WB NOL - NCDDP Operations Manual - English For Web

Government of the Republic of the Union of Myanmar
National Community Driven Development Project
Operations Manual
5 November 2015
TABLE OF CONTENTS
Chapter 1
1 Introduction 1
2 Structure of the Project Operations Manual 2
3 Project Summary 2
3.1 Components 2
3.2 Fund Flow 3
3.3 Geographic Coverage 3
3.4 Institutional Arrangements 3
4 Township Selection Process Township 5
5 Block Grants 7
5.1 Calculation and Use 7
5.2 Disbursements of Block Grants 9
6 Community Committees 9
6.1 Village Tract Project Support Committee and Finance Sub-Committee 9
6.2 Village Tract Grievance Committee 10
6.3 Village Project Support Committee and Sub-Committees 10
6.4 Finance Clerk and Village Volunteers 11
6.5 Grievance Focal Points 11
7 Social Inclusion Aspects 11
7.1 Gender Aspects 11
7.2 Ethnic and/or Religious Groups 12
8 Project Management Information System 13
9 Reporting 14
10 Grievance and Accountability 14
10.1 Code of Conduct 14
10.2 Sanctions 15
11 Knowledge and Learning 15
11.1 Communications 15
11.2 Multi-Stakeholder Review 16
11.3 Exchange Visits 17
12 Disclosure 17
13 Emergency Response 17
Chapter 2
1 Preparation 21
1.1 First Village Meeting (Orientation Meeting) 21
1.2 Election of Village Volunteers 22
1.3 Participatory Social Assessment 23
2 Planning 25
2.1 Second Village Meeting 25
2.2 Villlage Development Plan 25
2.3 Election of Villlage Committee and Sub-Committees 29
2.4 Subsequent Village Development Plans 30
2.5 Village Tract Project Support Committee Meetings 32
2.6 Township Planning and Implementation Committee Review and Endorsement 33
2.7 Third Village Meeting 33
2.8 Subsequent Village Tract Development Plans 34
3 Sub-project Preparation 35
3.1 Village Sub-project Preparation 35
3.2 Environmental Codes of Practice And Environmental Management Plans 37
3.2.1 Environmental Codes of Practice 37
3.2.2 Environmental Management Plan 38
3.3 Voluntary Land/Asset Donation 39
4 Sub-project Consultation and Proposal Review 40
4.1 Fourth Village Meeting (at Sub-project Site) 40
4.2 Village Tract Project Support Committee Review of Sub-project Proposals 41
5 Sub-project Implementation 42
5.1 Community Procurement 42
5.1.1 Procurement Sub-Committee and Its Responsibilities 43
5.1.2 Procurement Plan 43
5.1.3 Community Force Account 43
5.1.4 Contracting 44
5.1.5 Shopping Method 44
5.1.6 Invitation for Quotation 44
5.1.7 Quotation Evaluation 45
5.1.8 Purchase Order 45
5.2 Financial Management 45
5.3 Monitoring and Supervision 47
6 Sub-project Closing 48
6.1 Successful Completion of Sub-project Activities 48
6.2 Suspension and Termination of Sub-project Activities 49
7 Social Audit 49
8 Operations and Maintenance 51
9.1 Principles 54
9.2 Process 55
9.4 Sanctions 60
10 List of Key Reference Documents 61
Chapter 3
1 Community Project Cycle Forms (PC 1 -15) 64
2 Training and Capacity Building (T 1) 87
3 Human Resources Forms (HR 1-2) 90
4 Finance Forms (F 1-10) 92
5 Procurement Forms (P 1-7) 102
6 TA Reporting (TA 1-
2) 111
Chapter 4
1 Union Level 119
1.1 The Steering Committee 120
1.2 The Department of Rural Development 121
1.3 NCDDP Secretariat 121
1.4 Union Technical Assistance 122
2 Regions/States Level 123
3 District Level 123
4 Township Level 123
4.1 Township NCDDP Secretariat 124
4.2 Township Planning and Implementation Committee 125
4.3 Township Technical Assistance 125
5 Village Tract Level 126
5.1 Village Tract Project Support Committee 126
5.2 Finance Sub-Committee 126
5.3 Grievance Committee 127
6 Village Level 127
6.1 Village Project Support Committee 128
6.2 Monitoring and Evaluation Sub-Committee 128
6.3 Procurement Sub-Committee 129
6.4 Operation and Maintenance Sub-Committee 129
6.5 Village Volunteers 129
6.7 Finance Clerks 129
Chapter 5
1 Introduction 132
2 Process of Environmental Codes of Practice 132
3 Environmental Codes of Practice Guidelines 133
3.1 General Guidelines 133
3.2 Technical Guidelines 134
3.2.1 Buildings 134
3.2.2 Rural Roads, Bridges and Jetties 135
3.2.3 Rural Water Supply 137
3.2.4 Rural Electrification 138
3.2.5 Small-scale Irrigation 139
3.2.6 Sanitation Facilities 139
4 Environmental Codes of Practice Attachments 140
Chapter 6
1 Introduction 155
2 Organization 155
2.1 Financial management function 155
2.2 Accounting System 156
3 Budget Preparation 157
3.1 Budget Spread by Month 157
3.2 Budget Approval 158
4 Receipt of Block Grant 158
5 Payment of Expenditure 158
5.1 Payment by Check or Money Order for Suppliers and Contractors 158
5.2 Payment for Community Force Account Work 159
5.3 Payment by Cash 159
5.3.1 Cash Withdrawals 159
5.4 Petty Cash 159
5.4.1 Petty Cash Control 160
6 Accounting Records & Controls 160
6.1 Month End Accounting Routines 160
6.2 Recording of Community Contributions 161
7 Sub-project Closure 161
Chapter 7
1 Definition and Aims 164
2 PMIS Components 164
3 Monitoring Cycle 164
4 Results Matrix 165
5 Monitoring Content and Responsibilities 167
6 Village Level 168
6.1 Project Cycle and Finance 168
6.2 Procurement 170
7.1 Project Cycle 170
7.2 Financial Monitoring 170
9 Union Level 172
11 Reporting 174
11.1 Village and Village Tract Reporting 174
11.2 Township Reporting 174
11.3 Union Reporting 175
Abbreviations and Acronyms
CF Community Facilitator
DRD Department of Rural Development
DA Designated Account
ESMF Environmental and Social Management Framework
ECoP Environmental Codes of Practice
EMP Environmental Management Plan
FSC Finance Sub-Committee
GHM Grievance Handling Mechanism
MIS Management Information System
M&E Monitoring and Evaluation
MSC Monitoring Sub-Committee
MSR Multi-Stakeholder Review
NCDDP National Community Driven Development Project
NOL No Objection Letter
NGO Non-Governmental Organization
O&M Operations and maintenance
OM Operations Manual
PRA Participatory Rural Appraisal
PSA Participatory Social Assessment
PSC Procurement Sub-Committee
TF Technical Facilitator
TTA Township-level Technical Assistance
TPIC Township Planning and Implementation Committee
UTA Union-level Technical Assistance
VDP Village Development Plan
VPSC Village Project Support Committee
VTDP Village Tract Development Plan
VTDSC Village Tract Development Support Committee
VTGC Village Tract Grievance Committee
VTPSC Village Tract Project Support Committee
National Community Driven Development Project
Operations Manual
Chapter 1
Project Information
Chapter 1 Table of Contents
1 Introduction 1
2 Structure of the Project Operations Manual 2
3 Project Summary 2
3.1 Components 2
3.2 Fund Flow 3
3.3 Geographic Coverage 3
3.4 Institutional Arrangements 3
4 Township Selection Process 5
5 Block Grants 7
5.1 Calculation and Use 7
5.2 Disbursements of Block Grants 9
6 Community Commitees 9
6.1 Village Tract Project Support Committee and Finance Sub-Committee 9
6.2 Village Tract Grievance Committee 10
6.3 Village Project Support Committee and Sub-Committees 10
6.4 Finance Clerk and Village Volunteers 11
7 Social Inclusion Aspects 11
7.1 Gender Aspects 11
7.2 Ethnic and/or Religious Groups 12
8 Project Management Information System 13
9 Reporting 14
10.2 Sanctions 15
11.1 Communications 15
11.2 Multi-Stakeholder Review 16
11.3 Exchange Visits 17
12 Disclosure 17
13 Emergency Response 17
NCDDP Operations Manual
Chapter 1: Project Information
CHAPTER 1
PROJECT INFORMATION
1 INTRODUCTION
1. Since its launch in 2013, the National Community Driven Development Project (NCDDP)
has created a new government platform for expanding access to basic infrastructure and
services in Myanmar’s rural areas. Implemented by the Department of Rural Development
(DRD), the project provides grants to village tracts to finance community-level infrastructure,
coupled with facilitation and capacity building to help communities make choices in an
inclusive, informed and transparent manner. During the first two community cycles, the
program financed over 2,000 sub-projects identified and implemented by communities,
improving schools, health centers, foot paths, jetties and other critical community infrastructure
serving about one million people. Over the next two years the program will expand to cover at
least 63 townships across the country, home to an estimated seven million people.
2. The NCDDP’s objective is to enable poor rural communities to benefit from improved
access to and use of basic infrastructure and services through a people-centered approach and
to enhance the government’s capacity to respond promptly and effectively to an eligible crisis or
emergency. The project’s objective will be achieved through: (i) financing community-identified
rural infrastructure investments; (ii) strengthening the capacity of communities in partnership
with local authorities to effectively identify, plan and implement their development priorities;
and (iii) facilitating the participation of the poor and vulnerable, both women and men
throughout the project cycle at the community level.
3. The project is implemented by the DRD under the Ministry of Livestock, Fisheries and
Rural Development of the Government of the Republic of the Union of Myanmar. Financing for
the NCDDP is provided by the Government of Myanmar, the World Bank, the Government of
Italy and the Government of Japan, with $543 million in financing committed to the program,
which is scheduled to run until November 2021.
4. This Operations Manual (OM) explains the processes for project implementation and the
rights, roles and responsibilities of those involved in implementing the project. The target
audience includes township level staff of DRD and technical assistance teams, as well as the
program’s community and Technical Facilitators, who work directly with communities and
community committees at the village and village tract level. The OM complements the World
Bank’s Project Paper1, which offers a broader description of the program, and the
Environmental and Social Management Framework (ESMF), which provides policies and
procedures to ensure that the program is implemented in an environmentally and socially
sustainable manner.
5. DRD consulted other project stakeholders (including local and international non-
governmental organizations, civil society groups, ethnic authorities and development partners)
during the preparation of the OM, and has updated it based on lessons learned during the
program’s implementation, following the union-level multi-stakeholder reviews in August 2014
and 2015. This Operations Manual is issued by the DRD union office, with the no objection of
the World Bank. Any changes made in policies and mandated procedures will be issued
formally in writing by the DRD union office.
6. The OM provides guidance to those involved in project implementation so that

implementation is consistent across the participating townships. A comprehensive training
1 Available online at www.worldbank.org/myanmar.
1
program with materials based on the OM form an integral part of program implementation.
However, the OM cannot address every eventuality and project implementers need to use their
experience and judgment to apply this guidance to a particular situation or context. The DRD
will document adaptations to a specific township context, with substantive changes requiring a
no objection from the World Bank.
7. In townships affected by conflict, the project will consider additional adaptations in

consultation with local stakeholders to ensure that the project operates in a conflict-sensitive
manner and is adapted to the local context as well as the safety of its staff. Before the inclusion
of townships in the project, the World Bank and DRD will conduct a conflict assessment. For
townships found to be affected by conflict, necessary adaptations will be considered and
documented and receive a separate no objection from the World Bank, before being made
publicly available on the project’s website. Adaptations may include the use of third party
monitoring mechanisms, consultative bodies at the township level, and additional measures to
ensure the safety of project staff.
2 STRUCTURE OF THE PROJECT OPERATIONS MANUAL
8. This Operations Manual consists of seven parts:

Chapter 1 provides information on general project matters, including those that set the
context for the community project cycle, the main element of the program.
Chapter 2 explains the community project cycle in detail. The cycle contains six stages:
(i) preparation; (ii) planning; (iii) sub-project preparation; (iv) sub-project consultation
and review; (v) sub-project implementation; and (vi) sub-project closing.
Chapter 3 presents the forms to be used during project implementation.
Chapter 4 summarizes the terms of reference for various positions and offices involved
in project implementation.
Chapter 5 describes the Environmental Codes of Practice for mitigating potential
negative impacts of sub-projects.
Chapter 6 contains the procedures for financial management at the community level.
Chapter 7 includes a description of the project’s Management Information System
(MIS).
3 PROJECT SUMMARY
3.1 COMPONENTS
9. The project consists of five components. Each component includes specific activities
that seek a gender balance as well as the empowerment of women.
Component 1: Community Block Grants, to provide at least four annual cycles of block
grants to all village tracts in at least 63 townships across the country for priority
community level infrastructure. Block grants are allocated to finance sub-projects
identified through a participatory planning process covering all villages within a village
tract.
Component 2: Facilitation and Capacity Development, to finance technical assistance
and institutional support at the union and township levels, including the hiring of
2
Community Facilitators. This component also supports capacity development at all

levels to support effective project implementation.
Component 3: Knowledge and Learning, to support community representatives and

government staff by learning from community-based implemented in Myanmar and
beyond. Additional activities will include social audits, multi-stakeholder reviews, and
monitoring and evaluation activities and thematic studies.
Component 4: Implementation Support, to support project management at the union

and township levels as well as third-party financial and technical audits.
Component 5: Emergency Contingency Response, to allow for the rapid reallocation of

financing from other components in order to provide preparedness and rapid response
support to disaster, emergency and/or catastrophic events, as needed.
3.2 FUND FLOW
10. Funds for community block grants will flow directly from DRD at the union level to
village tract bank accounts. Funds for operations will be disbursed to DRD township offices
based on the submission of quarterly activity-based budgets. Donor financing received from
donors in support of the NCDDP will be held in designated accounts by DRD, in accordance with
the respective Financing Agreements.
3.3 GEOGRAPHIC COVERAGE
11. The project will operate in at least 63 townships across the country. The process for
selecting the participating townships is explained in a later section of this chapter.
3.4 INSTITUTIONAL ARRANGEMENTS
12. Village and village tract levels. The main decision-making authority for the
community block grants lies with Village Tract Project Support Committees (VTPSCs). Village
Project Support Committees (VPSCs) are responsible for the implementation of individual sub-
projects. Community Facilitators (CFs), Technical Facilitators (TFs), and village volunteers
assist the VTPCSs and the VPSCs in all aspects of sub-project implementation. The Grievance
Committee is formed at village tract level with one male and one female grievance focal point of
each village in the village tract.
13. Township level. The main responsibility at this level rests with the township level DRD,
which provides technical support to communities and ensures coordination with other
government departments through the Township Planning and Implementation Committees
(TPICs). In carrying out these functions, each DRD township office will be supported by a
Township-level Technical Assistance (TTA) team.
14. District level. The DRD district level offices are responsible for coordination between
departments, agencies, and organizations, support for site visits as needed, monitoring and
reporting to the region/state level. They may provide technical and management support to
project townships where requested by the union level.
15. Region/State level. The region/state governments and line ministries monitor the
implementation of the sub-projects in participating townships and support TPICs to resolve any
implementation issues that cannot be addressed at the township level. If more than one
township has been selected for the NCDDP in a given state/region or district, the DRD
3
state/regional office will assign additional DRD officers to support project implementation.
Over time, DRD may establish state/regional level project support offices, which may provide
technical, safeguards and management support to project townships, as well as reporting and
grievance handling.
16. Union level. At the union level, DRD has established a secretariat staffed by DRD to
manage program implementation. Responsibilities of the NCDDP secretariat include: (i) helping
to set the overall strategic direction of the project; (ii) ensuring overall compliance with the
provisions of the OM; (iii) the procurement of consultancy services for technical assistance and
institutional support; (iv) communications and outreach; (v) training capacity development of
all project stakeholders; and (vi) monitoring and evaluation, including consolidated reporting.
DRD is assisted by a Union-level Technical Assistance (UTA) team in these responsibilities.
17. An inter-ministerial technical committee may be established at the union level to

review project implementation progress, discuss and resolve technical issues raised at the
township and union levels, and coordinate the support of the various government departments
to the project. The Foreign Aid Management Working Committee serves as the project’s
steering committee and provides general oversight over the project.
4
Chart 1-1: Institutional Structure
Foreign Aid Management

