Technical Assistance Consultant’s Report · Moe National short‐ term expert ‐ training needs...

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


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


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

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

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


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


of the programme

Completion

of training

course as per

agreement

NA

Ms. Sara

Candiracci

National short‐

term expert ‐

training needs

assessment and


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


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


expertsYangon




6 10‐07‐13 10‐11‐13 Housing Delivery Systems Dr. Yap Kioe Sheng Monywa

35 (mid‐level government officials from Monywa


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


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


Introduction to SWOT analysis

Strengths and Weaknesses, Opportunities and Threats , Presentations from Group exercises


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


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


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



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



Operations and Maintenance U Htun Tin, National Civil Engineer

/ Deputy Team Leader &

Dr. Reinhard Skinner, Team Leader



Management of Public‐Private

Partnerships

Dr. Kyaw Thu,

National Short‐Term Expert in

Curriculum Preparation



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.


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


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.


description of the game, role play,

etc: the purpose, how it will be

carried out (e.g. who will have

which roles?)


then that, etc.)


each step)

‐ Provide descriptions of roles to be

played and / or formats to be used

by participants when carrying out

the exercise


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)


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


‐ 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.



1 A model will be

provided which will

be filled in by the

module writer.


each session


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


session will cover


‐ Resources which trainer will use

(e.g. exercises)

6 See the IHS model

which has been

distributed

6 Evaluation of

training








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



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.




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)


1 (group and

individual)







then that, etc.)


each step)

‐ Provide any formats to be used by

participants when carrying out the

exercise


should be written as

a handout for

participants to have

to refer to as they

carry out the

exercise.

60


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.





which roles?)


then that, etc.)


each step)

‐ Provide descriptions of roles to be

played and / or formats to be used


the exercise


exercise



a handout for


to refer to as they

carry out the game

or role play.

13 Annex 7: further

readings for

trainers and

participants




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


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.


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)


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


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


0.5



1


each session


titles, duration and objectives

4

4 Detailed

explanation of

content of each

session


session will cover


6

5 Evaluation of

training










inserted

0.25

6 Annex 1:

Information and

documents to be

brought to the

course by

participants




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$


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.


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)







then that, etc.)


each step)

‐ Provide any formats to be used


the exercise


exercise



a handout for


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.





which roles?)


then that, etc.)


each step)

‐ Provide descriptions of roles to

be played and / or formats to be

used by participants when carrying

out the exercise


exercise



a handout for


to refer to as they

carry out the game

or role play.

11 Annex 6: further

readings for

participants




it. Where appropriate some of

these should be copied (in hard or

soft copy) for distribution to

participants.


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


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


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]


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]


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]


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


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


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


15U Myint Mg Executive Officer

Towship

Development


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


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


10 Daw Htet Htet Aung

Township

Development

Committee

*


Lashio

88

11U Win Naing Planning


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


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


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 * * * * * * * * * * * * * * * *


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


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


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 * * *


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


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 * *


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


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


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* * * *


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


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



TA-8456: Transformation of Urban Management - Part I Capacity Building for Urban Management

Strategic Urban Planning Training Module Handbook

(Basic)

August 2016


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


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


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


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


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


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


session with guided

discussion:

PowerPoint

presentation

Brainstorming

Discussion/Q&A

Day 2: Strategic Planning – Step A and B


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


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


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


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


session with guided

discussion:

PowerPoint

presentation

Group work

Discussion/Q&A

Day 3: Strategic Planning – Step C, D and E


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”


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


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”


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


session with guided

discussion:

PowerPoint

Brainstorming

Day 4: Application

Trainers manual 124


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



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



Case studies


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.

127

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:



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



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



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



Case studies on good practices


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



Case studies on good practices

Videos


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



Group work – exercise 8


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.

137

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




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

138

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)

139

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



Case studies / good practices


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



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

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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


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 /

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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.

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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.

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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)

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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:


149

Usefulness


New skills learnt


Day 1, Session 3. Cities as Engines of National Economic Development How do you assess the session in terms of:


Usefulness


New skills learnt


Day 1, Session 4. Strategic Planning IntroductionHow do you assess the session in terms of:


Usefulness


New skills learnt


Day 2, Session 5. Situation Analysis / Diagnosis (Step A) How do you assess the session in terms of:


150

Usefulness


New skills learnt


Day 2, Session 6. Natural disasters and land use planning How do you assess the session in terms of:


Usefulness


New skills learnt


Day 2, Session 7. Urban Planning and Transport PlanningHow do you assess the session in terms of:


Usefulness


New skills learnt


Day 2, Session 8. Establishing the foundation and direction (Step B) How do you assess the session in terms of:


