
objectives.
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The USBOP as its name denotes has a business orientation and therefore the objective should
be strategic and need to reflect that business orientation. One easy way of understanding to develop objectives is to remember the mnemonic acronym SMART as illustrated in figure 3 below.
Figure 3: “SMART” – Mnemonic Acronym (Source: openwrxconsulting.wordpress.com) The USBOP as its name denotes has a business orientation and therefore the objective should
be strategic and need to reflect that business orientation. It is easier to develop such objectives when every component of the water supply system is
recognised within the overall vision. The following elements can be considered as the most important.
(i) Institutional – The aspects that could be thought of for establishing objectives are; restructuring the institutions to increase the efficiency, competitiveness and good governance where training and capacity building, cost effectiveness, potential collaborations with other institutions, information management become important subject areas. Privatisation of the service can also be another objective to increase the service provision efficiency.
(ii) Technical and Operational – Under technical and operational aspects; the subjects that should be covered include water supply management (protection of the water resource and its catchment, augment the production capacity of water and increase production efficiency, augmentation of the pumping capacity, improving the treatment system, expansion of the distribution network, reducing the amount of non‐revenue water, expanding the storage capacity, efficient maintenance of the system, etc.), demand management (per capita water consumption, alternate sources, reuse, water conservation through various system say use of water efficient washroom fittings, etc.)
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(iii) Financial Aspects – Having understood that USBOP is a business plan, the business orientation similar to that of the corporate sector has to be reflected in the objectives related to financial aspects. The aspects that could be covered are financing for capital and O&M investments, cost minimization and income maximisation, restructuring of the tariff system and revenue collection mechanism, strategic investments.
(iv) Environmental Aspects – The objectives under environmental aspects should cover the provision of safe drinking water, prevention of contamination, conservation of water source catchment areas, preventions of pollution, etc.
(v) Urban Planning Aspects – The objectives under urban planning aspects should cover the aspects of incorporating Integrated Water Resources Management into urban planning (i.e planning and building regulations could be re‐designed to include rainwater harvesting, ground water re‐charge, conservation of wetlands, permeable building materials for paving, planting habits in open spaces etc), for long tern sustainability.
(vi) Social Aspects – The objectives under social aspect will not have short‐term business
aim but provides economic benefits of long‐term nature. Example; (i) the objectives
should aim at developing healthy living environment of vulnerable communities / low
income communities, (ii) provision of clean portable water and educating the
community of the principles of integrated water resources management (IWRM)
which will have a long‐term benefits to the city by reducing the cost of health,
developing a healthy workforce etc.
5.0 Stage Four – Road Map
The road map can be considered as the engine of the USBOP as it establishes the foundation
for the implementation of the plan. The gap analysis has identified the areas that are required
to be bridged to make the service delivery efficient and sustainable. Vision provides the future
dream, and the SWOT provides a clear assessment of the institute in reaching the vision.
Objectives clearly indicate the direction. Thus, the road map will show the road or path to get
to the vision.
5.1 Strategies
Developing strategies is the first step of the roadmap. The Business Directory.com defines Strategy as; (i) A method or plan chosen to bring about the desired future, such as achievement of a goal or solution to a problem. (ii) The art and science of planning and marshalling resources for their most efficient and effective use.
Thus, the strategies in USBOP can be defined as the science and art of developing instruments
to achieve the vision of the USBOP.
The gap analysis has identified the areas that are required to be bridged to make the service
delivery efficient and sustainable. When objectives are made clear (section 4.4) it is easy to
develop strategies.
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Example One: If the objective is to reduce the per capita water consumption from current
200 l/p/d/h to 120 l/p/d/h by 2020, one of the clear strategies would be to increase the tariff on water consumption.
Example Two: If the objective is to reduce the Non‐Revenue Water (NRW) from current
say 50% to 15%, then, one of the clear strategies would be to replace the old pipe network
with a new network that reduces the leakages. Another strategy would be rigorous
enforcement of the law on illegal connections.
5.2 Preliminary Project Plan / Proposals
The project plan is a reflection of objectives; as it needs to be prepared to address the
objectives.
The steps up to the above section 5.1 will provide adequate information and guidance to
prepare preliminary project proposals with approximate cost estimates. The Project
Management Unit should remember to prepare the project plan to address the objectives.
Example; the expectations would be (i) to reach the water supply coverage of the city up to
70% by 2020, 90% by 2030 and 100% by 2030. (ii) to reduce the non‐revenue water (NRW)
from 50% to 15% by 2020.
Table 1: Project Activities
Project Plan Main Activity Detailed Activities
1. Catchment area protection
2. Head works
2.1 Intake re‐development ..... ....... .........
2.2 Upgrading Raw water pumping station ......... .......... .........
2.3 Upgrading the aerators ....... ............ ............
2.4 Sludge removal and pre‐treatment ........ .........
2.5 Post‐treatment ....... ........
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2.3 Treated water pumping station ................ ................
2.4 Water testing lab ................
3. Storage Tanks
3.1 Clean water dist. storage tanks – x nos ................ ................
3.2 Clean water dist. storage tanks – x nos ................ ................
3.3 Clean water dist. storage tanks – x nos ................ ................
4. Distribution Network
4.1 Distribution system upgrading –Zone 1 ................ ................
4.2 Distribution system upgrading –Zone 2 ................ ................
4.3 Distribution system upgrading –Zone 3 ................ ................
4.4 Distribution system upgrading –Zone 4 ................ ................
4.5 Distribution system upgrading –Zone 5 ................ ................
5. Operation Equipment ................ ................
6. Civil works ................ ................ ............. ............ ........... ..............
7. Recruiting technical and management staff ................ ................
The next stage of the project planning is to scheduling and phasing the project activities.
Depending on the available and expected resources, the outcome of the plan can be phased
out. Based on the schedule, an approximate cost estimate needs to be prepared. A sample is
provided in Table 2.
Table 2: Project Scheduling and Costing
Project Plan Activity
Time Schedule
Cost
2020 2025 2030 2020 2025 2030
1. Catchment area protection 60% 75% 100% xxx yyy zzz
2. Head works
2.1 Intake re‐development
2.2 Upgrading Raw water pumping station
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2.3 Upgrading the aerators
2.4 Sludge removal and pre‐treatment
2.5 Post‐treatment
2.3 Treated water pumping station
2.4 Water testing lab
3. Storage Tanks
3.1 Clean water dist. storage tanks – x nos
3.2 Clean water dist. storage tanks – x nos
3.3 Clean water dist. storage tanks – x nos
4. Distribution Network
4.1 Distribution system upgrading –Zone 1
4.2 Distribution system upgrading –Zone 2
4.3 Distribution system upgrading –Zone 3
4.4 Distribution system upgrading –Zone 4
4.5 Distribution system upgrading –Zone 5
5. Operation Equipment
6. Civil works
7. Recruiting technical and management staff
5.3 Financing
5.3.1 Introduction
Financing is considered to be a scarce resource. However, it is never a scarce resource if an
innovative business plan is in place. Particularly due to the growing interest of the countries
and the international community on the environmental infrastructure, mobilisation of funds
is not a big issue. Some of the commonly available funding sources for water supply are;
Public Sector National / Provincial Institutions
Local Governments
Private Sector
Support from international donor institutions
NGOs.