Central Committee

Working Committee
Region/State Ministry of Livestock Union Technical

Union Ministers Assistance
Government Fisheries and Rural
Development
Dept. of Rural
Development
Inter-ministerial
Region/ State Planning and Technical
Implementation Committee Committee
DRD Cluster Office
Township Planning and Township Technical

DRD Township Office
Implementation Committee Assistance
Village Tract Project

Finance Sub- Committee Community/ Technical
Support Committees &
Grievance Committee Facilitators
Grievance Committee
Procurement/ Village volunteers

Village Project Support
Monitoring/O&M Sub- Grievance focal points
Committees Finance clerk
Committees
4 TOWNSHIP SELECTION PROCESS
18. The project will be implemented in at least 63 townships across the country. The rollout
has proceeded on a gradual basis, with three townships starting in the first year, and six
townships added in the second year in the following States and Regions.
2013: Chin, Tanintharyi, Shan

2014: Sagaing, Ayeyarwady, Rakhine, Magway, Yangon, Nay Pyi Taw (NPT)
19. In its third community cycle, e.g. starting in November 2015, the program may expand
to 18 new townships, bringing the total of participating townships to 27. These townships are:
5
YEAR 1 (2013-2014) YEAR 3 (2015-2016)

Township State/Region Population Township State/Region Population
Kanpetlet Chin 18,378 Paletwa Chin 97,471
Namhsan Shan 71,668 Tanintharyi Tanintharyi 81,221
Kyunsu Tanintharyi 134,722 Myaung Sagaing 94,101
Banmauk Sagaing 89,598
YEAR 2 (2014-2015) Thabaung Ayeyarwady 142,887
Township State/Region Population Kyangin Ayeyarwady 73,857
Lemyethna Ayeyarwaddy 95,455 Mindon Magway 56,727
Sidoktaya Magway 38,848 Kawhmu Yangon 121,433
Pinlebu Sagaing 102,960 Lewe NPT 252,272
Ann Rakhine 94,254 Ngazun Mandalay 129,278
Htantabin Yangon 113,378 Nyaung-U Mandalay 189,668
Tatkone NPT 177,880 Monyo Bago 119,220
Kyaukkyi Bago 103,616
Chaungzon Mon 14,399
Bilin Mon 162,683
Hpruso Kayah 24,744
Demoso Kayah 75,604
Kyain Seikgyi Kayin 204,956
20. In its fourth year of implementation (e.g. in the community cycle beginning in the fall of
2016), the project will add approximately 36 townships, bringing the total to 63. Depending on
the availability of resources, additional townships and/or additional cycles in existing
beneficiary townships may be added.
21. Criteria for Township Selection. Poverty rates are the primary criterion for selecting
the participating townships. Additional criteria are: (i) the absence of external funding for
similar activities; (ii) willingness and capability of the township authorities to implement the
project; (iii) a minimum level of peace and stability in the township to allow for safe
implementation and supervision of the project; and (iv) a minimum level of logistical access to
and within the township.
22. Using the criteria above, DRD organized a transparent and participatory process for
selecting the participating townships. This process consisted of the following three steps:
Step 1: The DRD union office, with the help of the Ministry of National Planning and
Economic Development and other available sources, prepared a table and a map using
available economic, social and food security data for all townships in the Regions/States.
The data included Gross Domestic Product (GDP) per capita as well as selected food
security, education and health indicators. This information was made available to
participants at the consultations.
Step 2: The DRD union office organized a public consultation in each region/state,
chaired by the Chief Minister. Participants included local authorities, representatives of
ethnic groups present in the state/region, non-governmental organizations (NGOs) and
development partners with existing projects in the region/state, and local civil society
groups and community members. The purpose of the consultations was to prioritize
between three and five townships per region/state that best met the selection criteria.
The list of proposed townships was submitted to the Chief Minister for validation
against the selection criteria.
6
Step 3: The Chief Minister sent the list of prioritized townships to the Ministry of
Livestock, Fisheries and Rural Development for confirmation, whereupon the Foreign Aid
Management Working Committee selects townships for participation in the NCDDP.
Each year, the final list of townships selected for entry to the project was sent to the
World Bank for its no objection.
23. To date, township selection consultations have been completed in all 14 states and
regions and in the Union Territory, and the process above has led to the identification of the 27
townships that have now been confirmed to participate in the Project.
24. For the fourth year of implementation, the remaining townships will be selected using
the same criteria, complemented by operational considerations, for example the potential of
geographic clustering to enhance project implementation.
25. In the event that additional resources become available in the course of the project
implementation, the same criteria will be used to identify townships for participation in the
NCDDP.
5 BLOCK GRANTS
5.1 CALCULATION AND USE
26. Block grant allocations are based on the population of village tracts as follows:
VILLAGE TRACT POPULATION AMOUNT (Myanmar Kyat)

< 3,000 20,000,000 kyat
3,001 to 5,000 40,000,000 kyat
5, 001 to 9,000 60,000,000 kyat
> 9,000 120,000,000 kyat
The DRD and the World Bank will review the allocation formula at the end of each project cycle
and revise it as necessary.
27. There is no minimum size for a village sub-project in the first cycle in any township. In
the second and subsequent cycles, the minimum amount for a village sub-project is 2,000,000
kyat. No sub-project can cost more than 110,000,000 kyat, including the funds from the village
tract block grant, voluntary community contributions and/or any other sources. Any sub-
project that is estimated to cost 40,000,000 kyat or more must be approved by the DRD union
office and receive a no objection from the World Bank prior to implementation.
28. Budget overruns. Any cost overrun amounts are covered by and subtracted from the
following year’s block grant allocation for the relevant village tract, as per the provisions below.
No overruns will be approved in the last cycle of the program. The DRD union office must be
informed immediately of any overruns so that the funds needed by villages due to approved
overruns can be transferred to the village tract bank account in a timely manner. All overruns
must be reported in the DRD union office’s quarterly reports.
(a) Sub-project cost overruns of up to seven percent of the block grant amount may be
authorized by the DRD township offices with justification.
(b) Overruns between seven percent and 15 percent must be justified and require
exceptional authorization from the DRD union office.
(c) Any overruns greater than fifteen percent must be justified by the DRD union
office and require a prior World Bank no objection letter (NOL).
7
29. Budget underruns/excess funds. Each VTPSC should plan for the full use of the
annual block grant allocation in its Village Tract Development Plan (VTDP). At the end of each
annual cycle, any excess funds remaining after sub-project completion will be kept in the village
and can be used in one of the following ways:
(a) For operations and maintenance (for equipment, fuel, tools, spare parts, etc.);
(b) To extend or upgrade an existing sub-project;
(c) For use in the next community cycle.
Excess funds (granted to a village or collected from the village itself for the sub-project(s) in
question) and their use must be accounted for, documented, and disclosed publicly.
30. Excess materials. Excess materials that are left over after the sub-project completion
should be inventoried by the Procurement Sub-Committee and utilized/disposed of in the
following manner:
(a) To be used for operations and maintenance under the responsibility of the
Operations and Maintenance (O&M) Sub-Committee;
(b) To be sold in a transparent process by the Procurement Sub-Committee (PSC),
with associated financial information documented and receipts of sales by the
Finance Clerk. The use of the proceeds of such sales would be decided by the
VTPSC. The VTPSC may either add such proceeds to the Village Tract block grant
allocation or leave it with the initial village for a sub-project in the next cycle;
(c) To be disposed in a manner in accordance with applicable Environmental Codes of
Practice (ECoPS) and Environmental Management Plans (EMPs) where applicable.
31. Administrative expenses. The VTPSC is entitled to use up to four percent of the annual
block grant allocation per year to cover incidental/administrative expenses incurred by project
committees for managing block grants, such as local travel, stationary, etc.
(a) The Finance Sub-Committee (FSC) prepares a budget for

incidental/administrative expenses. The VTPSC includes funds for VPSC activities
from this amount, to the extent needed and possible.
(b) The VTPSC keeps separate records for the use of these incidental/administrative
expenses.
(c) The expenses are subject to spot audits by DRD and the Office of the Auditor-
General.
(d) The FSC posts monthly summary statements of the incidental/administrative
expenses at the village tract and on village notice boards.
(e) The VTPSC may increase the amount for incidental/administrative expenses to up
to six percent of the annual block grant amount under exceptional circumstances,
subject to documentation and prior approval from the DRD union office. These
exceptions must be recorded and reported quarterly by the DRD union office.
Unspent administrative budget will integrate into the unspent Block Grants or the
VTPSC can decide to add to next year’s administrative cost.
32. Misuse of funds. If any of the block grant funds are found to be misused, the party
responsible for the misuse of the funds shall refund the amount in full and is liable to additional
sanctions (See sections later in this chapter on Code of Conduct and Sanctions). DRD at the
township and union levels will be responsible for following up on cases of the misuse.
8
5.2 DISBURSEMENTS OF BLOCK GRANTS
33. The DRD union office disburses the annual community block grant in full to the bank
account of the VTPSC when all of the following steps have been completed.
(a) All VPSCs in the village tract and the VTPSC have been established and staffed as
required.
(b) The VTPCS’s FSC has been set up and trained.
(c) The VTPSC has opened a bank account at a local bank (only required for the first
disbursement).
(d) The VTPSC has signed a block grant agreement for the current cycle with the
Township DRD office.
(e) The VTPSC submits a request for disbursement to the DRD union office through
the DRD township office, which the DRD township office signs, confirming all
conditions (a – d, above) have been fulfilled.
34. The DRD union office transfers the block grant in full to the VTPSC bank account within
about one week of receiving the request for disbursement and informs the DRD township office
and the VTPSC of such a transfer within two working days thereof. The DRD township finance
officer and township finance consultant should closely monitor the bank account balance.
35. Until the selected sub-projects for the cycle are approved by the TPIC, only
administrative operational funds can be withdrawn from the bank account. Withdrawing
infrastructure funds prior to the approval of sub-projects for the cycle by the TPIC may result in
sanctions of the village tract in question.
36. Funds are withdrawn by the finance sub-committee for the implementation of sub-
projects as needed. There is no pre-determined number of withdrawals. Funds can be
withdrawn once, twice, three times or more. The number of withdrawals may vary depending
on the need, distances to the bank, transport costs, etc. Each VPSC, based on its sub-project
implementation schedule, procurement plan and construction progress, will agree on a schedule
with the VTPSC and its FSC.
37. Withdrawals must carefully balance time and cost considerations with the need for
funds and the security of the cash on hand. It is recommended that cash be handled by a trusted
villager, agreed by the community at large, in a manner and place where it is as secure as
possible. The risks and responsibilities must be explained to the selected trusted person and
also understood by the community at large.
38. In general, funds withdrawn from the bank should be expended as soon as possible. For
example, funds should be paid to suppliers right after withdrawal instead of carrying the funds
back to a village and then transporting them back to the township to pay suppliers. The VPSC
and its finance clerk can request assistance of the VTPSC to make payment on behalf of the
village, to reduce the amount of cash on hand.
6 COMMUNITY COMMITTEES
6.1 VILLAGE TRACT PROJECT SUPPORT COMMITTEE AND FINANCE SUB-