151

Usefulness


New skills learnt


Day 3, Session 9. Investment promotion, Development control (Step C) How do you assess the session in terms of:


Usefulness


New skills learnt


Day 3, Session 10 ‐ 11. Creating a liveable city (Step D)How do you assess the session in terms of:


Usefulness


New skills learnt


Day 3, Session 12. Implementing mechanisms (Step E) How do you assess the session in terms of:


152

Usefulness


New skills learnt


Day 4, Session 13‐14‐15. City tour and problem identification How do you assess the session in terms of:


Usefulness


New skills learnt


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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

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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)

159

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





Strategic Urban Planning Training Module Handbook

(Advanced)

April 2016


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


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


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


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


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

169

3. Session contents


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


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


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


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


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




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.


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


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


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


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


172



3.1. Visioning and strategic objectives exercise

90’ Visioning as building block for strategic development objective

Writing a strategic development objective


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


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


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


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


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



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


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


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


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


Session 1.1. Opening session ‐ Introduction to the program

Duration 90 minutes


Have an understanding of each other and what they expect from the

training program


Content /

key words

Welcome the participants to the course

Participants introduce themselves and explain their interest/work

experience related to the course


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


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


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


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


participants)

178


Session 2.1. Situation analysis – Researching and assembling a city profile

Duration 90 minutes


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


discussion

90 minutes

Recommended

readings


Herzegovina



Attached PowerPoint presentation: Researching and assembling a city profile

Session 2.2 – 2.3 Group work on urban profiling

Duration 180 minutes


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


participants)

Attached Instructions to exercise 2

Session 2.4. Visioning and strategic objectives

Duration 90 minutes


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


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


Session 3.1. Visioning and strategic objectives exercise

Duration 90 minutes


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


Recommended

readings


participants)

Attached Instructions to exercise 3.1

Session 3.2. Formulating programs and projects

Duration 90 minutes


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


discussion

90 minutes

Recommended

readings


Herzegovina



Attached PowerPoint presentation: Formulating programs and projects

Session 3.3. Project formulation exercise

181

Duration 90 minutes


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


Recommended

readings


participants)


Session 3.4. Project prioritization exercise – Goal Achievement Matrix

Duration 90 minutes


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


Recommended

readings


participants)


182


Session 4.1. Project implementation exercise – Project fiche

Duration 90 minutes


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


Recommended

readings


participants)


Session 4.2. Preparation for final presentation

Duration 90 minutes


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


Recommended

readings

‐


Session 4.3. Presentation of group work results

Duration 90 minutes


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



housing and social infrastructure



transport and public utilities


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


• 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:




during the concluding session (session 4.4).




so on. Day ‐‐‐Session ‐‐‐‐ Session name




Usefulness


New skills learnt


3 4











185





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:


Usefulness

186


New skills learnt


Day 1, 1.3. Planning in Myanmar – current situation and challenges How do you assess the session in terms of:


Usefulness


New skills learnt


Day 1, Session 1.4. Yangon/Mandalay case study – introduction to the planning exercise How do you assess the session in terms of:


Usefulness


New skills learnt


Day 2, Session 2.1. Situation analysis – Researching and assembling a city profile How do you assess the session in terms of:


Usefulness

187


New skills learnt


Day 2, Session 2.2 – 2.3 Group work on urban profiling How do you assess the session in terms of:


Usefulness


New skills learnt


Day 2, Session 2.4. Visioning and strategic objectives How do you assess the session in terms of:


Usefulness


New skills learnt


Day 3, Session 3.1. Visioning and strategic objectives exerciseHow do you assess the session in terms of:


Usefulness

188


New skills learnt


Day 3, Session 3.2. Formulating programs and projects How do you assess the session in terms of:


Usefulness


New skills learnt


Day 3, Session 3.3. Project formulation exercise How do you assess the session in terms of:


Usefulness


New skills learnt


Day 3, Session 3.4. Project prioritization exercise – Goal Achievement MatrixHow do you assess the session in terms of:


Usefulness

189


New skills learnt


Day 4, Session 4.1. Project implementation exercise – Project fiche How do you assess the session in terms of:


Usefulness


New skills learnt


Day 4, Session 4.2. Preparation for final presentation How do you assess the session in terms of:


Usefulness


New skills learnt


Day 4, Session 4.3. Presentation of group work results How do you assess the session in terms of:


Usefulness

190


New skills learnt


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.


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.


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

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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.

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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.

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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 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.

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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.