It can also be a combination of several instruments. However, it is to be noted that carrying
out purely a financial appraisal for investments in the water supply is not realistic as there are
a lot of economic and social benefits for which providing a financial value is difficult. i.e.;
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(i) Provision of high‐quality potable water to the community will result in the reduction
of water‐borne deceases – Health Care Savings, (many medical sources have indicated
the reduction of diarrhoeal diseases up to 90% due to improved water supply)
resulting the reduction of health expenditure of the Government. “Productive Days
Gained” and “Time Savings” also have an economic and social value which is not
adequately reflected in financial appraisals.
(ii) Reduction of the quantity of water use (due to new tariff system and awareness
programmes, people will reduce the amount of water consumption) will reduce the
amount of wastewater generated and thus will have a positive impact on the
reduction of the cost of wastewater management. Therefore in modern
environmental infrastructure, water is not spoken alone but is discussed under the
theme “sanitation and drinking water”.
(iii) Use of pipe borne water (since it is drinkable now) will reduce the use of bottled water
and thus will have a positive impact on reducing the plastic waste.
(iv) Availability of high quality reliable potable water supply system in the city will attract
more tourists and also will create a positive impact in creating enabling urban
financing/business environment.
Therefore, these aspects should be adequately considered when making decisions on the
application of financial instruments for the development of water supply systems. In other
words, project cash flow not indicating a positive outcome doesn’t mean that the project is
non‐feasible. It may be financially not feasible for a private sector investor but economically
feasible due to the many other social and economic benefits attached to water as briefed
above. However, application of innovative financial instruments (such as joint ventures) can
make project cash flows positive for private sector also, particularly in the long run.
Secondly, in addition to the common risk elements associated with all kinds of investments,
investments in water supply has some inherent risk elements such as unpredictable water
scarcity problems during some seasons (due to changes in the rainfall pattern which is
currently caused by climate change implications), floods and pollution (due to the upstream
activities of the water source).
Thirdly because of the heavy capital intensive nature and high amount of operation and
maintenance expenditure it is practically not possible to recover the cost and make a profit
during short‐term durations. Typically water projects experience negative cash flows during
the initial years, and thus, they largely depend on future cash flows.
Fourthly water and wastewater are interlinked. However imposing a tariff on wastewater is
politically very sensitive and therefore, what is mostly in practice is inflating the water tariff
by an addition of a small tariff component for the wastewater. Thus, the calculation of water
tariff has also become somewhat a cumbersome task.
5.3.2 Investors – Potential Alternatives
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Public Sector – (Central / Provincial Government) – Water being a basic good is politically
sensitive. In developing counties, it is the perception of the people that water should be
provided by the public sector. Involvement of the relevant national institutions of the public
sector in investment has several advantages as listed below;
They have access to both local and international financial markets and also multilateral
and bilateral funding sources. In the investment portfolios, it is easy for them to
consider water in terms of economic perspective instead of financial objectives.
Risk can be shared with other similar public investments as it becomes a public service
having significant economic, social and environmental benefits.
Impacts on the cash flow during emergencies (i.e. water shortages due to floods,
droughts, climate change impacts, etc.) can be minimal as the extra cost of providing
water through alternative modes would be considered as a social responsibility.
The Business Operation Plan will look into the aspects of managing the water supply
profitably. However, it will meaningfully consider the long‐term economic and social
benefits to creating an enabling urban financing and business environment which is a
fundamental requirement of development of a competitive urban economy.
Public Sector National Institutions have qualified and experienced staff who can be
easily directed to change the orientation from purely a current service provider to
business entity.
Myanmar as a whole and almost all the major cities (i.e. Yangon, Mandalay) have been
facing extreme climate conditions (mainly floods and droughts) causing severe impacts
on drinking water supply. During such emergency situations, it is easy for the
responsible water supply department to coordinate with other relevant public sector
institutions and implement emergency relief activities, which is a difficult task for a
private sector company to perform as the unexpected additional investment will create
negative impacts on the cash flow.
Public Sector – Local Government – Local Governments in developing countries largely
depend on Central or Provincial Governments for financial and technical resources. Lack of
financial, technical and management capabilities is a common issue. There are two exceptions
– (i) firstly some of the larger cities have a good income base and that creditworthiness can
be established (ii) and secondly during the last 10 – 15 years many programmes were
implemented through various local and international donor organisations related to local
government reforms and the establishment of good governance. Many countries have shown
positive results.
In Myanmar City Councils (i.e. YCDC, MCDC) have comparatively higher authority in managing
the urban services. Since local governments are the closest institutions to the local people
they are best positioned to become the investor for which an institutional strengthening is a
prerequisite. The potential scenario would be the Central or Provincial Government to provide
the initial finance for capital investments (considering the long‐term social and economic
benefits to the national economy). If an efficient management structure can be established
creating kind of a business culture and a reasonable tariff structure can be implemented then
during the initial stages, local authorities can recover operation and maintenance cost, and a
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reasonable amount of surplus can be earned which can be reinvested in the expansion of the
capital works. In the long‐run it is possible to repay the financial assistance provided by the
Central / Provincial Government. If the local authority is to get involved in investment, it is
essential for city authorities to prepare a “Strategic Urban Development Plan” for the whole
city, which will change the attitudes of the local politicians and the local authority employees
towards the development, from merely traditional land use planning perspective to vibrant
business oriented city planning approach.
Private Sector – Private sector involvement in municipal service provision is promoted
throughout the world as an efficient way of mobilising capital for infrastructure development.
There have been successes mostly in the development countries and to some extent in the
developing countries.
In addition to the (i) common risk elements associated with any investments, (ii) inherent risk
factors attached to water supply service (i.e. unpredictable water supply, floods, pollution),
there also exists, three most common risk elements particularly for foreign private investors
and even the local investors who raise debt capital in foreign currency; (a) political sensitivity
of tariff (b) devaluation of local currency (further no insurance is available against foreign
exchange risk) and (c) increase of electricity cost / unreliable electricity supply.
Due to the risk element attached to foreign currency, raising funds through local financial
institutions would be a good solution; however in many developing countries financial
institutions are not prepared to lend for water supply projects mostly due to long gestation
periods and risks. On the other hand, foreign investors are restricted in many ways in raising
funds locally. Further fiscal incentives provided to foreign investors through special legal
provisions are based on the amount of “Foreign Capital” brought into the project, which
anyway prevent the foreign investors to access the local financial market.
The project management unit having analysed the alternative investment possibilities should
make a decision that is most suitable for their city.
5.3.3 Potential Financial Instruments
Having discussed the potential financial sources (section 5.3.2), it is necessary under this
section to subdivide the project activities and identify precisely the project partners and
financial instruments.
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Example Table 3: Project Partners and Financial Instruments
Project Plan Main Activity
Project Partners / Financial
Instruments
8. Catchment area protection National Government
9. Head works
2.1 Intake re‐development
2.2 Upgrading Raw water pumping station
2.3 Upgrading the aerators
2.4 Sludge removal and pre‐treatment
2.5 Post‐treatment
2.3 Treated water pumping station
2.4 Water testing lab
10. Storage Tanks
3.1 Clean water dist. storage tanks – x nos
3.2 Clean water dist. storage tanks – x nos
3.3 Clean water dist. storage tanks – x nos
11. Distribution Network
4.1 Distribution system upgrading –Zone 1
4.2 Distribution system upgrading –Zone 2
4.3 Distribution system upgrading –Zone 3
4.4 Distribution system upgrading –Zone 4
4.5 Distribution system upgrading –Zone 5
12. Operation Equipment
13. Civil works
14. Recruiting technical and management staff State
Government /
Local Authority
5.3.4 Project Cost Income and Phasing
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Under the section 5.2, two tables were developed related to project activities, phasing and
cost. It is now necessary based on those tables to prepare the project cost with adequate
details. In the calculation of project cost, if the project partners are correctly identified as
guided in table 3, costing can be listed against partners.