COMMITTEE
39. There are two main committees at the village tract level: the Village Tract Project
Support Committee (VTPSC), which reviews Village Development Plans and makes decisions
9
around block grant allocations; and the finance sub-committee which is responsible for
managing finances including withdrawals from the village tract bank account. Both of these
committees are described below. Their formation and functions in the community cycle are
detailed in Chapter 2 of this manual.
40. Village Tract Project Support Committee. This is the main committee for the
program at the village tract level. The VTPSC reviews Village Development Plans and sub-
projects proposed for funding, makes decisions on block grant allocations, and prepares a
village tract development plan for submission to the TPIC. When the VTPSC convenes for the
first time, members elect two heads (one man and one woman) from amongst themselves, with
the support of the Community Facilitator. The VTPSC coordinates with the Village Tract
Development Support Committee should one exist.
41. Finance Sub-Committee. The Finance Sub-Committee (FSC) is responsible for

managing the finances for the village tract, including withdrawals from the village tract bank
account. At its first meeting, the VTPSC selects three of its members for the “core” village tract
FSC and elects the head of the FSC. In addition to these three members, the elected finance
clerks from each village in the village tract will also be members of the FSC.
42. Eligibility. The VPSC heads are members of VTPSC. The village tract administrator will
become advisor and s/he shall join VTPSC meetings regularly. Committee members are
required to step down in case of misconduct or lack of acceptable performance (as attested by
villagers, as evaluated during the annual social audit, etc.).
43. Decision-making. Two-thirds of its members constitute the quorum for meetings of
the VTPSC, and two-thirds of the “core” FSC constitute a quorum for FSC meetings. The VTPSC
and FSC take decisions by consensus. The VTDSC members will present at the VTDP decision-
making meeting.
44. VTPSC members do not receive remuneration for their committee work. Travel and
meal allowances for VTPSC work can be provided from the administrative budget (normally up
to four percent of the block grant).
6.2 VILLAGE TRACT GRIEVANCE COMMITTEE
45. Grievance Committee. The Village Tract Grievance Committee (VTGC) serves as the
body for reviewing grievances addressed to the village tract. The VTGC is composed of the two
grievance focal points (one man and one woman) from each village. This committee is
independent from the VTPSC (e.g. members of the Grievance Committee cannot also be
members of the VTPSC). The Grievance Committee will be supported in its work by the
Community Facilitators.
6.3 VILLAGE PROJECT SUPPORT COMMITTEE AND SUB-COMMITTEES
46. Village Project Support Committee. The main program body at the village level is the
Village Project Support Committee (VPSC), which prepares the Village Development Plan and
identifies funding priorities. The formation of the VPSC and its functions in the community cycle
are described in detail in Chapter 2. The VPSC is composed in equal parts of men and women
and elects, from among its members, two heads: one man and one woman. The two heads of
each VPSC will represent the village in the VTPSC.
47. Sub-Committees. The VPSC will form three sub-committees, each composed of two or
three of its members, for (i) procurement (approving purchases and contracts); (ii) monitoring
10
and evaluation (to oversee sub-project implementation); and (iii) operations and maintenance.
Each sub-committee must include at least one woman. Each sub-committee elects one head.
48. Eligibility. Anyone 18 years or older and willing to perform the required duties can
stand for election, except the village leader. The heads of the VPSC (one male and one female)
cannot be members of any sub-committee. The heads of the VPSC become members of the
VTPSC. Members are required to step down in case of misconduct (code of conduct and
sanctions) or lack of performance (as attested by the villagers etc.).
49. Decision-making. Two thirds of members constitute the quorum for meetings of the
VPSC and its sub-committees. The VPSC and its sub-committees can vote on matters (secret
ballot) or take decisions by consensus, as appropriate. If applicable, the participation of hamlets
or associated small villages in the quorum and decision-making needs to be ensured.
50. Members of the VPSC and its sub-committees and volunteers do not receive
remuneration for their committee work.
51. Inter-village sub-project committees. If a sub-project benefits two or more villages,

the village-level sub-project committees will consist of representatives of participating villages
on a proportionate basis.
6.4 FINANCE CLERK AND VILLAGE VOLUNTEERS
52. To support the work of the VPSC, each village will identify a finance clerk (who acts as
cashier, makes payments, and represents the village on the village tract finance subcommittee),
and two village volunteers (one man and one woman). Village volunteers cannot serve on the
village project support committee.
6.5 GRIEVANCE FOCAL POINTS
53. To ensure transparency and provide a point of contact for community members with
concerns about the project, each village elects two grievance focal points, one man and one
woman. Village grievance focal points must be independent from the VPSC, and must be fair,
respectful and able to keep confidentiality. Grievance focal points will be part of the Village
Tract Grievance Committee.
7 SOCIAL INCLUSION ASPECTS
7.1 GENDER ASPECTS
54. The project contains a range of activities to increase gender equality and empower
women during the community project cycle. Community Facilitators (CFs) and village
volunteers will work to ensure women’s participation throughout the community project
cycle, including community monitoring, grievance handling, and social audits.
(a) Staff involved in project implementation receive gender training and refresher
training throughout the project’s duration to ensure project activities are carried
out in ways that increase gender equality and empower women and that project
staff understand the rationale for the involvement of women and ways to support
the active participation of women.
(b) At the first village meeting in which there is a village quorum, CFs provide
information about the roles and responsibilities of all positions and share
11
information about the NCDDP’s concepts of participation, gender and inclusion.

The CF facilitates the selection of at least one woman and one male village
volunteer.
(c) CFs and village volunteers organize separate meetings with women and men to
identify their respective needs and priorities for the Village Development Plan
(VDP) and keep a record of the needs and priorities of each group, which is
included in the project’s management information system (MIS). It is important
that this separate meeting include poor and vulnerable men and women, including
for example women headed households, the elderly, people living with disabilities,
as well as landless households and marginalized groups.
(d) If there are hamlets to be grouped with a village for the purpose of an NCDDP sub-
project, the CF and village volunteers will also organize the same meetings at the
hamlet level.
(e) At the second village meeting, if the quorum is met, the election of the VPSC and its
sub-committees is undertaken. The CFs ensure that (i) the VPSC is composed in
equal numbers of men and women, (ii) each sub-committee includes at least one
female member, and (iii) each VPSC and each VTPSC includes one woman as one of
its heads in one of the sub-committees. Sub-projects can be identified by men, by
women or by men and women together. The VTPSC must agree to fund at least
one sub-project identified as a priority by women in the village tract each year.
(f) Progress and challenges on gender and inclusion will be discussed as part of
regular project management meetings, and are reported on as part of the project’s
results framework.
(g) In undertaking the environmental and social safeguards screening for each sub-
project, the VPSC pays particular attention to both positive and negative impacts of
the village sub-project on women, children, persons with disabilities and elderly
people and where needed proposes mitigation measures to eliminate any negative
impacts.
(h) If a village sub-project requires an EMP, the CF/TF includes specific actions in the
plan as needed to ensure that the interests of both women and men are equally
protected.
(i) Any villager who wishes to work can work on a sub-project. Announcements of
the required skilled and unskilled labor for sub-projects will be displayed in public
places. Women and men both have equal opportunities to work on sub-projects
and will be paid equally for equal work. This requirement will also be applied to
contractors used for the sub-projects. The Village Monitoring and Evaluation
(M&E) Sub-Committee documents the wages paid in their monitoring reports.
7.2 ETHNIC AND/OR RELIGIOUS GROUPS
55. The project contains a range of activities to allow all ethnic and religious groups, the
poor and other marginalized groups (including the disabled, for example) to fully participate
throughout the community project cycle and enjoy project benefits equitably.
(a) All villages in a village tract are eligible to participate in the project, regardless of
whether they are officially registered by the General Administration Department
or not.
(b) All ethnic groups living in a village are entitled to participate in sub-project
monitoring activities.
(c) If ethnic and/or religious groups are not already included in the Village M&E Sub-
Committee, the CF and village volunteers facilitate a meeting with them and the
VPSC to discuss and agree on arrangements whereby representatives of these
groups participate in sub-project monitoring activities. This might involve special
community monitoring of the process and sub-projects by ethnic minorities where
12
they reside.
(d) The village tract representatives of each village, together with the CF and village
volunteers, carry out free, prior and informed consultations in the villages to
explain the Village Tract Development Plan (VTDP) and verify broad community
support for the VTDP by the ethnic and or religious groups present in the village.
(e) If ethnic and/or religious groups raise a complaint/concern in writing regarding
the priorities of village sub-projects at any time during the planning phase and
prior to the approval of sub-projects by the TPIC, the VTPSC will reassess the
priorities and submit a revised VTDP to the township for endorsement, as needed.
(f) The CF and village volunteers undertake open and informed consultations with
ethnic and/or religious groups for the preparation of the Village Development
Plans (VDPs) prior to the approval of village sub-projects and keep a record of the
needs and priorities of each group.
(g) The VTPSC ensures the needs and priorities of ethnic and/or religious groups are
adequately reflected in the VTDP, based on the consultations during the
preparation for the VDPs.
(h) Village and village tract meetings as well as meetings of the VPSC and VTPSC are
held in the predominant local language. The VTPSC and VPSC members and village
volunteers ensure that all villagers have a full understanding of the discussion at
these meetings through the use of effective group facilitation techniques.
Additional training will be provided on facilitation skills and community
mobilization as well as on information dissemination techniques and transparency
in all townships (in line with requirements of the Environmental and Social
Management Framework).
(i) All necessary written information related to the project is made publicly available
at the village and village tract level in local languages.
8 PROJECT MANAGEMENT INFORMATION SYSTEM
56. The purpose of the project’s monitoring and evaluation (M&E) system is to assess
progress and evaluate if the project is meeting its stated objectives. The monitoring and
evaluation of the project has the following four components:
(a) Operations – tracking physical and financial progress of implementation;

(b) Learning – this focuses on documenting and communicating lessons learned from
each community project cycle as input for the next cycle;
(c) Results – covering outcome/impact indicators in the Project Results Framework;
(d) Evaluation – including qualitative studies/reviews on specific topics (e.g. gender),
technical, financial and social evaluations and audits, safeguards, and findings
from supervision missions.
57. The main tool of M&E is the overall project management information system (PMIS).
The PMIS is the complete network of information (project cycle, financial, procurement, social
accountability information etc) required to assist project management to make timely decisions,
to track progress, and to assess the degree of realisation of the indicators in the Results Matrix.
58. A sub-set of the overall PMIS is referred to as the “MIS.” The MIS includes selected data
from every village, which is entered into the project database so that key performance
indicators can be aggregated by township and whole project levels. Village level data is entered
by CFs into tablets, and then transferred to township PCs. After validation, this data is then
uploaded weekly via the Internet to the central SQL server, which stores the project database,
and is accessible to the public at www.ncddpmis.com.
13
59. A more detailed description of the PMIS is provided in Chapter 7 while Chapter 3 shows
all the data collection and reporting forms.
60. The UTA is responsible for assisting DRD in maintaining the PMIS.
9 REPORTING
61. To effectively monitor and evaluate program implementation and performance, NCDDP
communities and townships will prepare regular reports on implementation progress, including
any challenges that require resolution. In addition, the union level will provide regular
reporting both to the project’s Steering Committee, the World Bank, and external donors. The
reporting schedule and requirements are detailed in Chapter 7.
10 GRIEVANCE AND ACCOUNTABILITY
62. Transparency and accountability are core components of the NCDDP. To this end, the
project has established a grievance handling mechanism (GHM). The goal of the GHM is to
strengthen accountability to beneficiaries and provide channels for input by project
stakeholders at all levels. It provides a mechanism that allows for the identification and
resolution of issues affecting the project, including misconduct of staff, misuse of funds, abuse of
power, and other improper behavior. By increasing transparency and accountability, the GHM
helps reduce the risk of corruption and serves as an important feedback and learning
mechanism for project management.
63. The GHM established under the NCDDP is accessible to all, including ethnic, religious,
and other special groups. The mechanism focuses not only receiving and recording complaints
but also on how complaints are resolved. The GHM is supported by an information campaign
and training program. Respected and trusted grievance focal points (one male and one female)
are elected in each village, who together form the Village Tract Grievance Committee, and
dedicated staff are assigned to handle grievances in each township and at the union level.
Details on the GHM are provided in Chapter 2.
10.1 CODE OF CONDUCT
64. All persons involved in project implementation, including the DRD union and township
project staff, Union- and Township-level TA staff, independent technical consultants, VTPSC
members, VPSC members, community and Technical Facilitators, village volunteers, and finance
clerks, have an obligation to perform their duties honestly and constructively. They sign and
agree to abide by a code of conduct to:
(a) Observe the laws of the Republic of the Union of Myanmar;