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APPENDIX 16: Sample post‐course evaluation

questionnaire template (O&M –

advanced)

200

Annex 2: Course Evaluation by Participants The evaluation is in two parts:




during the concluding session.




so on. Day ‐‐‐




Usefulness


New skills learnt


3 4










201






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:


Usefulness

202


New skills learnt


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:


Usefulness


New skills learnt


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:


Usefulness


New skills learnt


Day 2, Session 5. Workplace safety continuation: accident reporting policy and procedure, disciplinary program

203



Usefulness


New skills learnt


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:


Usefulness


New skills learnt


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:


Usefulness


New skills learnt

204


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:


Usefulness


New skills learnt


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:


Usefulness


New skills learnt


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:


Usefulness

205


New skills learnt


206

Appendix 17: Sample Course Report (Strategic

Urban Planning, Yangon)

207





Training Course Report on


Yangon, April 25th to 28th, 2016


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.

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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

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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


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.

216

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






7 Participant (Person) Attended Training 0 4 2 3 2 0 11



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 ‐


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

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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.

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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”.

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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

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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

238

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.

239

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.

240

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.

241

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.

242

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.

243

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.

244

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.

245

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):



Have some doubt: 9%



And the feedback from 11 Non‐English speaking participants (see Annex 5):



Have some doubt: 31%



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


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


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


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


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


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


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


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>




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.


Yes I’m

capable

Most

probably

I have

some

doubt

I don’t feel

capable


Development and Capacity Building at large. 20% 70% 10% ‐


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% ‐ ‐


implications for the role of the trainer. 60% 40% ‐ ‐


‘collaborative’ and ‘independent’ learning styles. 60% 30% 10% ‐



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




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.


Yes I’m

capable

Most

probably

I have

some

doubt

I don’t feel

capable


Development and Capacity Building at large. ‐ 55% 45% ‐


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% ‐


implications for the role of the trainer. ‐ 60% 40% ‐


‘collaborative’ and ‘independent’ learning styles.

10% 90% ‐ ‐



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

280

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.

281

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.

283

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.

284

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


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


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

290

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


expertsYangon

Around 30 (mid‐level government officials from

14 States and Regions (MoC, CDC, GAD, Township


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




4 18/3/13 22/3/13 Housing Delivery Systems Dr. Yap Kioe Sheng Mandalay


Mandalay (MoC, CDC, GAD, Township


5

16/12/2014 20/12/2014Training on Infrastructure and

basic services


expertsYangon




6 2013/07/10 2013/11/10 Housing Delivery Systems Dr. Yap Kioe Sheng Monywa

35 (mid‐level government officials from Monywa


Committee)

7

16/12/2013 20/12/2013Training on preparation of City

Development StrategyMr. Mike Slingsby Yangon


Yangon(MoC, CDC, GAD, Township Deveopment

Committee)

DateNo Name Trainer City No and level of participants


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


294

Annex B


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


URDI

Transition Structure

Ministry of Construction

Director

Assistant Director

Librarian

Deputy Director

Department of Housing and Urban Development

DUHD


URDI

Existing Structure

UN Habitat

Training Coordinator


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


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


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


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


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


desktop computers

complete

2 1000 2000


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



chairs 40 20 800



301

Office ‐ training

coordinator & secretary

desk 2 150 300

chair 4 100 400





Total 26910

Training Facility


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


302

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


servers complete 2 1500 3000

desktop computer

complete

1 1000 1000


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





303




Total 20430

Resource Center


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


U Sai Tun Tun Shan State Development Committee Deputy Superintendent


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


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


U Zaw Zaw Aye Department of Urban and Housing

Development 0943015627

U Than Soe Department of Urban and Housing


Daw Kay Thi Aung Department of Urban and Housing


U Yu Khaing Department of Urban and Housing


U Aung Kyaw Oo Department of Urban and Housing


Shon Campbell MIMU Director

Reinhard Skinner UN Habitat Team Leader CDTA

Moe Moe Oo UN Habitat Training & Administrative

Officer

Jack Finegan UN Habitat

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

312

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


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

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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


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.

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(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.


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.

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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.




Growth prospects






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.






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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.


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.


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.

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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)


General



performance




Revenue collection efficiency (amount collectable, average amount collected and

backlog),


was done.



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.

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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


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.


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 ................ ................



4. Distribution Network

4.1 Distribution system upgrading –Zone 1 ................ ................





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




4.1 Distribution system upgrading –Zone 1





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










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


For Solid Waste Management

Contents Page

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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


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.


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.




Growth prospects






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.











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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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.


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


Number of households covered by the system (by category – residential, commercial,

industrial, etc.)


General



performance




Revenue collection efficiency (amount collectable, average amount collected and

backlog),


was carried out.



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.)


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.


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,


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%


machinery


space, processing space, storage

space, leachate treatment, worker

restrooms


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)


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)


machinery

Private sector


space, processing space, storage space,

leachate treatment, worker restrooms

Private sector


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

365

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.

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