The project team should seek the assistance of the technical staff of the institution to develop
a cost estimate of the project activities. At this level, an accuracy of 85 – 90% would be
adequate.
Concerning the project income or benefits, the project team first needs to list all the benefits
both financial and non‐financial. Example;
Financial
(i) Water tariff
Economic / social
(i) Increase city competitiveness (due to the provision of high‐quality water)
(ii) Reduction of waterborne diseases
(iii) Reduction of wastewater generation (due to water conservation as a result of water
tariff)
Environmental
(i) Reduction of drinking water pollution due to the elimination of wastewater ingress
into water supply system
5.3.5 Project Appraisal
A project appraisal needs to be carried out considering the cost and benefits as listed above,
to understand whether the project is financially / economically feasible. The appraisal should
consist of a discounted project cash flow statement (NPV), Internal Rate of Return worked out
based on an acceptable discount rate (FIRR or EIRR) and sensitivity analysis considering at least
five potential sensitivity factors related to a project of this nature.
6.0 Conclusions and Recommendations
The conclusion and recommendations can be considered the most important stage of the
USBOP as it tells what to do. Therefore, the team should consider the following guidelines in
preparing the conclusions and recommendation.
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(i) Make them very clear. Not to be ambiguous.
(ii) Make them short and simple.
(iii) Make them very directive.
(iv) Create confidence in those who read them.
Annexure A – List of Contents of the USBOP
The final USBOP report should consist of two parts as listed below.
Part One – Database Development Since the data base development section comprises a large volume of data, it is advisable to make it
a separate part/volume, as the decision makers are not interested in reading a large volume of data.
Therefore, it is also necessary to provide a data summary sheet with conclusions at the end of the part
one so that it can be referred to easily.
Part Two – The Plan The part two of the report should consist of the following items.
1. Diagnosis (A summary of the Part One)
2. Vision
3. GAP Analysis
4. SWOT Analysis
5. Objectives
6. Strategies
7. Project activities and scheduling
8. Project financing
9. Project appraisal
10. Conclusions and recommendations.
You may notice that the stage 5 (Outcome – implementation and monitoring) of the planning process
as indicated in figure 1 is missing in the above list of contents. It is because; the stage 5 will become
relevant after acceptance of the USBOP report by the respective authority.
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Appendix 23: Handbook for the Preparation of an
Urban Services Business Operations
Plan for Solid Waste Management
340
Hand Book (Final Draft)
For Preparation of
Urban Services Business Operation Plan
For Solid Waste Management
Contents Page
341
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1.0 What is a Urban Services Business
Operation Plan?
1.1 Introduction
Business plans are the key documents in the corporate
sector that guide how to run their businesses
more profitably. A company needs to
understand how to improve its product/service
to satisfy the clients, how to exist in the
competitive market and to achieve its
estimated profits and long‐term business
objectives.
Business plan of a company generally consists
of the business focus, vision (setting the future orientation), mission ‐ defining the business, SWOT analysis, market analysis, business strategy, marketing plan, business operations plan
and financial plan etc. Thus “Business Operations Plan” is one of the components of the
Business Plan” itself.
The Business Operation Services Plan consists of activities related to operating the “Business”
as defined in the “Business Plan”. Thus, before preparing the “Business Operation Services
Plan” it is necessary to develop a “Business Plan” as “Business Operation Services Plan” is a
component of the “Business Plan.”
1.2 Relationship with Urban Development
1.2.1 Why a city needs a business plan
Cities are considered to be the “Engines of National Economic Development”. Their traditional
roles as just service centres to their rural hinterlands have changed fast and dramatically, and
now they have become growth poles of the national economies. To make the “Engine”
functions efficiently, new tools and instruments are needed. The tools (the plans) that existed
before for city planning (i.e. Master Plans, Physical Plans, Structure Plans) are no longer
Is it to manage and operate your business better?
Is it to manage fast growth better?
Is it to manage in a declining market better?
Is it to manage the impact of your competition better?
Is it to introduce more products or services (or to consider doing so)? Or to add more locations?
Is it to change ownership: adding new partners, adding key employees?
Is it to obtain financing? Is it to sell your business?
Box 1: First, determine why do you
want to do a business plan:
Source: http://www.more‐for‐small‐
business.com/business‐plan‐outline.html
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suitable for preparation of urban development plans to face the current challenges primarily
because of their departure from “business orientation”. Cities need to be run as business
ventures so as to optimise their efficiency as engines of national economic development and
to be competitive in a competitive global business environment.
1.2.2 Business Plan
By continuing the section 1.2.1, I consider “Strategic Plan” for the city as its “Business Plan” as
it consists of all the elements of a Business Plan of corporate sector but within a “Public
Orientation”. It includes all the items that ADB advocates in its “Urban Operation Plan” (2012
– 2020). Therefore, I consider that preparation of a “Strategic Urban Plan” as the pre‐requisite
for preparation of guidelines for “Urban Services Business Operation Plan.”
1.3. USBOP – The Meaning in Transition
Now, it is necessary to define or understand the meaning of “urban services business
operations plans”
1.4 Conventional Thinking
Conventionally Urban Services Business Operation Plans mean preparing business plans for
operation of the services provided by the city councils / local governments such as wastewater
management, solid waste management, water supply, storm water drainage, public outdoor
recreational spaces, etc. The business operation plan for each such service should primarily
consist of;
(v) Vision/aim (Example – To expand the service coverage to 80% of the city by 2020)
(vi) An assessment of the related assets (status, coverage, estimated future needs,
technology to be used, operation and maintenance issues, manpower, etc.)
(vii) Cost estimation – Incremental capital expenditure needed to cater to future demand
and replacements, Operation and Maintenance cost, etc.
(viii) Income – The way in which cost related to capital investments and operation and
maintenance be found. This approach typically consists of financial instruments
available for urban infrastructure development such as donor funding, central
government grants, joint ventures, public private partnerships, etc. It is also the
current thinking that user fee to be a key source of infrastructure development
(mainly to cover the cost of operation and maintenance). In most of the cases, the
user fee is built into the property tax and therefore, formulation of property tax
becomes an essential aspect of income.
This kind of urban services business operation plans are necessary to make sure that the
services provided by the city councils are run smoothly catering to the growing city demand
and to ensure that the services are provided to acceptable norms and promotes efficient
operation of city functions. The main drawback of preparing urban services business operation
plans without in the first place having a business plan (strategic urban development plan) is
the disintegration of investments without having a primary direction towards creating a
competitive city. However in the absence of a “Business Plan” (Strategic Urban Development
Plan), “Urban Services Business Operation Plans” can do a lot in developing the city’s
infrastructure.
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1.5 Urban Services Business Operation Plan (USBOP) ‐ The Hand Book
The USBOP preparation process is presented in figure 1.