(b) Honor the rights of project stakeholders (Grievance and Accountability);
(c) Ensure women, the poor, ethnic and religious groups present in the project
locations participate actively in and benefit from the project;
(d) Refrain from any corrupt or fraudulent activities including patronage/nepotism,
conflict of interest, diversion and/or embezzlement of funds, bribes, kick-backs,
and short-changing of village sub-project value;
(e) Report suspected cases of fraud and corruption;
(f) Respect local cultures and customary laws prevalent in project locations;
(g) Follow the provisions of the operations manual with diligence and efficacy;
14
(h) Report any problems arising from the work to the direct supervisor or next higher
level of authority.
65. A simplified Code of Conduct, based on the above, which is more readily understood by
villagers, has been prepared with “5 Do’s and 5 Don’ts.” This is utilized in the village orientation
meetings. The following is the simplified Code of Conduct:
Do’s
1. Be honest and responsible in your job.
2. Be open and transparent in your actions.
3. Observe the laws of Myanmar.
4. Observe the rights of everyone.
5. Respect the community and engage equally all women, men, disabled persons, the poor,
and any ethnic or religious groups.
Don’ts
1. Don’t take bribes or gifts, money, goods, materials for personal use.
2. Don’t falsify documents.
3. Don’t give contracts to friends or relatives.
4. Don’t use or abuse the project for personal gain.
5. Don’t hire children under15 years of age for sub-project construction. And don´t exploit
labor.
10.2 SANCTIONS
66. Anyone involved in project implementation, who is found to be in breach of the code of
conduct, is subject to disciplinary action. Sanctions may be imposed on individuals, groups
(such as VTPSC and VPSC) and private contractors. Detailed sanctions procedures are outlined
in Chapter 2.
67. Failure to report a suspected case of misuse of funds or authority constitutes a breach of
the code of conduct. Sanctions will not be enacted on the whole village for an individual’s
wrong doing or the whole village tract for a village’s misconduct. CFs and TFs are responsible
for ensuring that villagers are aware that they will not be penalized for filing a complaint. Filing
a complaint does not mean a village tract or village will lose its grant.
11 KNOWLEDGE AND LEARNING
11.1 COMMUNICATIONS
68. The DRD with assistance from the UTA:
(a) Plans, designs and executes a communication strategy for the project to inform
stakeholders about how the project operates and their rights and responsibilities
under the project; it is aimed at different parts of the project structure (e.g. village,
village tract, township and union level) and different issues related to the project
(e.g. transparency and grievance handling, social and environmental safeguards,
gender provisions, etc);
(b) Initiates and maintains relationships with key internal and external stakeholders;
(c) Identifies opportunities for and forges partnerships to improve multi-stakeholder
dialogue and outreach and to strengthen the project’s overall effectiveness;
(d) Monitors and analyzes media-stories relating to the project;
15
(e) Identifies and, as appropriate, responds to news and developments that may
impact the project;
(f) Ensures quality translation of English documents into Myanmar language (and
other local languages as appropriate) and vice versa.
69. Township level communication initiatives to complement the union-level strategy are
encouraged as long as agreed by the DRD union office. Funds for such activities can be
requested as part of the township-level activity-based budgeting process.
11.2 MULTI-STAKEHOLDER REVIEW
70. Township-Level MSR. At or near the end of each annual block grant cycle, the DRD
township office organizes a multi-stakeholder review (MSR) in each project township. The goal
of the MSR is to bring together project stakeholders at the township level to share experiences
from implementation of the previous community cycle and to discuss ways to improve the
project’s implementation for the next cycle. Participants include government officials,
community members, village tract administrators, the TTA as well as interested NGOs, local civil
society groups and development partners active in the township.
71. At the meeting, the DRD township office presents an annual township project
implementation report. Participants reflect on the annual report, the results of the social audits
(see Chapter 2 on Social Audits) as well as on the findings of any village sub-project technical
and financial audits undertaken in the township. Proceedings of the meeting are public and
open to all.
72. Following the meeting, the DRD township office summarizes the main discussion points,
suggestions and recommendations in a short report. This report is submitted by the DRD
township office to the DRD union office. In addition, VTPSCs post the report in local language(s)
on village and village tract notice boards.
73. Union-Level MSR. The DRD union office organizes a union-level MSR once all
township-level MSRs are completed. Similar to the township-level MSRs, the union level MSR
serves to share experiences from the previous cycle across all project townships and discuss
ways to improve the project’s implementation for the next cycle. Participants include
government officials from the union and township levels, project staff of all levels, community
members, union and township-level TA teams, as well as interested NGOs, civil society groups,
and development partners.
74. At the union-level MSR, DRD presents highlights of project implementation during the
previous cycle, including the findings of technical, financial and social audits. Participants
reflect on the project’s implementation progress and opportunities for improvement in the
coming cycle.
75. Following the union-level MSR, the DRD union office summarizes the main discussion
points, suggestions and recommendations in a short report. The report is disseminated widely,
including on the DRD website, through township offices, and other channels. VTPSCs will make
the report available in local language(s) by posting it on notice boards and discussing its
findings and recommendations in village and village tract meetings.
76. Following the union-level MSR, the DRD union office also updates the Operations
Manual in advance of the subsequent cycle to reflect key suggestions and agreements that
emerge from the MSR.
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11.3 EXCHANGE VISITS
77. As part of the NCDDP’s ongoing commitment to learning, DRD will organize regular
exchange visits, both between townships in Myanmar and by project teams to other countries
implementing similar programs. These visits aim to disseminate good practices and build the
capacity of project teams to implement the NCDDP effectively.
12 DISCLOSURE
78. Key documents related to the project will be disclosed publicly. This includes the
findings of the financial, technical and social audits, procurement documents, as well as other
documents as indicated in this Operations Manual. The project’s website,
www.cdd.drdmyanmar.org, is the key place for disclosing project-related documents. In
addition, project related documents are made publicly available in the participating
communities, as feasible. Documents that should be disclosed and posted locally on notice
boards are specified in this Operations Manual.
79. The documents below, prepared in Myanmar language, are available at village and
village tract offices. As appropriate, short summaries of these documents are prepared in
Myanmar and the predominant local language(s) and are posted on village and village tract
notice boards. The DRD township office retains copies of these documents and makes them
available to the public.
(a) Annual list of sub-project locations and the block grant allocations by village tract
in a given township
(b) A copy of the Environmental and Social Management Framework (ESMF)
(c) A copy of the project’s Operations Manual
(d) Annual project financial audit report
(e) Annual township level multi-stakeholder review report
(f) Environmental Management Plans for all sub-projects in a township
80. The documents below, prepared in Myanmar language, are available at the DRD union
level and on the project website:
(a) Annual list of project locations (village tracts) and their block grant allocations
(b) Annual project financial audit report
(c) Annual project implementation report
(d) Annual social audit report summary
(e) Annual multi-stakeholder review report
(f) Operations Manual
(g) ESMF
13 EMERGENCY RESPONSE
81. The NCDDP includes a contingency component that allows for the use of project funds to
respond to an eligible crisis or emergency, such as a natural disaster. In the event of such an
emergency, the Government of Myanmar consults with the World Bank as to whether project
funds can be made available to respond to the crisis or emergency. Arrangements for the use of
funds are described in the Government of Myanmar’s draft “Immediate Response Mechanism
(IRM) Operations Manual,” which fulfills the functions of the “Contingent Emergency Response
Implementation Plan” referred to in the NCDDP Financing Agreement. The manual requires the
17
preparation of a specific emergency response implementation plan for each particular crisis
response, and sets forth the generally applicable arrangements.
18
National Community Driven
Development Project
Operations Manual
Chapter 2
Community Project Cycle
1 Preparation 21
1.1 First Village Meeting (Orientation Meeting) 21
1.2 Election of Village Volunteers 22
1.3 Participatory Social Assessment 23
2 Planning 25
2.1 Second Village Meeting 25
2.2 Villlage Development Plan 25
2.3 Election of Villlage Committee and Sub-Committees 29
2.4 Subsequent Village Development Plans 30
2.5 Village Tract Project Support Committee Meetings 32
2.6 Township Planning and Implementation Committee Review and Endorsement 33
2.7 Third Village Meeting 33
2.8 Subsequent Village Tract Development Plans 34
3 Sub-project Preparation 35
3.1 Village Sub-project Preparation 35
3.2 Environmental Codes of Practice And Environmental Management Plans 37
3.2.1 Environmental Codes of Practice 37
3.2.2 Environmental Management Plan 38
3.3 Voluntary Land/Asset Donation 39
4 Sub-project Consultation and Proposal Review 40
4.1 Fourth Village Meeting (at Sub-project Site) 40
4.2 Village Tract Project Support Committee Review of Sub-project Proposals 41
5 Sub-project Implementation 42
5.1 Community Procurement 42
5.1.1 Procurement Sub-Committee and Its Responsibilities 43
5.1.2 Procurement Plan 43
5.1.3 Community Force Account 43
5.1.4 Contracting 44
5.1.5 Shopping Method 44
5.1.6 Invitation for Quotation 44
5.1.7 Quotation Evaluation 45
5.1.8 Purchase Order 45
5.2 Financial Management 45
5.3 Monitoring and Supervision 47
6 Sub-project Closing 48
6.1 Successful Completion of Sub-project Activities 48
6.2 Suspension and Termination of Sub-project Activities 49
7 Social Audit 49
8 Operations and Maintenance 51
9.1 Principles 54
9.2 Process 55
9.4 Sanctions 60
10 List of Key Reference Documents 61
Chapter 2: Community Project Cycle
CHAPTER 2
COMMUNITY PROJECT CYCLE
82. The community project cycle has six stages, consisting of 14 steps. This includes a
minimum of six village meetings that require the full participation of all villagers: men, women,
persons with disabilities, elderly and youth, ethnic minority groups, poor, rich, etc. Key
community decisions related to the project are to be discussed and made publicly at these
meetings. There will be some meetings of the project committees and sub-committees between
the full village meetings.
Community Facilitators (CFs), Technical Facilitators (CFs), and Township-level Technical

Assistance partners and DRD township staff will support the process as necessary.
1 PREPARATION
1.1 FIRST VILLAGE MEETING (ORIENTATION MEETING)
83. The project will provide at least three days of advance notice to villages before holding
the orientation meeting with the help of the village tract and the village head. The CF will
facilitate the first village meeting, and will encourage as many villagers as possible to
participate.
84. Objective. The purpose of the first village meeting is to:
(a) Explain the principles of community-driven development and of the NCDDP;

(b) Familiarize villagers with the project, the community project cycle and project
procedures and regulations;
(c) Explain the roles of the various NCDDP actors: 1) Village Project Support Committee
(VPSC) and Village Tract Project Support Committee (VTPSC) with sub-committees;
2) village volunteers, CFs and TFs, grievance focal points and finance clerk; 3) village
and village tract leaders; 4) township officials and Township-level Technical
Assistance (TTA) NGOs/firms; and 5) DRD union office, Union-level Technical
Assistance (UTA) NGO/firm and World Bank;
(d) Elect village volunteers, one man and one woman;
(e) Begin a Participatory Social Assessment. Depending upon the readiness level of the
community, the participatory social assessment may be completed during the first
village meeting or continue on after the first meeting as needed during the week.
85. A Village Development Plan (VDP) Guide issued by the Union Secretariat provides
further guidance on the first village meeting, social assessment, elections and second village
meeting. As part of the preparation, the Training of Facilitators Course Part 1 (TOF1) is
provided on these subjects at the township level. The VDP Guide serves as the relevant training
material.
86. Participants. CFs will facilitate the meeting. All villagers are invited including the
village administrator. The meeting must have a quorum of: (i) at least 50% of the households in
the village; (ii) at least 50% of ethnic group households in the village; and (iii) equal
representation from women. Facilitators should also encourage villagers from remote hamlets
to attend the meetings.
87. Duration. Minimum half a day.
21
88. Clustering of Villages with Less than 20 Households. In the case of very small
villages (<20 households) in the same village tract, those villages should cluster together to
form a minimum of 20 households or consolidate with a larger neighboring village in the same
village tract for orientation and planning purposes. This clustering would allow planning to be
more efficient and at scale, and ensure a sufficient number of committee members so that there
are no conflicts of interest. In case of doubt, the smaller villages should be allowed to decide for
themselves with which other village to join.
89. Process. The Community Facilitator (CF) and Technical Facilitator (TF) organize the
first meeting in a village (orientation meeting). In organizing the meeting, the CF can be
assisted by the village tract administrator, the village 100 household leader, and/or the DRD
township office.
90. The first village meeting is announced a few days (no less than 3 days) in advance in
local language(s). A reader-friendly brochure, leaflet or other materials containing basic project
information can be prepared and distributed in advance, as appropriate and feasible, to help
villagers prepare for the meeting. An abbreviated version of this Operations Manual has been
prepared by the DRD union office.
91. A date/time is set that is convenient for villagers. Every effort is made to ensure that as
many villagers as possible attend the meeting. Requirements for a meeting quorum are
described above. The meeting quotas are to ensure that the project process is as participatory
and transparent as possible and that the meetings are well attended especially by the poor and
marginalized.
92. For all village meetings, a quorum consists of: (i) minimum of half of all village
households (present in the village at the time of meeting) attending; (ii) minimum of half of all
ethnic minority households in the village attending; and (iii) minimum equal representation of
women. Facilitators should also encourage villagers from remote hamlets to attend the
meetings.
1.2 ELECTION OF VILLAGE VOLUNTEERS
93. During the first village orientation meeting, villagers select one female and one male
village volunteer. Villagers determine how they want to select them. The preferred option is
election by secret ballot, but appointment, discussion and consensus or other options identified
by the community with the assistance of the CF/TF are allowed. Anyone over the age of 18
years can be a village volunteer. If villages group together, e.g. in case they are very small, each
village should select its own volunteers.
94. The functions of a village volunteer are to:
(a) Assist the CF/TF with orienting the community regarding the project;
(b) Help in organizing project meetings and focus group discussions with various
groups in the village (elders, youth, ethnic groups, women, etc.);
(c) Help CF/TF in project activities including monitoring, reporting, grievance
handling, and sub-project completion;
(d) Support information campaigns together with grievance focal points and help CF
in organizing the village check (Social Audit);
(e) Participate in village exchange visits;
(f) Share information and knowledge about the project with communities.
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1.3 PARTICIPATORY SOCIAL ASSESSMENT
95. Objective. The purpose of the Participatory Social Assessment (PSA) is to assess the
village development situation and needs, and begin to articulate a vision for village
development in the future.
96. Participants. CFs and village volunteers will facilitate the meeting and discussions. All
villagers are invited. Focus group discussions are held with women, ethnic and vulnerable
groups.
97. Duration. The PSA using Participatory Rural Appraisal (PRA) techniques can begin
during the first village orientation meeting and continue thereafter during the week. Estimated
time is 2-3 days for the PSA/PRA exercise depending upon the time availability of villagers and
their capabilities.
98. Process. At the first village orientation meeting, the CF explains the purpose of a PSA
and ascertains from villagers whether or not an assessment and/or Village Development Plan
(VDP) was already undertaken within the past three years.
Scenario 1
99 If the village has already undertaken a PSA or produced a VDP, the CFs/TFs with village
leaders review for the following criteria:
(a) Were most villagers/households involved in the PSA and formulation of VDPs?
(b) Did women participate earlier?
(c) Did other vulnerable groups (ethnic minorities, elderly, disabled) participate?
(d) Was a full and transparent discussion held on the village’s needs and priorities?
100. If all answers to the above are positive, then the village can use the previous PSA and/or
VDP and undertake the following two steps:
(a) The CF holds free, prior and informed meetings with ethnic and religious groups
present in the village to confirm the existing assessment and the appropriateness
of the plan to their needs and priorities.
(b) If the groups agree to use the existing plan, the CF records the use of the existing
PSA and/or VDP in the minutes of the meeting.
Scenario 2
101. If no PSA and/or VDP exist or if villagers wish to update their plans, the CF continues
with the activities outlined below.
102. Participatory Planning Process: PRA Tools and Process. The Village Development
Planning process should ensure that all villagers have an opportunity to participate in assessing
the current situation of the village and identifying village priorities for development. PRA tools
emphasize local knowledge and enable villagers to make their own appraisal, analysis and
plans. The PRA process helps communities articulate their current development situation,
aspirations, vision and proposed interventions for overall village development. Several PRA
tools are used (see training materials for further details):
(a) Wealth ranking;

(b) Village map – geography and resource map;
(c) Seasonal calendar;
(d) Institutional and organizational assessment using Venn diagrams;
23
(e) Problem trees.
103. Using PRA techniques, the CF, TF and village volunteers organize village meetings and
focus group discussions to generate information for Village Development Planning. Focus group
discussions should be held with:
(a) Village leaders (formal and informal);

(b) Women;
(c) Occupational groups (farmers, fishermen, laborers, etc.);
(d) Most vulnerable and poorest groups (e.g., disabled, elderly, landless);
(e) Other groups present in the village, including any ethnic and or religious groups.
104. The CF/TF and village volunteers ensure that the poor, ethnic and religious groups
present in the village and young and elderly villagers are consulted in a free, prior and informed
manner.
105. The CF/TF should help villagers analyze and think through the root causes of poverty in
their village and what would be effective and sustainable ways of addressing their development
challenges. The final decisions, however, should rest with the communities.
106. Secondary data. For the village level meetings, the CFs/TFs will gather information
from the townships about community-level investments planned and budgeted in the fiscal year
in question. They should also gather relevant information about health, education, water,
electricity and road services for that village.
107. The village and focus group meetings serve to:
(a) Examine the village’s history and social composition;

(b) Assess the current state of development in the village;
(1) Livelihoods and poverty
(2) Availability of basic services (e.g., education, health, transport, water,
electricity, etc.)
(3) Environment and natural resources
(4) Obstacles to development. Villagers identify problems that are encountered
frequently and cause (parts of) the community to be poor.
(c) Vision of what men and women’s groups want for their village in the future.
Villagers jointly draw a vision of their village, how they like their village and family
situations to look like in four to five years and identify what strengths and assets
they may have for working towards that vision (visioning exercise)
108. Ideas should be helpful to the very poor and poor, and be sustainable. Ideas should not
be limited to public service delivery and infrastructure, but instead identify all elements that
villagers would consider relevant (e.g., administrative constraints, land, livelihoods, access to
justice, etc.). It is important that villagers identify all issues affecting their community. The CF
and TF ensure that women, ethnic minorities and vulnerable groups are given the space to
express their ideas and helps to make sure they do so.
109. The CF helps villagers to summarize the findings of the group discussions, PRA sessions
and local decisions, which form the basis for the preparation of the VDP. These documents will
form the main part of the VDP with its lists of priority activities to be finalized at the second all-
village meeting (see section below).
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2 PLANNING
2.1 SECOND VILLAGE MEETING
110. Objective. The purpose of the second village meeting is to: (i) prepare the VDP; and (ii)
elect the focal points and committee members.
111. Participants. CFs and TFs will facilitate the meeting. All villagers are invited including
the village administrator. The meeting must have a quorum of: (i) at least 50% of the
households in the village; (ii) at least 50% of ethnic group households in the village; and (iii)
equal representation from women. Facilitators should also encourage villagers from remote
hamlets to attend the meetings.
112. Duration. Half day
113. Process. It is expected that for first cycle townships, CFs will spend 4-6 days in the field
to undertake the first village orientation meeting, the PSA/PRA exercise, and the second village
planning meeting.
2.2 VILLLAGE DEVELOPMENT PLAN
114. Using the information provided during the PSA and PRA process described above,
villagers, assisted by the CFs/TFs prepare a Village Development Plan (VDP) for four years. The
purpose of a VDP is to describe briefly the village’s current situation, development challenges,
vision, and proposed interventions to improve their socio-economic conditions.
115. The CF/TF together with the village volunteers compile the results of the social
assessment and the PRA exercise into one VDP document of maximum ten pages plus annexes
including (see the Village Development Plan template below):
(a) Cover page;

(b) Table of Contents;
(c) Village Basic Data;
(d) Summary of the PSA and PRA process;
(e) Obstacles according to men and women’s group;
(f) Village vision (result from visioning exercise);
(g) List of priority activities for the next four years (infrastructure, livelihood,
education, social protection etc.), agreed upon by both men and women;
(h) Annexes:
(1) Photo documentation of the social assessment and PRA process (as feasible);
including maps, wealth rankings, venn diagrams etc.;
(2) Copy of the minutes of village planning meeting;
(3) Village Profile (Form PC1);
(4) Village Vision Form (Form PC4).
116. The Village Development Plan should:
(a) Be prepared in the predominant language with a summary in either Myanmar

language if prepared in local language or local language(s) if prepared in Myanmar
language.
(b) Describe priority development needs for the village over the next four years
regardless of funding source (not just NCDDP). Other activities proposed for
government and other donor sources (e.g., livelihoods, health, etc.) should be
25
included in the VDP so that external partners will be aware of what are the overall
village development needs, and perhaps can fund those activities in the future.
Template for Village Development Plan
1. Cover page (including name of village, township, and date)
2. Table of Contents
3. Village Basic Data: (summarized from the Village Profile Form)

 How old is the village (including its history)?
 Population (male, female) and number of households
 Population of ethnic groups
 Population of vulnerable households (e.g. elderly, landless, disabled)
 Facilities available in the village (health center, school, etc)
 Main economic activities of villagers (agriculture, crops, etc.)
 Major assets in the village, land area, natural resources.
 Any other relevant information for the village
4. Summary of the Participatory Social Assessment (PSA) and Participatory Rural Appraisal (PRA)
process. Include the date when meetings were held, which groups were consulted, how many joined
the meetings, main points of discussion at the meeting.
5. Obstacles according to men and women’s group (resulting from PRA exercise). Briefly describe what
types of main obstacles are faced by villagers.
6. Village vision (result from visioning exercise). What is the vision of the village? What do villagers
think would make their village stronger in the future?
7. List of priority activities for different areas for the next four years (infrastructure, livelihood,
education, social protection etc.), agreed upon by men, women and ethnic groups. ALL activities
should be discussed, not just those funded by NCDDP.
8. Annexes:
 Photo documentary of the PSA and PRA process (as feasible) including maps, wealth rankings,
Venn diagrams etc;
 Copy of the minutes of village orientation, social assessment and planning meetings;
 Village Profile (Form PC1);
 Village Vision Form (Form PC4).
117. Project Activities Identified in the VDP for Eligible Funding under NCDDP. The CF
and TF will help the villages identify which project activities in the VDP are eligible for NCDDP
funding. The total amount in the funding envelope (village tract block grant) will serve as a
rough guide to the number of sub-projects that might be financed, though needs and priorities
other than those that might be funded from the VT block grant should also be discussed and
included in the VDP.
118. The block grant is not allocated by village but rather is allocated to support specific sub-
projects. Villages can collaborate on one joint sub-project, and very small villages are
encouraged to cluster or collaborate with a larger nearby village in the same village tract.
119. Minimum and Maximum Sizes for NCDDP Sub-projects. In Cycle 1, there is no
minimum size for a sub-project. For townships in the second year (Cycle 2) and subsequent
cycles, the minimum size for any sub-project is 2,000,000 kyat. No one sub-project can cost
more than either the annual village tract block grant allocation or 110,000,000 kyat, including
funding from the village tract block grant, voluntary community contributions or from another
funding source. Any sub-project costing 40,000,000 kyat or more must be approved by the DRD
26
union office and receive a NOL from the World Bank. An exception of the maximum size of sub-
projects will apply for cases where two village tracts can work jointly on one sub-project.
120. For joint sub-projects implemented by more than one village, the villages will form one
VPSC-consortium with members from both villages, with both men and women, as well as the
needed sub-committees. There should be equal representation from both villages, to manage
the joint sub-project. The type of sub-project will influence this decision. The CFs and TFs
should advise the villages on the pros and cons of joint sub-projects.
121. Every village may not get a sub-project every year, and this must be explained and
discussed with villagers during the first village meeting and subsequent planning meetings.
122. Criteria for prioritization. Criteria for prioritization of sub-projects include:
(a) Number of beneficiaries (breadth of impact)
(b) Number of poor and marginalized who will benefit

(c) Poverty impact including through local paid labor
(d) Urgency and immediacy of need
(e) Village capacity to implement the sub-projects and operate and maintain the
infrastructure.
123. Villages are encouraged to contribute to the costs of their priority sub-projects, though it
is understood that villages are poor and contributions may necessarily be limited.
Contributions are voluntary. Under no circumstances should involuntary or forced labor be
used.
124. Consideration is also paid to other possible sources of funding, and care taken to make
available information from the township as early in the process as possible on plans and
budgets in order to avoid overlap or duplication or delays.
125. Sub-projects can be initially identified and proposed by men or women or men and
women groups together. The final sub-projects proposed by the village must be agreed upon by
BOTH men and women’s groups. If there is disagreement about the sub-projects prioritized for
funding between men and women’s groups, then the community should vote for the priority
sub-project by secret ballot. Villagers should ensure that proposals originating from women are
discussed fully. CFs and TFs must take special care to ensure this happens, and Township-level
Technical Assistance (TTA)’s reports will include information on gender and sub-projects
identified by women and those that are funded.
126. Only eligible sub-projects included in the VDP (see the list of year 1 eligible sub-projects
and the list of sub-projects not eligible for funding) can be funded by NCDDP. Others should be
documented in the VDP to be considered for funding from other sources. For any township in
its second cycle or a later cycle of NCDDP, the menu is open for all priority community
infrastructure sub-projects as long as they are not on the negative list.
127. Villagers should be encouraged to use the grievance handling system for any concerns,
suggestions or complaints about the proposed village sub-projects.
128. Free, prior and informed consultation. If there is more than one ethnic and/or
religious group present in the village, the CF conducts a free, prior and informed consultation to
establish broad community support for the VDP and sub-projects to be proposed to the VTPSC.
If one or more groups disagree with the proposed village sub-project(s), the CF and village
volunteers will work with the village to revise the VDP or organize another village meeting to
27
re-prioritize the proposals, as required. Disagreements and their resolution will be

documented. The CF prepares minutes of the consultation meeting and submits the minutes
and final VDP to the VTPSC.
First Year Eligible Sub-projects (“Positive list”)
129. For communities in Cycle 1, sub-projects funded through NCDDP are limited to
rehabilitation and renovation:
Eligible Sub-project Categories Clarifications and Limitations on Eligible Categories

1 Rural health centers Rehabilitation or minor extension of existing facilities
2 School buildings Rehabilitation or minor extension of existing facilities
3 Rural roads (roads connecting Rehabilitation or maintenance of existing footpaths and roads
villages, and between villages within existing alignment
and township) Rehabilitation or maintenance of small bridges and culverts
4 Rural water supply systems Rehabilitation or minor extension of wells; rainwater
harvesting; minor installation of pipelines from natural springs
or surface water sources, which are not located on the
mainstream of the Ayeyarwady River or on or along the Maykha
and Malikha tributaries
5 Rural electrification Solar panel and charge station, pico hydro (<30kW), solar street
lighting, biogas charge station, diesel generator (<20 kilovolt-
amps), biomass generator (<15 kilovolt-amps)
6 Community recreation centers Rehabilitation or minor extension of existing facilities, including
for child care and telecommunications
7 Rural markets Rehabilitation or minor extension of existing facilities
8 Small scale irrigation Rehabilitation (<25 hectares)
9 Sanitation facility Rehabilitation or minor extension or construction of public
latrines, small scale waste water treatment and disposal
facilities, etc.
10 Jetty Rehabilitation or minor extension of existing public facilities
Sub-projects not Eligible for Funding in NCDDP (“Negative List”)
130. As of the second year of operation in a township, any type of community infrastructure
sub-project is eligible for funding unless the sub-projects:
Sub-projects Not Eligible for Funding by NCDDP

1 Are not included in the village tract development plan endorsed by the TPIC;
2 Exclude the poor or marginalized population groups;
3 Do not provide equal pay for equal work for women and men;
4 Require physical relocation or displacement of any villagers
5 Include the payment of compensation for land or asset loss from the proceeds of the World Bank
financing or other government sources;
6 Finance private goods, private livelihood activities, government offices or religious buildings;
7 Do not meet the required technical and quality specifications;
8 Have negative environmental or social impacts that are irreversible, create cumulative impacts
and/or cannot be adequately mitigated
9 Are financed, or scheduled to be financed, by the government or other development partners;
10 Contain the purchase or use of drugs, military equipment or other potentially dangerous materials
and equipment, including chain saws, pesticides; insecticides; herbicides; asbestos (including
asbestos-containing materials); or other investments detrimental to the environment and
livelihoods, including cultural resources;
11 Involve activities that cause or lead to child abuse, child labor exploitation or human trafficking *. No
child under the age of 15 should work on the construction, rehabilitation or maintenance of a sub-
project.
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Sub-projects Not Eligible for Funding by NCDDP

12 Involve activities that use forced labor
13 Finance the construction of any new dams or the rehabilitation of dams including structural and or
operational changes;
14 Use water from international waterways, including activities, such as community water supply,
small-scale irrigation or prico-hydropower generator facilities, on the mainstream of the
Ayeyawaddy River. The project also will not finance community water supply and small-scale
irrigation on or along the Maykha and Malikha tributaries of the Ayeyarwaddy River.
15 Any new construction and/or rehabilitation in protected areas, reserve forests (or proposed
protected areas) or other natural habitats or areas of high national conservation level that could
have the potential to cause significant conservation (loss) or degradation of such natural habitats
unless specified as planned investments as part of the respective protected area management plan
(where such a plan exists).
Note: rehabilitation of existing infrastructure, which has been already developed (e.g. existing paths
or tracks for tourism purposes) is possible if the respective sub-project is in line with the park
development management plan, and subject to agreement with the DRD union office.
16 Involve development of new settlements or expansion of existing settlements in critical habitats,
protected areas or areas proposed for the national protection (e.g. reserved forest).
Note: Where settlements already exist, proposals for funding should be in compliance with any local
regulations on land management and other provisions of the protected area management plan.
2.3 ELECTION OF VILLLAGE COMMITTEE AND SUB-COMMITTEES
131. During the second village meeting, the CF and TF will explain again the roles of: 1)
Village Project Support Committee (VPSC), Village Tract Project Support Committee (VTPSC),
and sub-committees; and 2) village volunteers, CFs/TFs, grievance focal points, and finance
clerk.
132. The key body at the village level is the VPSC. The VPSC is composed in equal parts of
men and women and elects, from among its members, two heads: one man and one woman. The
two heads of each VPSC will represent the village in the VTPSC. There are three ways to
establish the VPSC:
(a) If a properly elected Village Development Support Committee (VDSC) exists, it

could be used for the project, with additional membership as required to ensure
gender equity (e.g. equal representation of men and women);
(b) If a VDSC does not exist but another village development committee exists,
villagers may choose to use this committee for the project, with additional
membership as required to ensure gender equity;
(c) If no village development committee exists or if villagers decide not to use an
existing village development committee, villagers elect members of a VPSC, with
equal membership between women and men. The preferred method of election is
by secret ballot, whether for establishing the VPSC or replacing members who
have resigned or are no longer active.
133. Members of the VPSC and its sub-committees and village volunteers must meet the
following requirements and rules.
(a) Members must have a high degree of integrity.

(b) At least one of the members of each sub-committee should be able to read, write
and numerate, as should the finance clerk.
(c) At least one of the members of each sub-committee must be a woman.
(d) The heads of the VPSC cannot be members of any sub-committee.
(e) The VPSC will be headed by one man and one woman.
29
134. In Cycle 2 and subsequent cycles, the VPSCs do not necessarily need to be reconstituted,
but performance should be evaluated and members be replaced, if needed, based on feedback
from the social audit each year.
135. In addition to electing the VPSC, villagers select one female and one male grievance focal
points (who will serve as a point of contact for project-related grievances and serve on the
village tract grievance committee) and a volunteer finance clerk (who will handle payments for
sub-projects and serve on the village tract Finance Sub-Committee).
136. Villagers determine how they want to select the finance clerk and grievance focal points.
The preferred option is election by secret ballot, but appointment, discussion and consensus or
other options identified by the community with the assistance of the CF are allowed.
137. Qualifications for grievance focal points and volunteer finance clerk include:
(a) Anyone over the age of 18 years can be the village finance clerk or grievance focal
point;
(b) Village volunteers cannot be grievance focal points or the finance clerk;
(c) It is an advantage if the volunteers, finance clerk, and grievance focal points are
fluent in Myanmar language and in the predominant local language, though not
required;
(d) Village volunteers and grievance focal points as well as the finance clerk should be
able to read and to write. It is important that the village finance clerk also be
numerate.
138. Village volunteers, grievance focal points, and finance clerk receive special training on
their role in the community project cycle from the CF and the DRD township office.
139. Village volunteers, grievance focal points, and finance clerk do not receive remuneration
for their work. However, they are supplied with the means to undertake the activities (e.g.,
stationary, simple equipment etc.). Long-term motivation is in skills training, the provision of
simple equipment, and the opportunity for cross visit to other project sites.
2.4 SUBSEQUENT VILLAGE DEVELOPMENT PLANS
140. Objective. The objective of the village meetings after the first cycle is to validate the
contents of the VDP and assess if the VDP needs to be updated or changed. Villagers also
confirm or re-elect committee members.
141. Participants. CFs will facilitate the meeting. All villagers are invited including the
village administrator. The meeting must have a quorum of: (i) at least 50% of the households in
the village; (ii) at least 50% of ethnic group households in the village; and (iii) equal
representation from women. Facilitators should also encourage villagers from remote hamlets
to attend the meetings.
142. Duration. Minimum half a day.
143. Process: At the beginning of a new annual cycle, the CF, TF and village volunteers
organize a village meeting and focus group discussions as needed with:
(a) Village leaders (formal and informal);