2.0 Stage One ‐ Commencement
In many developing countries solid waste management is handled by Engineering Division of
the responsible institution (i.e. engineering divisions of local authorities). Involvement of
other relevant divisions (i.e. finance, management, planning, health, etc.) is nonexistent or
minimal. It is to be understood that drawing up of a successful urban services business
Fi 1 USBOP Pl P ti P
Overall Understanding
Data base development & Analysis
Vision Development
Gap Analysis
SWOT Analysis
Objectives
Strategies
Project Activities and Scheduling
Financing / Appraisal
Implementation
Monitoring
Establishment of
Project Management
Unit Stage 1
Commencement
Stage 2
Diagnosis
Stage 3
Establishing the
Foundation
Stage 4
Road Map
Stage 5
Outcome
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operation plan (USBOP) for solid waste management (SWM) is a teamwork involving all the
relevant departments. Consultation with relevant stakeholders (i.e. hospitals, industries,
commercial establishments, NGOs, financial institutions, research institutions, etc.) and
community participation is also equally important. Therefore, the first step of the preparation
of USBOP is the establishment of a responsible team in the service provider organisation to
prepare it. It may be a special unit within the same organization established for this purpose.
The staff assigned for the preparation of the USBOP may work part time as many institutions
are unable to recruit full‐time employees for special purposes. This unit may be called the
Project Management Unit (PMU). The most important consideration in the establishment of
PMU is that it should represent all the relevant departments of the organisation. (i.e.
Engineering, Finance, Planning, Health, etc.) PMU will hold the sole responsibility of preparing
the USBOP. It needs to establish a system for stakeholder consultation and community
participation, throughout the plan preparation process.
3.0 Stage Two ‐ Diagnosis
3.1 Overall Understanding
Under this stage; the members of the PMU are expected to acquire a comprehensive
knowledge of the SWM systems. Some of the important aspects in this regards are listed
below;
(i) It is to be understood that solid waste is now considered to be a resource and that
resource recovery is promoted to be the sustainable strategy of solid waste
management. (SWM)
Figure 2: Sustainable solid waste management (Source: Quotesgram.com)
(ii) The widely discussed RRRR strategy of solid waste management (Reject, Reduce,
Reuse and Recycle) makes it cost effective, environmentally sound and economically
advantageous. It reverses the current practice of from more landfill to less landfill,
from less resource recovery to more resource recovery, from fewer jobs to more jobs.
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It recognises the employment generation as a key aspect of sustainable solid waste
management.
(iii) The operation of successful solid waste business plans is largely dependent on the
community involvement.
(iv) There are many stakeholder institutions involved in SWM at different levels. (i.e.
NGOs, Universities and Research Institutes, Hospitals, media, etc). Consultation and
working together with such institutions is a prime requirement of making rational
decisions in formulating the USBOP for SWM.
(v) The most common issues related to solid waste management in developing countries
are;
Institutional
Inadequate financial, management, and technical capabilities particularly inadequate
qualified technical staff due to unattractive salaries of the public sector.
Weak enforcement of regulations
Poor coordination among various institutions handling solid waste (i.e. Municipal Solid
Waste, hazardous waste, medical waste, construction waste, agricultural waste)
Technical
Inadequate equipment, vehicles
Neglected O&M
Inadequate number of qualified and trained staff
Lack of a comprehensive database particularly that of a digital database
Absence of “Integrated Solid Waste Management System” as a whole.
Finance
Inadequate investments (both capital and O&M)
Poor financial performance (absence of tariff restructuring, poor revenue collection
efficiency)
Heavy dependence on the Central / State Government’s grants/subsidies
The inability of the local authorities to levy a tariff on solid waste management as it is
politically sensitive.
Environmental
Still, resource recovery is not managed in an efficient way
Since the sanitary land filling is costly, what is mostly practised is open dumping that
results in soil, air and water pollution.
Social
When it comes to solid waste disposal, what people mostly practice is “NIMBY” (Not in
My Backyard) principles.
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Many people think that it is the responsibility of the local authority to collect waste from
their homes at no cost.
3.2 Database Development – (Data Collection and Analysis)
Development of the business plans requires genuine, up to date and realistic database to
understand the present situation and estimate the desired future situation. Such a database
is fundamental to make rational decisions. To develop a USBOP for solid waste management
service, a comprehensive database covering all the aspects ‐ social, technical, financial, human
resources, etc. is required without which reasonable conclusions cannot be made on the
baseline situation. The following are the key areas to be covered during the database
development stage.
3.2.1 City Background and Urban Planning Information
Location, national / regional significance
Topography and spatial information
Growth prospects
Current city plans and their expectations
City share of national GDP
Current land use plan
Land use zoning plan
Existing and proposed building density plans (i.e. FAR), planning and building
regulations concerning the development densities.
Vulnerability to disasters (particularly related to floods)
Any studies carried out or plans prepared related to Solid Waste Management in the
near past.
3.2.2 Demographic Aspects
Size of the current city population
Historical growth pattern of population
Estimated future population growth rates / size (2020, 2030,2040,2050)
Population distribution by wards
Population densities by wards
Floating population and their destinations in the city (this information is difficult to
obtain, a value judgement would be adequate depending on the city economic activities
to get an indication)
Income and expenditure pattern of the households
Per capita income of the city population in comparison to the national level. The growth
of per capita income during the last 10 years and projected per capita income.
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3.2.3 Legal Background
f) National / Provincial or Local Authority legislations that govern solid waste management
g) Any standards and specifications provided under those legal provisions?
h) Does the law provide for Private Sector participation in solid waste management?
i) Is there any plan prepared for solid waste management?
j) Institutional set up provided by the law for solid waste management.
3.2.4 Technical Information
Solid waste generation
e) Total amount of solid waste produced per day (current)
f) Total amount of solid waste generated per day by year during the past 5 years
g) Classification of solid waste by activity (i.e. residential, commercial, industrial – if
available by %)
h) Per capita solid waste generation
Solid waste composition ( as a percentage)
f) Biodegradable ‐ ...%
g) Polythene.......%
h) Plastics........%
i) Glass.....%
j) Other......%
Summary of the current solid waste management system;
e) Wholly handled by the local authority
f) Degree of involvement by the Central / Provincial Council
g) Private sector involvement (i.e. collection, landfill operations, recycling, etc.)
h) If the private sector is involved, describe the type of involvement (i.e. PPP contracts,
100% private sector, conditions of the PPP, selection procedure of private partners,
duration of the contract)
Application of sustainable solid waste management practices (best practices) i.e. RRRR,
(Reduce, Recycle, Reuse and Reject)
c) Programmes implemented for education of the public
d) Any practical work already initiated?
Current Solid waste management system
o) Collection system (how many times a week, type of equipment used
p) Transfer Station (number, size, locations, ownerships, management)
q) Programme for separation at the source/transfer station or at the disposal site
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r) Final disposal site/sites. (number, size, capacity, locations, ownership, management,
amount of waste currently disposed in the site, any facility installed to extract gas)
s) Final disposal method ((i) Separation, recycling and composting (ii) Sanitary landfill
(iii) controlled landfill (iv) Open dump
t) If composting is done, the amount produced per month, income earned per year,
marketability, etc.
u) Any proposals for the development of waste to energy projects? The current rate of
electricity and potential rate if the produced electricity is sold to the national grid
v) Number of transfer stations, their locations, capacity, facilities available, the quantity
of that can be stored, how many days the waste is stored in transfer stations,
conditions of access roads to the transfer stations.
w) Does any form of environmental monitoring exist?
x) Is there involvement of the informal sector in collecting and recycling waste?
y) Present coverage (indicate on a map)
z) Is the city divided into zones for managing solid waste, (indicate on a map)
aa) The type of services provided to low‐income housing areas.
bb) Recent projects launched.