(b) Women;
(c) Occupational groups (farmers, fishermen, laborers, etc.);
(d) Most vulnerable and poorest groups (e.g., disabled, elderly, landless);
30
(e) Other groups present in the village, including any ethnic and or religious groups.
144. The CF/TF and village volunteers ensure that the poor, ethnic and religious groups
present in the village and young and elderly villagers are consulted in a free, prior and informed
manner.
145. If the PRA process and secondary data was not used during the earlier cycle to formulate
the VDP, or if full participation of the community was lacking in the first cycle, then the CF and
Village volunteer can implement the PRA process again to deepen the analysis and community
engagement leading to the updated VDP.
146. Based on the existing VDP, the experience of the previous cycle, as well as the findings
from the social audit and any technical and/or financial audits, the CF, TF and village volunteers:
(a) Review the current VDP and Village Tract Development Plans (VTDP, see below);
(b) Re-assess the current state of development in the village to see if the VDP and
VTDP need updating as compared to the previous year. For example, if some
earlier identified projects have already been supported through other resources
(government or other), it should be noted in the new VDP. Also if natural disasters
occurred during the year and impacted the prioritization of village needs, that
change should also be taken into consideration.
(c) Re-prioritize village sub-project proposals (with estimates of rehabilitation/
investment and annualized operations and maintenance costs for a four-year
period), as required.
147. Criteria for Prioritization. Criteria for prioritization are the same as the first cycle.
(a) Number of beneficiaries (breadth of impact)

(b) Number of those poor and marginalized who will benefit
(c) Poverty impact including through local paid labor
(d) Urgency and immediacy of need
(e) Village capacity to implement the sub-projects and operate and maintain the
infrastructure
148. If there are changes to the VDP, the CF conducts a free, prior and informed consultation
with ethnic and/or religious groups in the village to establish their broad community support to
revised priority issues, the revised VDP and sub-projects to be proposed to the VTPSC. If one or
more groups disagree with the revised village sub-projects, the CF and village volunteers will
work with the villagers to further revise the VDP or organize another village meeting to re-
prioritize the proposals, as required.
149. The format of the updated VDP remains the same as in the first cycle. If another PRA
process takes place, the updated supporting documents (maps, Venn diagrams, wealth
rankings) should be attached to the VDP.
150. Reconfirmation of Committee Members. In Cycle 2 and subsequent cycles, VPSCs do

not necessarily need to be reconstituted but performance should be evaluated and members
replaced if necessary based on feedback from the previous cycle’s social audit.
151. The CF prepares minutes of the meeting, assists the VPSC to finalize the updated VDP
based on the agreement reached at the village meeting, and submits the minutes and updated
VDP to the VTPSC.
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2.5 VILLAGE TRACT PROJECT SUPPORT COMMITTEE MEETINGS
152. Objective. The purpose of the Village Tract Project Support Committee (VTPSC)
meeting is to produce a Village Tract Development Plan (VTDP), which describes the vision,
needs and development priorities of the villages in the Village Tract; and undertake a number of
measures related to the VTDP as detailed below.
153. Participants. CFs and TFs, VTPSC members. All villages must be represented at the
meeting by one man and one woman respectively. The Village Tract Development Support
Committee (VTDSC) members are invited to this meeting as observers. Moreover, they are
invited to at least two further meetings during the community project cycle.
154. Duration. Half day to one day.
155. The VTPSC is the key project body at the village tract level. The VTPSC is composed of
Village Project Support Committee (VPSC) heads.
156. The VTPSC will form a Finance Sub-Committee (FSC) to manage finances for the village
tract, including the village tract bank account.
157. At its first meeting, the VTPSC elects from among its members two heads (one man and
one woman). In addition, at its first meeting the VTPSC forms a FSC, selecting from among its
members three people (including at least one woman) to serve as the “core” FSC. The full FSC
consists of this core plus the elected finance clerks from each village.
158. Formation of the FSC
(a) FSC members must have a high degree of integrity.

(b) The bookkeeper must be able to read, write, and numerate.
(c) The head of the VTPSC cannot be a member of the FSC.
159. Once the VTPSC has received the Village Development Plans (VDPs) from all villages in
the tract, it meets, assisted by the CF, TF/engineer and village volunteers, to:
(a) Review the VDPs;

(b) Assess the village tract’s state of development, social composition, needs and
priorities;
(c) Agree on a four-year VTDP with a list of prioritized village sub-projects (with
estimates of rehabilitation and annualized operations and maintenance costs for at
least four years);
(d) Review information provided on township plans and budgeted activities;
(e) Ensure that its plan and the list of ranked sub-projects include eligible sub-
projects to fully utilize the funding envelope available under NCDDP
(f) Decide on the indicative allocation of the NCDDP block grant across sub-projects,
recognizing that the total budget for all proposed priority sub-projects will usually
exceed the annual block grant amount;
(g) Address the needs of women, the poor, and ethnic and religious groups present in
the village tract during the review of the VDPs;
(h) Achieve synergy and economies of scale by consolidating inter-related or similar
village level sub-projects so that one sub-project may cover more than one village
within the village tract so long as the VTPSCs and the villages have agreed. The
size of a joint sub-project of two village tracts cannot exceed 110,000,000 kyat in
size, and any sub-project larger than 40,000,000 kyat must have the prior
approval of the DRD union office and a NOL from the World Bank;
32
(i) Ensure that sensitive matters related to prioritized sub-projects, such as land
donations and environmental and social impacts, for example, are discussed and in
order;
(j) Estimate budgets for incidental expenses;
(k) Each sub-project must be completed in one cycle. Sub-projects in future cycles can
complement earlier sub-project types.
160. The CF and TF assist with the drafting of the VTDP based on the results of the VTPSC
meeting and submit it to the VTPSC for review and approval. The VTDP includes:
(a) Form PC4: Sub-project Selection Form, which lists all the sub-projects/villages to
be funded out of NCDDP;
(b) Village Development Plans for villages in the village tract (see earlier format).
161. The VTDSC members will be invited to participate as observers in the VTPSC meeting,
though they will not have voting rights or count towards a quorum. VTDSC members will be
called upon to integrate NCDDP village plans and investment decisions in other village tract
development and investment plans.
2.6 TOWNSHIP PLANNING AND IMPLEMENTATION COMMITTEE REVIEW AND

ENDORSEMENT
162. The VTPSC reviews and approves the VTDP and submits it to the Township Planning
and Implementation Committees (TPIC) for endorsement for funding by NCDDP. The VTPSC
also highlights to the TPIC other project activities, which are not eligible for funding by NCDDP
but could be funded by other government programs or sources.
163. The TPIC does one final review of the VTDP against existing sector plans and other
known assistance from government and/or development partners to ensure that there is no
duplication, overlap or contradictions with existing sector plans in the village tract. If agreeable,
the TPIC endorses the VTDP.
164. In the case that there are prioritized sub-projects, which are already funded from other
sources, the village sub-project(s) is excluded from NCDDP block grant funding and the next
sub-project(s) on the prioritized list is then funded, subject to available funds in the block grant.
165. In endorsing the VTDP, the TPIC also officially commits to covering the portion of
operations and maintenance costs assigned to the township administration.
166. The DRD township office informs the DRD union office regarding approved sub-projects,
and the DRD union office ensures that appropriate sectoral departments are aware of the
operations and maintenance (O&M) implications of these village sub-projects. The DRD union
office will assist to ensure that needed support for O&M is provided.
167. The DRD township office summarizes the VTDP in the township as input for planning by
line departments and region/state governments. The village tract is informed about those sub-
projects that can receive funding from other sources and informs the villages concerned.
2.7 THIRD VILLAGE MEETING
168. Objective. The purpose of the third village meeting is for the VPSC to report back to
villagers the endorsed VTDP and the decisions made about approved sub-projects funded
33
through this year’s block grant. The information will be publicly posted. Villagers are
encouraged to hold a short meeting to inform directly to the households.
169. Participants. VPSC will facilitate the meeting. All villagers are invited. VPSC and
village volunteers should encourage women, ethnic group households and villagers from remote
hamlets to attend the meetings.
170. Duration. One to two hours.
171. Process. The VTPSC representatives of each village explain to villagers the decisions
made at the village tract and TPIC levels. They explain which sub-projects were approved for
funding this year. The reasons for not prioritizing or not funding certain village sub-project
proposals are also explained. The VTPSC representatives verify support for the VTDP from
women, ethnic and/or religious groups present in the village.
172. If serious complaints or concerns are raised at the meeting by villagers, ethnic minority
groups or other vulnerable groups regarding the priority village sub-projects, the VTPSC will re-
assess the priorities and can submit a revised Village Tract Development Plan to the TPIC for
endorsement. Participants will be encouraged to register any concerns through the grievance
handling mechanism in the event that there is not enough time or opportunity to raise concerns
during this meeting.
173. Copies of the final VTDP, with indicative funding allocations and the block grant
agreement, are made publicly available in Myanmar and local language(s) at the village tract
office. A list of other sub-projects that are funded from other sources is also publicly displayed.
174. The VTPSC also prepares a summary of the endorsed VTDP in the local language(s),
including the list of approved sub-projects, for display on notice boards in all villages.
175. Signing Block Grant Agreement. The VTPSC members sign a block grant agreement
with the DRD township office to commit to the fiduciary, safeguards and governance standards
that apply to the implementation of all sub-projects. This step does not necessarily need to take
place at a village meeting.
2.8 SUBSEQUENT VILLAGE TRACT DEVELOPMENT PLANS
176. Objective. The purpose of the VTPSC meetings after the first cycle is to validate the
contents of the VDPs/VTDPs and assess if they need to be updated or changed.
177. Participants. CFs/TFs. VTPSC members. All villages must be represented at the
meeting by one man and one woman.
178. Duration. Half day to one day.
179. Process. For future cycles, once the VTPSC has received the revised VDPs from all
villages in the village tract, with updated sub-project priorities, the VTPSC meets, assisted by
CFs and TFs to review the revised VDPs.
180. Criteria and considerations for review are the same as for the First Cycle (see above
sections).
181. The VTPSC approves the revised VTDP and submits it to the TPIC, indicating whether
there are any changes, only minor changes or significant changes to the previous VTDP. A
change in the sequence of village sub-projects is considered minor. Significant changes (e.g. a
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completely new sub-projects are included that were not in the previous VTDP) need to be
explained and endorsed by the VTPSC.
182. The TPIC reviews the revised VTDP against existing sector plans and other known
assistance from government and/or development partners. If there are no changes or the
changes are minor, the TPIC will receive the VTDP for information only. If changes are
significant, the TPIC will need to endorse the updated VTDP. In either case, the VTDP’s
introduction should indicate whether it reflects minor or significant changes compared to the
previous plan, and explain any changes.
183. In endorsing the VTDP, the TPIC also commits to covering the portion of operations and
maintenance costs assigned to the township administration.
184. The VTPSC reports back to villagers on any changes following review by the TPIC
3 SUB-PROJECT PREPARATION
3.1 VILLAGE SUB-PROJECT PREPARATION
185. Once the VTDP with its list of priority sub-projects is endorsed by the TPIC, the village
can begin preparing its endorsed sub-project.
186. The VPSC holds a technical meeting with the CFs, TFs, village volunteers and township
engineer.
(a) For a village sub-project in the first VTDP: confirm eligibility of the village sub-
project see lists of eligible village sub-project and lists of non-eligible village sub-
project) and adopt the relevant safeguard tool if applicable Environmental Codes
of Practice (ECoP) or Environmental Management Plan (EMP).
(b) For a village sub-project in a subsequent VTDP, confirm that none of the criteria
for disqualifying a village sub-project apply and adopt if applicable the relevant
ECoP or EMP.
(c) For sub-projects in Cycle 1, identify/verify 1) the number of beneficiaries, 2) a
rough cost estimate for rehabilitation and operations and maintenance, and 3) the
expected impact (including land/asset acquisition and local paid unskilled
employment generation which should be maximized). All land and asset
donations are voluntary. In the very unlikely case that involuntary acquisition of
land or assets might be needed, the DRD union office must be informed and must
inform the World Bank and seek advice prior to the sub-project being approved.
(d) For sub-projects in subsequent years, discuss the design and options to implement
the village sub-project(s) as well as 1) the number of beneficiaries, 2) a rough cost
estimate (rehabilitation/investment and operations and maintenance), and 3) the
expected impacts (including land/asset acquisition and local paid unskilled
employment generation which should be maximized).
(e) The TFs and the DRD township engineer schedule the survey and assist the
community with the preparation of the proposal (design, budget etc.) for the sub-
project.
(f) Outline a work plan for implementing the village sub-project.
187. The CF records the conclusions in minutes of the meeting, which the head of the VPSC
and the CF both sign.
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188. The VPSC completes any required and applicable safeguards screening form with help
from the TF and village volunteers (see safeguards screening form). The TF along with the DRD
township engineer ensures safeguards have been properly screened and mitigation measures
planned, as needed.
189. The TF in consultation with the VPSC and village volunteers prepares an ECoP or EMP,
as applicable.
190. The VPSC, village representative of the VTPSC and CFs/TFs discuss land/asset
acquisition and any other impact on livelihoods with affected households, if applicable. The
village sub-project is designed in such a way to avoid or minimize land/ asset acquisition and
any other negative livelihood impacts.
191. The TF assists the VPSC to prepare the technical design and cost estimate of the village
sub-project. Cost estimates should include local voluntary community contributions, including
in-kind or cash. Current township unit cost tables (updated by TFs working with the DRD
township engineer) are made available to assist with the preparation of the sub-project budget.
192. The TF and VPSC prepare the procurement plan.
193. The TF and village volunteers prepare the sub-project proposal using the sub-project
proposal format, including a design, bill of quantities, budget, procurement plan, etc.
194. The TF assists the community to prepare and collate the village sub-project proposal
documentation.
195. Sub-project proposals should include the following items as attachments:
(a) Safeguards screening form;

(b) Land/asset donation letter, if applicable;
(c) Procurement plan;
(d) Civil works documents (bill of quantities, etc.);
(e) Engineering and technical design, including any environmental and social
survey/database/assessment, if available;
(f) Labor (skilled and unskilled), machinery, material and tools requirements;
(g) Implementation schedule and technical supervision plan;
(h) Operation and maintenance (O&M) plan, including itemized and costed O&M
inputs over three years; and
(i) Sub-project budget.
196. The project has made standard designs available for sub-projects, and it is
recommended these be used with necessary adjustment, when appropriate.
197. Labor on sub-projects is paid, though some can be voluntarily donated by villagers as
well. Men and women receive equal pay for equal work. Anyone in the village who wants to
work on the sub-project can, as long as he or she is at least 15 years old. If many people want to
work, the work needs to be spread among all who wish to work. Committee members and
volunteers can work on sub-project construction and be paid for this work the same as other
villagers. In special cases, such as when skilled labor(ers) is not available in the village, skilled
labor(ers) can be hired from elsewhere and paid the local going rate. This must be in the plan
and budget of the sub-project. Hiring of skilled laborers and their wage payments must be
overseen by the VPSC and its Procurement Sub-committee, and payments should be made by
the village finance clerk.
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3.2 ENVIRONMENTAL CODES OF PRACTICE AND ENVIRONMENTAL