Hospital waste
e) Number of hospitals and their locations
f) Amount of solid waste generated by hospitals (i.e. Clinical waste and infections or
human body parts waste)
g) Current disposal system of hospital waste
h) Standards practiced
Waste from funeral parlours;
c) Current practice of disposal of waste from dead bodies (Incineration, burying)
d) Are they regulated? What standards?
E‐Waste
e) Amount of E‐waste generated per year
f) Current method of collection and disposal
g) Any awareness programmes implemented to make the people aware of the impact of
e‐waste?
h) Any informal collection system.
Hazardous waste disposal
c) Current system of collection and disposal
d) National standards for managing hazardous waste.
Construction waste disposal
b) Current collection and disposal system
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Average water content of solid waste (as a %)
a) In Asian countries, the moisture content of solid waste is more.
Industrial Waste
c) Any separation practiced
d) Any special method to handle hazardous waste
3.2.5 Operational Data
Number of households covered by the system (by category – residential, commercial,
industrial, etc.)
3.2.6 Financial Data
General
Sources of income of the local authority
Loans obtained in the near past (within the last 5 years) and debt servicing
performance
List of properties owned by the local authority and their status (vacant, occupied by
municipal buildings, leased out...)
Tax base of the local authority and recent amendments
Revenue collection efficiency (amount collectable, average amount collected and
backlog),
Property valuation system, how often the valuation is done, when the last valuation
was carried out.
A copy of the latest and previous budget of the local authority
Procurement system for both capital works and day to day operational activities
Accounting practices (whether income from municipal services is separately
accounted for reinvestment purposes or sent to the consolidated fund)
Is solid waste management service considered a free service?
Solid Waste Sector
Current tariff structure (if available) and the amendments introduced in the recent
past.
The annual cost of solid waste management (Capital investment and Operation and
Maintenance cost – CAPEX and OPEX), sources of investment.
Annual budgetary allocation for solid waste management
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Revenue – annual revenue, revenue collection by type (i.e. residential, commercial,
etc.), collection efficiency (current and for the past 5 years). Total revenue collected
during the past 5 years (annually), collection issues.
Income sources: Government grants, recycling, composting, waste to energy, landfill
operation.
Current revenue collection system (if available), should the customers come
personally to the local authority to make the payment or is there any other system
(payments through banks, private sector involvement), online payment system.
Assets: Equipment, vehicle, disposal sites, composting sites, waste separation sites,
recycling plants, transfer stations, closed landfill sites with their locations and extent,
any other properties.
Any foreign assistance received? If yes details.
The market for recyclable waste for collectors (metal, glass, paper, plastics, polythene)
and recycled waste.
Indicate the status of equipment (i.e. garbage trucks – the type, brand, age, fuel usage
and efficiency, repairs encountered, etc.)
3.2.7 Management Data
The management structure of the institution responsible for solid waste
management.
Staff strength – The number, designations, educational qualifications, experience,
duties and responsibilities, required staff to run the service efficiently, backlog, new
recruitments, etc.
Availability of training
Integration with other relevant institutions (hospitals, NGOs, industrial
establishments, markets, etc.)
Communication system with the public (say how the complaints are communicated
and attended)
Any studies carried out recently. If yes provide related information.
3.3 Analysis
3.3.1 Situation Analysis
This stage is to analyse the data already collected to arrive at a comprehensive understanding
of the current system of the service. Analysis can be done based on the very same
classification under which the data has been collected (i.e. city background, demographic
aspects, land use plan, technical aspects, operational aspects, financial aspect and
management aspect). This analysis will also help the PMU to establish the benchmark of the
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existing situation. The study needs to provide a series of statistical presentation and
conclusions. The analysis should have two components;
(iii) Component One – Establish the baseline
(iv) Component Two – Establish the future scenario (ex. Estimation of solid waste generation
and composition)
4.0 Stage 3 – Establishing the Foundation
4.1 Gap Analysis
The GAP analysis is a comparison of current performance with desired (or expected) future
performance level, which is a widely used management tool in business. It; (i) first deals with
benchmarking the current performance level and then (ii) establishes the desired future
performance level. Since it has a close connection with the vision and SWOT analysis, it may
also be carried out after the Vision development.
Firstly, the team should have a reasonable understanding of the role of the city in the national
economic development and the goals of the city development plan to achieve national
development objectives. The team should then understand the necessity of developing an
efficient infrastructure service to increase the competitiveness so as to make the city
attractive to investors. Secondly, the team should set targets to achieve say for the next 5 or
10 years. (i.e. current resource recovery level is 10% and expected resource recovery level by
2020 is 60% Thus, there is a gap of 50% to bridge.)
Another activity may be waste separation at the source. The current level of waste separation
at the source may be 0%. The desired level in the next five years may be 50%. Thus, the GAP
to be bridged during the next five years is 50%.
When the stage two – diagnosis is complete, it will give a good understanding of both the
current situation of the service and the future requirement. Therefore, stage two will guide
the team to develop the gap analysis realistically.
4.2 Vision Development
The vision is an achievable future dream or imagination (this can also be a kind of an extension
of the gap analysis as during the gap analysis future targets are fixed). The team should
indicate in the Business Plan its clear future vision with regards to the service delivery. A few
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of the guidelines for preparation of a good vision for provision of utility – in this case, solid
waste management is listed below;
Needs to be a reflection of the city development vision (as illustrated in the city
development plan)
Bridging the gap as illustrated in the “Gap Analysis” (Example – “YANGON 2020 – NO
WASTE – MORE GREEN”)
Think big, be ambitious, be strong and feel it is reachable
Imaginations and Novelty
To be brief and clear
Give the citizens an inspiration, pride and hope – (Example – “MANDALAY – THE CITY OF
NO WASTE – WE ARE CLEAN”)
Easily remembered (catchy words – Even this can be a picture, example – an image
indicating people with happy faces in garbage‐free city environment)
Source: issuu.com
4.3 SWOT Analysis
The SWOT analysis in the past was used predominantly in the corporate sector for business
development and in warfare for developing strategies to defeat the enemy, is now widely used
almost in every sector to achieve a set vision.
It is a tool to develop a correct assessment of the internal factors of an organisation (strengths
and weaknesses) and the existence of external factors (opportunities and threats), which will
guide to formulate strategies to achieve the vision.
In this situation, (Example, say the vision of Yangon is, “2020 – No Waste More Green”, the
planning team needs to list the strengths and weaknesses internal to the institution and
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opportunities and threats that are external to the institutions, concerning the achieving the
vision. Then the business planning team can develop strategies to strengthen its strengths
further, overcome or eliminate its weaknesses which are internal to the organisation and
exploit the opportunities available (i.e. availability of outside funding for environmental
infrastructure) and face or avoid the threats which are outside the organisation. (i.e. the final
disposal site being vulnerable to floods due to the wrong land use activities in the upstream
of the river)
Example;
SWOT
Strength Availability of a large disposal site with adequate void space, away from the
settlements.
Weakness Poor awareness of the community about RRRR (Reject, Reduce, Reuse,
Recycle)
Opportunity Priority placed by the international donor agencies for environmental
infrastructure
Threat Waste management site vulnerable to natural disasters (Floods), due to river
overflow.
4.4. Objectives
Vision, Mission, Goals, Objectives – people get confused with all these words. Tto make it simple, in this USBOP, please note the following;
(vi) The team has diagnosed the
current situation of the service and have a thorough understanding of where do they stand?
(vii) The team has clearly understood the future of their city as the engine of the national economy and has fixed targets for achievement. The gap analysis has provided an indication of the size of the gap that needs to be bridged within the next X years.
(viii) Based on the above and the futuristic city plan, the team has developed a Vision – a dream.
(ix) The team has prepared a SWOT analysis so as to understand its strengths, weaknesses, opportunities and threats to achieve the vision.
(iv) 100% waste separation at
household level by 2020.
(v) Reducing the cost of solid waste
management by 75% by 2020
Box 2: Objectives, Examples
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(x) It is now necessary to have some specific directions towards achieving the set vision. Such specific directions can be called “Objectives”. The simple definition of objectives is “they based on facts rather than feelings or opinions” (Source: http://www.merriam‐webster.com/dictionary/objective). In general, objectives are more specific and easier to measure than goals. Objectives are basic tools that underlie all planning and strategic activities. They serve as the basis for creating policy and evaluating performance. Some examples of business objectives include minimizing expenses, expanding internationally, or making a profit” (Source: http://www.businessdictionary.com/definition/objective)
The USBOP as its name denotes has a business orientation and therefore the objective should
be strategic and need to reflect that business orientation. One easy way of understanding to develop objectives is to remember the mnemonic acronym SMART as illustrated in figure 3 below.
It is easier to develop such objectives when every component of the solid waste management system is recognized within the overall vision. The following components can be considered as the most important.
Figure 3: “SMART” – Mnemonic Acronym (Source: openwrxconsulting.wordpress.com) The aspects that could be thought of for establishing objectives are; restructuring the
institutions to increase the efficiency, competitiveness and good governance where training and capacity building, cost effectiveness, potential collaborations with other institutions, information management become important subject areas. Privatisation of the service can also be another objective to increase the service provision efficiency.
(vii) Technical and Operational – Under technical and operational aspects; the subjects that should be covered include waste minimisation, cost minimisation, increasing resource recovery, integration with the agricultural and industrial sector, etc.
(viii) Financial Aspects – Having understood that USBOP is a business plan, the business orientation similar to that of the corporate sector has to be reflected in the objectives related to financial aspects. The aspects that could be covered are financing for capital and O&M investments, cost minimisation and income maximisation, restructuring of
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the tariff system to include a % for solid waste management and to direct such funds for re‐investment in the solid waste management.
(ix) Environmental Aspects – The objectives under environmental aspects should cover prevention of air, soil, water and visual pollution.
(x) Urban Planning Aspects – The objectives under urban planning aspects should include the areas of incorporating solid waste management into urban planning (i.e. planning and building regulations could be re‐designed to include waste separation and composting of biodegradable waste)
(xi) Social Aspects – The objectives under social aspect will not have short‐term business
aim but provides economic benefits of long‐term nature. The objectives should aim
at developing healthy living environment. Educating the community regarding the
best practices of solid waste management at the household level and the value of
resource recovery is vital aspects. Such initiatives will have long term benefits for the
city by reducing the cost of health and developing a healthy workforce, etc.
5.0 Stage Four – Road Map
The road map can be considered as the engine of the USBOP as it establishes the foundation
for the implementation of the plan. The gap analysis has identified the areas that are required
to be bridged to make the service delivery efficient and sustainable. Vision provides the future
dream, and the SWOT provides a clear
assessment of the institute concerning
reaching the vision. Objectives clearly
indicate the direction. Thus, the road map
will show the road or path to get to the
vision.
5.1 Strategies
Developing strategies is the first step of the roadmap. The Business Directory.com defines Strategy as; (i) A method or plan chosen to bring about the desired future, such as achievement of a goal or solution to a problem. (ii) The art and science of planning and marshalling resources for their most efficient and effective use.
Thus, the strategies in USBOP can be defined as the science and art of developing instruments to achieve the vision of the USBOP.
Example One: Under the institutional aspect, if the objective is to establish a joint venture with a private sector company, the strategy should be to create healthy competition among the potential companies in order to get the best partner, so that both parties – the private sector company and the local authority will benefit and finally the citizens will benefit.
Activities to be carried out in the business plan to formulate a Joint Venture would be;
“Strategy is important because the resources available to achieve these goals are usually limited. Strategy generally involves setting goals, determining actions to achieve the goals, and mobilizing resources to execute the actions. A strategy describes how the ends (goals) will be achieved by the means (resources). This is generally tasked with determining strategy. Strategy can be intended or can emerge as a pattern of activity as the organization adapts to its environment or competes. It involves activities such as strategic planning and strategic thinking.”
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Assessment of all the assets of the current system (which can be a major portion of the
equity component of the local authority)
A reasonable assessment of the demand for future scenarios.
Terms and conditions that would govern the joint venture (i.e. management structure,
investment portfolios, etc.)
Example Two: If the objective is to achieve separation of household waste by 100% at the source by 2020, the strategy could be to introduce fiscal measures based on the “Polluter Pay”
principles. The activities under this strategy may consist of the following;
Levy a tariff on solid waste management service.
Relax the tariff for those who separate the waste at the source
Award appreciation certificates for “GOOD CITIZENS.”
Continuous advocacy
5.2 Preliminary Project Plan / Proposals
The project plan is a reflection of objectives; as it needs to be prepared to address the
objectives.
The steps up to the above section 4.1 will provide adequate information and guidance to
prepare a preliminary project proposal with approximate cost estimates. The Project
Management Unit should remember to prepare the project plan to address the objectives.
A sustainable solid waste management system should cover the following four aspects of the
plan;
(i) Control – The control aspect of planning is perhaps the most important stage as it
deals with waste generation. It needs to address the objectives of minimisation of
waste and maximisation of RRRR principles. (Reject, Reduce, Reuse, Recycle)
(ii) Collection – The collection aspect deals with the collection of waste, temporary
storage at transfer stations and transporting to the disposal/processing site.
(iii) Process – The process stage consists of waste separation, recycling, composting and
marketing. This stage is primarily responsible for resource recovery.
(iv) Disposal – Resources that cannot be recovered during the “Process” stage will be sent
to the landfill. During this stage environmental engineering solutions for leachate
treatment and potential gases management should be deployed.
The next stage would be to prepare a list of activities under each aspect. Following is an
example.
Table 1: Project Activities
Aspect
Project Plan Main Activity
Detailed Activities
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15. Control (Waste
minimisation
and RRRR
maximisation)
1.1 Community Awareness 5 programmes per township per month
1.2 School children awareness Environmental brigadier programmes at every school.
1.3 Advertisements Newspapers, T.V. radio, billboards, Daily
1.4 Certifications Selection of best performers and provide publicity, through media and awards certificates. 100 per year per town.