MANAGEMENT PLANS
198. The project applies the Environmental Codes of Practice (ECoP) as the main
environmental management tool to manage and mitigate potential negative environmental
impacts for all sub-projects; the project also requires preparation and implementation of
Environmental Management Plans (EMPs), as applicable for specific investments (details
below). The ECoP and EMPs contain the specific, detailed and tangible measures to mitigate the
potential impacts of each type of eligible sub-project. Additionally, the EMPs include selective
feasible monitoring activities to observe the efficiency of the applied mitigation measures and
ultimately the sustainability of investments. The ECoP and EMPs cover rehabilitation and minor
extension works as well as new construction.
199. ECoP are utilized for all sub-projects with the exception of the below, which require
preparation of an EMP:
(a) Any sub-projects that trigger the need for an EMP in the safeguards screening
form (PC13);
(b) Any bridges longer than ten (10) meters;
(c) Any new construction of a deep well water,2 irrigation, water supply network,
small-scale wastewater treatment facility or small scale solid waste management
(including health waste) facility;
(d) Any rehabilitation of historical buildings or infrastructure with cultural property;
(e) Any sub-projects in protected areas;
(f) Any sub-projects greater in value than MMK 40,000,000 (including community
contribution and/or other sources of financing).
3.2.1 ENVIRONMENTAL CODES OF PRACTICE
200. The Environmental Codes of Practice (ECoP) are prepared as follows:
(a) The TF assists with the integration of the relevant code (environmental and social
specifications) into the technical design of the respective sub-project.
(b) S/he also focuses on explaining the use of ECoP to the VTPSC and VPSC and who is
responsible for the adoption of the relevant code at the beginning of sub-project
preparation.
(c) The VPSC with the help of the TFs is responsible for ensuring that ECoP measures
are implemented for each sub-project as agreed.
(d) The DRD union office monitors and supports the application of the ECoP as
necessary.
201. The ECoP are used throughout the project cycle as follows:
2 Deep well are located at minimum 200 ft
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Steps ECoP preparation, adoption, and implementation

Second Village Planning As plans for specific sub-projects begin to develop at the village level,
Meeting the TF introduces the main objective of the ECoP as a mitigation tool to
prevent negative environmental impact of proposed sub-project.
Sub-project Preparation The TF ensures that the specific section(s) of the relevant ECoP is
prepared and adopted for the specific sub-project technical design. The
inclusion of the relevant codes strengthens the design of sub-projects
when properly adopted.
Sub-project The TF, assisted by the DRD township engineer if needed, ensures that
Implementation the relevant ECoP provisions are adequately followed by selected
workers/villagers and/or contractors recruited by the VPSC. If
construction is done by a community using CFA, the community with the
help of the TF is responsible for implementation of any mitigation plan
and measures. If construction is done by a contractor, the contractor is
responsible for ECoP implementation; and the contract will specify the
relevant tasks and responsibilities. Supervision of ECoP implementation
will be done by the VPSC, with the help of the TF and the DRD township
Engineer as appropriate.
Operations and The TF and the DRD township engineer provides support to the village
Maintenance (O&M) O&M Sub-Committee regarding continued adherence to the relevant
ECoP once works are finalized and the sub-project enters its operation
phase. Relevant line agencies (Ministry of Health; Ministry of
Environmental Conservation and Forestry) provide support as required
in agreement with national legislation.
202. The DRD township office monitors the implementation of ECoP and reports on this in its
quarterly progress report for inclusion in the MIS.
203. Social audits and technical audits review the implementation of the ECoP.
204. The DRD union office reports on the adoption and implementation of the ECoP in its
annual progress report.
(a) The report contains an analysis of the application of this environmental

management tool, including issue(s) that have arisen and/or problem(s)
encountered and measures or actions undertaken in solving the problem(s).
205. The DRD union office updates the list of eligible sub-projects in the ECoP to cover any
additional types of sub-projects, as required.
3.2.2 ENVIRONMENTAL MANAGEMENT PLAN
206. An Environmental Management Plan (EMP) is prepared, if required, and includes the
following information (see EMP format):
(a) Potential adverse impacts: identify and summarize the anticipated adverse effects;
(b) Mitigation measures: describe each measure with reference to the impact(s) it is
intended to deal with. As needed, describe detailed plans, designs, equipment
descriptions, and operating procedures;
(c) Monitoring activities: identify what information (environmental impact indicator)
will be collected, how, where and how often in order to identify any adverse
impacts during and/or after sub-project implementation; determine how effective
the mitigation measures are, and if better mitigation or additional investigation of
38
effects may be needed. These activities use simple methods (visual observations
and/or tests) that the villagers can undertake themselves;
(d) Responsibilities: define the people/groups who will carry out the mitigation and
monitoring activities, as well as to whom they report;
(e) Implementation schedule: specify the timing, frequency and duration of
monitoring activities, and links these to the implementation schedule of the sub-
project. Also indicate if there is need of training to carry out EMP responsibilities,
equipment or supplies;
(f) Cost estimate: specify the estimated cost for the mitigation measures and
monitoring activities. Funds to implement the EMP may come from the sub-
project grant, the community, or both.
207. The DRD township office monitors the implementation of any EMP in its quarterly
progress report for inclusion in the MIS.
208. Social audits and technical audits review the implementation of any EMP.
209. The DRD union office reports on the implementation of EMP in its annual progress
report.
(a) The report contains an analysis of the application of this environmental

management tool, including issue(s) or problem(s) in the field and measures or
actions undertaken in solving the problem(s).
3.3 VOLUNTARY LAND/ASSET DONATION
210. Community members who benefit from a sub-project may donate land and other private
assets to the sub-project voluntarily without compensation. Voluntary donation is an act of
informed consent and affected people must not be forced to donate land or other assets with
coercion or under duress, or be misled to believe that they are obliged to do so.
211. If during the first step of sub-project preparation, the VPSC confirms that the village sub-
project requires acquisition of land or assets, the VPSC, village representative of the VTPSC,
CFs/TFs and village volunteers meet the affected household(s) to:
(b) Inform the husband and wife that part of their land or other asset would need to
be acquired for the sub-project;
(c) Inform them that they have the right to refuse to donate and may instead receive
compensation at replacement cost though compensation cannot be paid from the
block grant or by the Government;
(d) Inform them that a grievance handling system is available to them through which
they can also express their unwillingness to donate;
(e) Discuss measures to avoid or minimize impact through adjusting the village sub-
project design;
(f) Ask them whether they willingly agree to donate land or other assets without
compensation. If they do not give their consent, confirm that the village is able to
compensate with an acceptable amount;
(g) Confirm with the household that the following criteria are met:
(1) The household is a direct beneficiary of the sub-project;
(2) If the predominant source of livelihood for the household is land-based (e.g.,
farming):
 The total size of productive land owned by the household is more than
300m2;
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 The impact is less than five percent of the total productive land owned by
the household;
 The impact on assets or personal investments (e.g., buildings, barns,
standing crops, vegetables, fruit trees, etc.) is less than five percent of the
total assets owned or expected income from such investments.
(3) If the predominant source of livelihood for the household is non-land based
(e.g., trade, commerce, wage labor, etc.):
 The household owns the land;
 The remaining land is sufficient for the household to continue to live in
the current location or carry out any activities that have been
undertaken on the land;
 The impact on assets or personal investments (e.g. shops, storage, trees,
structures, etc.) is less than five percent of the total assets owned or
expected income from such investments;
 The household does not have to be physically relocated.
212. If the household agrees to donate land or assets voluntarily, the head of the VPSC and
both the husband and wife sign the minutes and voluntary asset donation form in two originals.
(a) The household keeps one original, signed form.

(b) The CF ensures that the second original voluntary donation form and minutes are
filed.
213. The VTPSC receives sub-project files upon completion of the sub-project and keeps
these, including the form for voluntary land/asset donation, for review by DRD and the World
Bank.
(a) Information is also entered into the MIS.

(b) The DRD township office reviews the first two sub-projects in each village tract
(Cycle 1) that require voluntary donations and clears them prior to
implementation.
214. Then implementation of the sub-project may commence.
(a) The Monitoring Sub-Committee consults with the affected household(s) and
reports on the implementation of voluntary donations in the monthly progress
report.
(b) As part of its supervision responsibilities, the DRD township office interviews
villagers randomly to verify whether voluntary donations have been carried out
properly.
(c) Any shortcomings with the implementation of voluntary donations are handled
through the grievance handling system.
215. The annual social audit reviews the experience with voluntary donations undertaken
during the completed cycle.
4 SUB-PROJECT CONSULTATION AND PROPOSAL REVIEW
4.1 FOURTH VILLAGE MEETING (AT SUB-PROJECT SITE)
216. Objective. Consultation with villagers to ensure quality and acceptance of the sub-
project before starting construction works
40
217. Participants. The VPSC should organize with help of VTPSC, CFs/TFs, and village
volunteers. All village members are invited.
218. Duration. Maximum half day.
219. Process. The VPSC should organize a consultation at the village sub-project site for
villagers, with the VTPSC, CFs/TFs and village volunteers:
(a) The VPSC presents the final sub-project documentation, including the draft design.
(b) The VPSC seeks inputs from villagers regarding whether or not all potential
negative impacts are adequately covered and mitigated and whether further fine-
tuning may be possible to enhance positive benefits.
(c) The VPSC confirms with villagers that adequate measures are incorporated in the
design to meet the special needs of affected people and the poor.
(d) The VPSC confirms with villagers the voluntary village contributions to the sub-
project.
(e) The VPSC informs the community of estimated O&M costs, including both routine
and periodic maintenance, and the scope of the sub-project’s positive benefits.
(f) The VPSC verifies villagers’ continued interest in the selected sub-project and
commitment to O&M after completion, including the payment of user fees, if
appropriate.
220. The CF assists the VPSC to prepare minutes of the consultation, which the head of the
VPSC and the any representatives of the VTPSC present both sign along with the CF.
221. The VPSC and TF with the help of village volunteers incorporate inputs from villagers in
the final village sub-project documentation.
222. The VPSC submits the final sub-project documentation to the VTPSC.
4.2 VILLAGE TRACT PROJECT SUPPORT COMMITTEE REVIEW OF SUB-PROJECT

PROPOSALS
223. The VTPSC reviews the village sub-project documentation using the sub-project
proposal review form and approves the sub-project and its budget.
(a) If the VTPSC considers the documentation incomplete, it requests the VPSC to
complete it as needed.
(b) The VTPSC may request assistance from the relevant line ministry township staff
(through the DRD township office) to assess the technical feasibility and
appropriateness of the sub-project.
(c) The CF records the approval of the VTPSC in the minutes of the VTPSC review
meeting.
224. The VTPSC may have selected a sub-project from its plan for financing from its annual
block grant allocation that benefits directly more than one of its villages. In this case, the TF
prepares the sub-project in consultation with the respective village representatives of the
VTPSC, VPSC, and village volunteers.
(a) The sub-project preparation steps described above apply, as relevant.
41
225. A sub-project may cover more than one village tract within the township in exceptional
cases.
(a) The VTPSCs agree the apportionment of the sub-project cost between their annual
tract allocations. Rules on maximum size of sub-projects and prior review for any
sub-project costing 40,000,000 kyat or more apply.
(b) In case of a dispute, the TPIC supports the VTPSC in reaching a mutually agreeable
solution.
(c) The TFs and village volunteers of all villages involved assist the relevant VPSCs in
preparing the sub-project documentation.
226. The CFs and especially the TFs will be assisting villages with procurement and
construction supervision. CFs/TFs need to stay overnight in villages and are often “hosted” by
local families. This is often necessary and is encouraged. In order to lessen the burden on the
CFs/TFs and these host families, a per diem of 3,000 kyat per night is provided to each CF or TF
when he or she spends the night outside his or her duty station in a village from which it is not
feasible to return to his or her duty station on the same day.
5 SUB-PROJECT IMPLEMENTATION
227. As part of the preparation for the sub-project implementation, the Training of
Facilitators Course Part 2 (TOF2) is provided at township level. In the first year of project
implementation in a township, the TOF2 is followed by a two-day-community training provided
to all elected community members. Besides the operations manual, there is a community
training manual that serves as basic training material.
5.1 COMMUNITY PROCUREMENT
228. Community procurement refers to procurement led by communities and includes the
purchasing of construction materials, management of the transportation of goods, contracting
and supervision, and payment of wages.
229. The community procurement procedure can be divided into two categories: (1)
Procurement of Civil Works; and (2) Procurement of Goods.
 For civil works, communities can use (i) community force account (e.g. using project
funds to hire community members to provide labor); or (ii) contracting (e.g. using
project funds to hire contractors to carry out works).
 For the procurement of contractors as well as of goods, communities should generally
use the competition/shopping method, but in exceptional circumstances can also use
direct contracting or single source selection.
230. After conducting the village and village tract level meeting to decide the sub-project type
and block grant allocation, a separate meeting is held to decide whether to implement the sub-
project using community force account, contracting, or a combination of the two. Meeting
participants must sign Form P-1 “Meeting Minutes for Selection of Sub-Project Implementation
Method,” which must be submitted to the DRD township engineer by the CF or TF to approve
the sub-project.
231. The DRD township engineers and TFs have to make the design and calculate the detailed
cost estimates based on the implementation method selected and recorded in meeting minutes,
and request TPIC for approval. After receiving approval from the TPIC, the Village Procurement
Sub-Committee (PSC) draws up the procurement plan with the assistance of facilitators. The
42
method to be used for purchasing of the materials in the item list, and procurement of a
contractor should be in line with decision points in Form P 1 and follow the guidelines for
procurement method in a timely manner.
5.1.1 PROCUREMENT SUB-COMMITTEE AND ITS RESPONSIBILITIES
232. The PSC should be made up of two or three members, including at least one woman.
One committee member, who is able to read and write, should be appointed as record keeper. If
one sub-project includes more than one village, there should be a total of four to six sub-
committee members, with equal representation from each village, but with a single record-
keeper and head. The responsibilities of the PSC are as follows:
a) Drafting the procurement plan, taking into account engineer’s estimates;