2.Collection
(Waste
collection,
storage and
transport)
2.1 Staff recruitment, training and
capacity building
100 labourers, 25 Supervisors, 10 Technical Officers, 10 Public Health Inspectors, 5 Environmental/ Civil Engineers.
2.2 Collection equipment 200 carts 1000 road side bins ........................... ............................
2.3 Transport equipment 50 covered tractors 10 Trucks
2.4 Transfer station facility
development
20 storage facilities (......m3 of space each)
Office space for workers
3.Process
(Resource
Recovery)
3.1 Waste separation machinery Trash sorting machine 1 Storage facility – 5000f2
3.2 Polythene, plastic recycling
machinery
Polythene recycling plant Plastic recycling plant
3.3 Civil construction works (office
space, processing space, storage
space, leachate treatment, worker
rest rooms
Main office – 1500f2 Trash sorting shed – 4000 f2 Storage for separated waste –
5000 f2 Space for recycling (plastic –
500 f2, polythene 500f2, paper 500 f2, glass 500f2
Restrooms for workers – 100 f2
3.4 Vehicles and waste handling
equipment
Loaders – Big 1 Loaders – Small 5 Earthmovers – (Small) – 2 Trucks ‐ 1
3.5 Site Infrastructure AccessRroad Water Supply Electricity Telecommunication
3.6 Landscaping Hard landscape Soft landscape
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4. Disposal 4.1 Site preparation Uprooting Buffer zone development Void space enhancement
4.2 Civil and mechanical works Leachate sealing and treatment Gas extraction
4.3 Site infrastructure Entrance road Water supply Electricity Office space Workers rest rooms
4.4 Waste handling equipment and
transport vehicles
Loaders (Small) 2 Tractors ‐ 1
The next stage of the project planning is to schedule and phasing the project activities.
Depending on the available and expected resources, achievement of the plan can be phased
out. Based on the scheduling an approximate cost estimate needs to be prepared. A sample
is provided in Table 2.
Table 2: Project Scheduling and Costing
Project Plan Activity
Expected Outcome
Schedule
Cost
2020 2025 2030 2020 2025 2030
Overall Efficiency
16. Control (Waste
minimisation
and RRRR
maximization)
1.1 Community awareness
60%
80%
100%
1.2 School children awareness
1.3 Advertisements
1.4 Certifications
Overall Achievement
2.Collection
(Waste
collection,
2.1 Staff recruitment, training and
capacity building
2.2 Collection equipment
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storage and
transport)
2.3 Transport equipment 80% 100% 100%
2.4 Transfer station facility
development
Overall Achievement
3.Process
(Resource
Recovery)
3.1 Waste separation machinery
80%
100%
100%
3.2 Polythene, plastic recycling
machinery
3.3 Civil construction works (office
space, processing space, storage
space, leachate treatment, worker
restrooms
3.4 Vehicles and waste handling
equipment
3.5 Site infrastructure
3.6 Landscaping
Overall Achievement
4. Disposal 4.1 Site preparation
80%
100%
100%
4.2 Civil and mechanical works
4.3 Site infrastructure
4.4 Waste handling equipment
and transport vehicles
5.3 Financing
5.3.1 Introduction
Financing is considered to be a scarce resource. However, it is never a scarce resource if an
innovative business plan is in place. Particularly due to the growing interest of the countries
and the international community on the environmental infrastructure, mobilization of funds
is not a big issue. Some of the commonly available funding sources for solid waste
management are;
Public Sector National / Provincial Institutions
Local Governments
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Private Sector
Support from international donor institutions
NGOs.
It can also be a combination of several instruments. However, it is to be noted that carrying
out purely a financial appraisal for investments in solid waste management is not realistic as
there are a lot of economic, social and environmental benefits for which providing a financial
value is difficult. i.e.;
(v) Provision of the sustainable solid waste management system to the community will
result in the reduction of waterborne, and airborne deceases – Health Care Savings,
resulting the reduction of health expenditure of the Government. “Productive Days
Gained” and “Time Savings” also have an economic and social value which is not
adequately reflected in financial appraisals.
(vi) The waste free pleasing environment will increase the competitiveness of the city, will
attract more tourists and also will create a positive impact in creating enabling urban
financing/business environment.
Therefore, these aspects should be adequately considered when making decisions on the
application of financial instruments for the development of solid waste management systems.
In other words, project cash flow not indicating a positive outcome doesn’t mean that the
project is not feasible. It may be financially non‐feasible for a private sector investor but
economically feasible due to the many other social and economic benefits attached to the
best practices of solid waste management as briefed above. However, application of
innovative financial instruments (such as joint ventures) can make project cash flows positive
for private sector also, particularly in
the long‐run. On the other hand
providing some of the assets of the
local authority to the private sector
free of charge (i.e. disposal site) cannot
be considered as a financial loss. It, in
fact, will be a financial gain to the local
authority (as in Kurunegala Municipal
Council in Sri Lanka) due to the savings
made by transferring part of the
responsibility (or liability) to the
private sector.
5.3.2 Investors – Potential Alternatives
Public Sector – (Central / Provincial
Government) –In developing
countries it is the perception of the
people that the solid waste
management service should be
provided by the public sector.
Kurunegala Municipal Council in Sri Lanka
implemented an interesting financial instrument.
It engaged a private company to manage the solid
waste dumping site. The company invested in
equipment (for waste separation, recycling of
plastics and polythine and making compost). It
has also engaged the work force. The Municipal
Council provided its land (solid waste dumping
site), free for the first five years. The Municipal
Council was able to reduce its total annual
expenditure on solid waste management by
nearly 75%. There is also an agreement that after
five years the company will pay a percentage of
its profit to the Municipal Council. Both the
private sector and the public sector benefited and
finally the community benefited. As the next
phase, it has commenced a programme to
separate waste at the source., with the objective
of further reducing its cost.
Box 4: Financial Strategy, Kurunegala MC, Sri
Lanka
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Involvement of the relevant national institutions of the public sector in investment has several
advantages as listed below;
They have access to both local and international financial markets and also multilateral
and bilateral funding sources. In the investment portfolios, it is easy for them to
consider solid waste concerning the economic perspective instead of financial
objectives.
Risk can be shared with other similar public investments as it becomes a public service,
with large economic, social and environmental benefits.
The Business Operation Plan will look into the aspects of managing the solid waste
profitably (as in the case of Kurunegala Municipal Council in Sri Lanka). However, it will
meaningfully consider the long term economic and social benefits to creating an
enabling urban financing and business environment which is a fundamental
requirement of development of a competitive urban economy.
Public Sector National Institutions have qualified and experienced staff who can be
easily directed to change the orientation from purely a current service provider to a
business entity.
Public Sector – Local Government – Local Governments in developing countries largely
depend on Central or Provincial Governments for financial and technical resources. Lack of
financial, technical and management capabilities is a common issue. There are two exceptions
– (i) firstly some of the larger cities have a good income base and that creditworthiness can
be established (ii) and secondly during the last 10 – 15 years many programmes were
implemented through various local and international donor organizations related to local
government reforms and the establishment of good governance. Many countries have shown
positive results.
In Myanmar City Councils (i.e. YCDC, MCDC) have comparatively higher authority in managing
the urban services. Since local governments are the closest institutions to the community,
they are best positioned to become the investor for which an institutional strengthening is a
prerequisite. The potential scenario would be the Central or Provincial Government to provide
the initial finance for capital investments (considering the long‐term social and economic
benefits to the national economy). If an efficient management structure can be established
creating kind of a business culture and a reasonable tariff structure can be implemented then
during the initial stages, local authorities can recover operation and maintenance cost and a
reasonable amount of surplus can be earned which can be reinvested in the expansion of the
capital works. In the long run, it is possible to repay the financial assistance provided by the
Central / Provincial Government. If local authority to get involved in investment, it is essential
for city authorities to prepare a “Strategic Urban Development Plan” for the whole city which
will change the attitudes of the local politicians and the local authority employees towards the
development, from merely traditional land use planning perspective to vibrant business
oriented city planning approach.
Private Sector – Private sector involvement in municipal service provision is promoted
throughout the world as an efficient way of mobilising capital for infrastructure development.
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There have been remarkable successes both in the developed countries and developing
countries. The example provided in Box 4, related to Kurunegala Municipal Council in Sri
Lanka, is a good step to start. The first concern was to reduce the cost. Further Myanmar being
predominantly an agricultural society, compost making should have a great potential and that
many stakeholders can get involved with the private sector investment (i.e. organic food
producers, agricultural faculty of local university, retailers, etc.)
The project management unit having analysed the alternate investment possibilities should
make a decision that is most suitable for their city. Successful stories of developing countries
(i.e. Kurunegala Municipal Council in Sri Lanka), the partnership with the private sector to
manage solid waste management site, makes a significant impact on the cost saving and
improving the management efficiency. An example is provided in Table 3.
5.3.3 Potential Financial Instruments
Having discussed the potential financial sources (section 5.3.2), it is necessary under this
section to subdivide the project activities and identify precisely the project partners and
financial instruments.
Example Table 3: Project Partners and Financial Instruments
Aspect Project Plan Activity
Project Partners / Financial
Instruments
17. Control (Waste
minimisation and
RRRR
maximization)
1.1 The community awareness NGO, Religious institutions
1.2 School children awareness NGO, Ministry of Education
1.3 Advertisements YCDC, Ministry of Environment,
Business community, NGO,
Religious institutions
1.4 Certifications YCDC
2.Collection (Waste
collection, storage
and transport)
2.1 Staff recruitment, training and
capacity building
YCDC
2.2 Collection equipment YCDC
2.3 Transport equipment YCDC
2.4 Transfer station facility development YCDC
3.1 Waste separation machinery Private sector
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3.Process (Resource
Recovery)
3.2 Polythene, plastic recycling
machinery
Private sector
3.3 Civil construction works (office
space, processing space, storage space,
leachate treatment, worker restrooms
Private sector
3.4 Vehicles and waste handling
equipment
Private sector
3.5 Site Infrastructure Private sector
3.6 Landscaping Private sector
4. Disposal 4.1 Site preparation Government / Foreign grant
4.2 Civil and mechanical works Government / Foreign grant
4.3 Site infrastructure Government / Foreign grant
4.4 Waste handling equipment and
transport vehicles
Government / Foreign grant
5.3.4 Project Cost, Income and Phasing
Under the section 5.2, two tables were developed related to project activities, phasing and
cost. It is now necessary based on those tables to prepare the project cost with adequate
details. In the calculation of project cost, if the project partners are correctly identified as
guided in the Table 3, costing can be listed against partners. As an example, the disposal site
may be owned by the local authority, it may be provided free for the private sector to
undertake other activities at the site (separation, recycling, composting, etc.) for which
investments will be made by the private sector. After the private sector operation is well
established (say after 5 years) and a positive project cash flow is experienced, then the local
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authority may get a portion of the profit of
the private sector company for the land,
which can be considered as a portion of the
equity contribution of the local authority.
The project team should seek the assistance
of the technical staff of the institution to
develop a cost estimate of the project
activities. At this level, an accuracy of 85 –
90% would be adequate.
Concerning the roject income or benefits,
the project team first needs to list all the
benefits both financial and non‐financial.
Example;
Financial
(ii) Sale of / separated recycled
materials (i.e. paper, glass, plastics,
polythene, metal, compost)
(iii) Savings of Municipal expenditure
(due to transfer of part of the
operations to the private sector)
Economic / social
(iv) Creation of XXXXX number of
employment
(v) Increase of tourist arrivals
(vi) Improve the city competitiveness
(due to enhanced city image)
(vii) Reduction of waterborne, air borne
diseases
Environmental
(i) Reduction of air, soil and water
pollution
(ii) Elimination of adverse visual
impacts
5.3.5 Project Appraisal
A project appraisal needs to be carried out considering the cost and benefits as listed above,
to understand whether the project is financially / economically feasible. The appraisal should
Waste is not something that should be discarded or disposed of with no regard for future use. It can be a valuable resource if addressed correctly, through policy and practice. With rational and consistent waste management practices there is an opportunity to reap a range of benefits. Those benefits include:
1. Economic ‐ Improving economic efficiency through the means of resource use, treatment and disposal and creating markets for recycles can lead to efficient practices in the production and consumption of products and materials resulting in valuable materials being recovered for reuse and the potential for new jobs and new business opportunities.
2. Social ‐ By reducing adverse impacts on health by proper waste management practices, the resulting consequences are more appealing settlements. Better social advantages can lead to new sources of employment and potentially lifting communities out of poverty especially in some of the developing poorer countries and cities.
3. Environmental ‐ Reducing or eliminating adverse impacts on the environmental through reducing, reusing and recycling, and minimizing resource extraction can provide improved air and water quality and help in the reduction of greenhouse emissions.
4. Inter‐generational Equity ‐ Following effective waste management practices can provide subsequent generations a more robust economy, a fairer and more inclusive society and a cleaner environment.
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consist of a discounted project cash flow statement (NPV), Internal Rate of Return worked out
based on an acceptable discount rate (FIRR or EIRR) and sensitivity analysis considering at least
5 potential sensitivity factors related to a project of this nature.
6.0 Conclusions and Recommendation
The conclusion and recommendations can be considered the most important stage of the
USBOP as it tells what to do. Therefore, the team should consider the following guidelines in
preparing the conclusions and recommendation.
(v) Make them very clear. Not to be ambiguous.
(vi) Make them short and simple.
(vii) Make them very directive.
(viii) Create confidence in those who read them.
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Annexure A – List of Contents of the USBOP
The final USBOP report should consist of two parts as listed below.
Part One – Data Base Development Since the data base development section comprises a large volume of data, it is advisable to make it
a separate part/volumes, as the decision makers are not interested in reading a large volume of data.
Therefore it is also necessary to provide a data summary sheet with conclusions at the end of the part
one so that it can be referred to easily.
Part Two – The Plan The part two of the report should consist of the following items.
11. Diagnosis (A summary of the Part One)
12. Vision
13. GAP Analysis
14. SWOT Analysis
15. Objectives
16. Strategies
17. Project activities and scheduling
18. Project financing
19. Project appraisal
20. Conclusions and recommendations.
You may notice that the stage 5 (Outcome – implementation and monitoring) of the planning process
as indicated in figure 1 is missing in the above list of contents. It is because; the stage 5 will become
relevant after acceptance of the USBOP report by the respective authority.