b) Using quotation forms, collect price for goods, evaluate, and select the best;
c) Procurement of goods, skilled labor and contractors;
d) Arrangement of agreement with suppliers and contractors;
e) Assisting the Finance Sub-Committee in the making of payments for goods and
contractors, according to the procurement plan;
f) Documentation: i) filing all documents relating to procurement; and ii) sending of
original documents to head of the DRD township office after completion of each sub-
project with assistance of CF; and
g) Recording and filing the meeting minutes relating to procurement.
5.1.2 PROCUREMENT PLAN
233. The Procurement Plan (PP) is arranged in advance for the procurement of goods,
contractors, and skilled labor. It requires prior inputs from engineers to estimate quantities
with the assistance of the CF/TF. The PP can be updated as needed, depending on the nature of
the work and availability of construction materials. The PSC can reduce the frequency of
revision of the PP by the grouping of similar goods. Generally, the PP includes the type or
category of skilled labor and goods, estimate of costs, possible commencement date and
procurement method. With inputs from TFs, the PP should be drawn up in a timely way to
facilitate a smooth procurement process.
5.1.3 COMMUNITY FORCE ACCOUNT
234. Community Force Account (CFA) means community management of the whole or parts
of sub-project implementation. In CFA, the community takes responsibility for the successful
completion of the sub-project and the proper use of funds. The DRD township engineer and TF
must check the adequacy of construction materials, technical skills, and labor. The DRD
township engineer and TFs have to approve and sign Form P1 for completeness of terms and
conditions in CFA whenever the community chooses the CFA method.
235. In implementation of the CFA method, the community has the duty of purchasing and
collecting construction materials. In this activity, the community has to use the shopping
method to ensure transparency. Payment vouchers should be kept, and the PSC should work
with the Finance Sub-Committee in making preparations for the financial audit. In
implementation of CFA method, the PSC has to complete Form P7 for expenditure of goods after
finishing the procurement of every item. Since the budget included in the PP is estimated, it will
usually differ from the actual expenditure.
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5.1.4 CONTRACTING
236. Contracting means that sub-project implementation is done by hiring an outside

contractor for a fee, for the whole or part of sub-project implementation. The term contractor
means an individual, company, or group of skilled laborers, such as carpenters and masons.
Contractors can also choose to employ villagers, where appropriate. The PSC decides the
procurement method by comparing the lump sum cost of a small-scale contractor or group of
skilled laborers, and daily wages of labor with inputs and assistance from the TF. If the
community is not capable of full or partial implementation of sub-project construction, Form P1
must provide details about the contracting option, with cost estimates provided by the engineer
and TF.
237. For transparency in contracting, the PSC must use the competition system for selection
of contractors. In this system there must be at least three candidate groups/suppliers.
However, the competition system can be waived, if there are no candidates for contracting, and
the proposed price does not exceed the engineer’s estimate or local market price. In this case,
the PSC can choose one or more contractors with the appropriate budget without using the
competition system. The reason for using contracting method without competition should be
explained in Form P4.
238. To procure the qualified contractor and skilled groups, the PSC advertises using Form
P3 ” Invitation for Quotation” or informs the respective groups. At least one week should be
allowed as a deadline to receive all proposals, which have to be evaluated by consensus using
Form P4. Criteria for selection of contractor or skilled labor include relevant work experience,
trustworthiness, and technical skills.
239. After the evaluation, the PSC has to inform the winner, negotiate the terms and
conditions of the agreement, including scope and nature of the work, and sign a contract. The
scope of work and quantities agreed in the final contract should not exceed the engineer’s
estimates. If the contract exceeds engineer’s estimates, the PSC must inform the DRD township
office via facilitators and request approval.
240. In the case of contracts for small works, Form P6 shall be used. Responsible persons of
both parties and each witness have to sign the agreement. It is not allowed to create another
form. If additional information is required for inclusion in the agreement, one or more clauses
will be added under the main agreement, or attached as a separate sheet. Members of the PSC
or the evaluation team are ineligible to compete in contracting.
5.1.5 SHOPPING METHOD
241. In sub-projects using CFA, all construction materials included in the PP must be
procured using the shopping method. Although the shopping method requires a minimum of
three quotation forms, the PSC should try to identify more than three suppliers. If there are
only three quotations and all proposed prices are higher than the local market price or
engineer’s estimates, direct contracting for goods method can be conditionally used. However,
the reason for doing so must be given in Form P4.
5.1.6 INVITATION FOR QUOTATION
242. Goods scheduled in the PP must be grouped by type and availability requirement and
advertised for quotation two weeks in advance. The invitation for quotation and associated
procurement items are specified in Form P3 and posted on the village information board as well
as sent to suppliers/markets. Inquiries regarding the price of goods can be made by direct visit
44
to the intended suppliers or by telephone. For telephone inquiries, fees can be charged under
petty cash according to the financial management guidelines. The quotation form should state
required item name, quantity, contact person, place, and deadline of application, etc. Deadline
for application should be at least one week after the advertising date.
243. Any interested party should provide a price offer for each item and the total cost in
Form P3 and submit it to the contact person not later than the deadline. The PSC must inform
the supplier in advance regarding the fixed price period (i.e. it is fixed for a month or up to
payment date). Members of the PSC or evaluation team are not eligible to provide quotations.
5.1.7 QUOTATION EVALUATION
244. At the time of the deadline, the PSC invites related committees, suppliers and interested
parties to open and select the proposals in the presence of those people. In general, selection is
based on lowest price proposal. But if it is found that quality of goods or other services does not
match the requirements, another proposal could be selected. If the individual price of each item
does not add up to the total price, selection has to be based on the price of each item. The
procurement record keeper has to enter in Form P4 the list of proposals received in order of
price, starting with the lowest price. Discussion points of participants at this meeting should be
taken as meeting minutes. If the PSC did not choose the lowest priced proposal, the reason for
such should be given in Form P5. The winning supplier’s prices cannot be re-negotiated or
revised.
5.1.8 PURCHASE ORDER
245. After selection of the winning quotation, the required goods are specified in Form P5
“Purchase Order, “ and the purchase order is sent to the winning supplier. The PSC can order
the goods included in the quotation form or proposal, but goods not included in the winning
proposal cannot be included in the purchase order. The PSC must send the purchase order
within the required date. The price of goods in the purchase order must be the same as the
proposal price, which cannot be revised. If the PSC wants to order the goods in a batch, it is
based on price of each item for the required amount. When the quantity and price of goods in
purchase order is approved, the PSC can receive a cash advance from the Finance Sub-
Committee if necessary, according to the purchase order’s value.
246. If any cause should arise to revoke or cancel the purchase order (e.g. dispute between
both parties or late distribution by supplier), the PSC may send a letter to the supplier through
CFs/TFs, cancelling the purchase order. In the case where additional goods of similar type are
required, the PSC can make direct purchasing for 10% value of each item or total cost from the
original winning supplier. In such cases, there is no need for another invitation of quotation
form or advertisement.
5.2 FINANCIAL MANAGEMENT
247. The village tract “core” Finance Sub-Committee (FSC) consists of two or three members:
head, bookkeeper, and another member.
(a) The head and bookkeeper of the FSC should be able to read and write and the
bookkeeper must be numerate.
(b) The head of the FSC is elected by the Village Tract Project Support Committee
(VTPSC).
(c) The bookkeeper is nominated by the VTPSC, if the member accepts the
responsibility.
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(d) Each village’s VPSC also select a financial clerk who can read and write and is
trusted by the villagers, and these finance clerks are also members of the FSC.
(e) The FSC balances the village tract accounts, including transactions on all village
sub-projects, monthly.
(f) The bookkeeper records all transactions on block grants.
(g) As much as possible, the FSC/village finance clerks make cash payments (e.g., to
laborers) on the same day that funds are withdrawn and cash received.
(h) All cash transactions/payments by the FSC/finance clerks must be witnessed by
members of the VTPSC or Village Project Support Committee (VPSC).
(1) The head of the FSC informs the VTPSC and village tract administrator in
advance of large cash transactions.
248. The FSC opens an account at a local bank (Cycle 1 only).
(a) Authorized signatories are the head of the VTPSC, the head of the FSC and one
other member of the VTPSC.
(b) Withdrawals require two signatures: the head of the FSC and one of the other two
signatories.
249. The FSC makes all payments to the VPSC and usually to its finance clerk related to
village sub-projects.
(a) Contracts are signed by the head of the VPSC and the head of the Village
Procurement Sub-Committee (PSC) and include a payment schedule.
(c) The head of the PSC authorizes payments according to the sub-project plan and
any implementation/payment schedule, including for laborers.
(1) The finance clerk verifies and makes payments according to the payment
schedule and budgeted amounts.
(2) If a sub-project benefits directly more than one of the village tract villages,
the heads of the VPSCs of the benefiting villages jointly authorize payments.
250. The FSC holds petty cash for incidental expenses (calculation and use block grants).
(a) The FSC will make arrangements to withdraw the eligible percentage of the block
grant in advance, usually four percent.
(b) It keeps petty cash in a safe place.
(c) It keeps receipts for all petty cash transactions.
(d) It does a petty cash count weekly (spot checks of petty cash can be carried out at
any time, by the DRD township office, the World Bank or the TTA team).
251. The FSC prepares a financial report, and the VTPSC submits it to the DRD township
office along with its regular periodic report.
(a) The FSC posts a copy of the monthly financial report on the village tract notice
board and in other locations, in villages, as appropriate.
252. Copies of all supporting planning and sub-project documentation are provided to the
DRD township office (through the VTPSC) at the end of each annual cycle. During a cycle only
those few documents, which must be approved at the township level before moving to the next
step are submitted earlier.
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5.3 MONITORING AND SUPERVISION
253. Based on the village sub-project work plan outlined at the initial technical meeting, the
Village Monitoring Sub-Committee (MSC) monitors progress in implementing the village sub-
project.
(a) If a village sub-project benefits directly more than one village or covers more than
one village tract within a township, MSCs of the benefiting villages will jointly
monitor implementation progress.
254. During construction, normally on a monthly basis, the MSC reviews actual vs. planned
activities using a village sub-project monitoring form and submits the form to the VTPSC.
(a) The MSC also monitors progress in implementing any environmental and social
mitigation measures.
(b) Monitoring reports are publicly displayed on the village notice board.
255. The VTPSC prepares a monthly consolidated report for all village sub-projects under
implementation and submits it to the DRD township M&E officer.
256. With the assistance of the village volunteers, the MSC should organize a village
monitoring meeting about every two months or when major milestones have been achieved.
(a) Every effort is made to ensure that as many villagers as possible attend the
meeting.
(b) The MSC updates villagers on all aspects of implementation progress
(procurement activities, percent of works undertaken, number of person days of
work and wages paid, expenses to date and cash on hand, women’s involvement,
safeguards and mitigation measures, etc.).
(c) Villagers are given the opportunity to discuss progress and raise any concerns
they may have regarding village sub-project implementation.
257. The DRD township engineer, TTA team and facilitators regularly monitor sub-projects.
The DRD township engineer and DRD township M&E officer undertake regular supervision
visits to the village sub-project sites. They will prepare and post a brief note to the file after
completion of every visit, using a standard table/matrix format.
(a) Visits are scheduled taking account of the village sub-project implementation
schedule and work plan.
(b) Visits serve to review progress in implementing the village sub-project and any
environmental and social mitigation measures, and to make recommendations/
suggest potential solutions to problems faced.
(c) The DRD township M&E officer incorporates the findings from the supervision
visits into the quarterly township progress report. Brief summary on safeguards
management implementation (e.g. on ECoP supervision) should be included in
these quarterly progress reports.
(d) The DRD township engineer undertakes additional visits to advise the VPSCs on
technical issues including safeguards management aspects, as requested.
258. The DRD union office staff and relevant Union-level Technical Assistance (UTA)
consultants undertake regular supervision and monitoring visits to townships, village tracts and
village sub-project sites.
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(a) Visits serve to assess project implementation progress across the village tracts in a
township.
(b) The DRD union office endeavors to ensure that experiences from other townships
are shared in order to enhance implementation quality.
(c) The DRD union office staff and UTA consultants provide technical support to the
DRD township office staff and VTPSCs, as needed.
6 SUB-PROJECT CLOSING
259. Sub-projects can be closed for two reasons: 1) the successful completion of activities; or
2) the termination of activities due to force majeure or breach of contract. The procedures for
sub-project closeout vary accordingly.
6.1 SUCCESSFUL COMPLETION OF SUB-PROJECT ACTIVITIES
260. The VPSC informs the VTPSC immediately upon sub-project completion that the sub-
project activities have been carried out. Completion means that the sub-project has been
constructed according to the design and the funds allocated have been utilized for this purpose
and the appropriate finance (F6) and inspection completion forms (PC7) have been completed
and submitted. Though the target is for all sub-projects to be completed by the end of July,
there may be delays in some cases. During village planning and during sub-project preparation
and design, villagers must deliberate and decide if they can complete their sub-project before
the beginning of the rainy season. Each sub-project proposal includes an implementation
schedule.
261. Villagers, who plan to complete construction after the end of the rainy season, can do so
without penalty. Townships are allowed flexibility with scheduling. The early steps of the
following cycle might have to begin while some villages are still completing its sub-project. But
no village should feel pressured to carry out construction during the rainy season, if it cannot.
Construction during the rainy season involves greater risks to the quality of construction,
increased costs for materials, and sometimes even increased safety concerns. A grievance can
be filed if it is felt that undue pressure is being exerted to rush sub-project construction.
262. The VPSC, village volunteers, VTPSC and TF conduct a sub-project site visit to verify that
all sub-project activities have been carried out as agreed to, in line with the approved design, or
amended during the course of the sub-project.
(a) The MSC completes a sub-project final inspection form upon completion of the
meeting.
(b) The VTPSC and VPSC both sign the final inspection completion form (PC7).
263. Within 15 days of the final inspection, the FSC with the village finance clerk and the
VPSC prepare a final financial report indicating the total amount of funds received and
expended on the sub-project.
264. The VTPSC submits the final financial report and sub-project final inspection form to the
DRD township office for the sub-projects constructed in the village tract in the year in question.
When all sub-projects are constructed/completed, the village tract can move on to the final
steps of the cycle, to the social audit.
(a) The DRD township finance officer verifies that the funds accounted for by the FSC
are consistent with the approved village sub-project budget.
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(b) The DRD township M&E officer enters the sub-project final inspection form into
the MIS and includes information in the upcoming implementation progress
report.
265. After the union level multi-stakeholder review, at the completion of the cycle, the DRD
union office will prepare a hand-over note and send it to all relevant departments with key
findings and recommendations.
6.2 SUSPENSION AND TERMINATION OF SUB-PROJECT ACTIVITIES
266. If a sub-project involves contracting out the work, the VTPSC may close a contract in
exceptional circumstances when a condition of force majeure arises or if a material breach of
contract takes place.
(a) Procedures and specific actions related to suspension or termination are included
in the contract that the VPSC signs with the contractor.
267. If force majeure or material breach of contract arises, the VTPSC and VPSC assisted by
the TF and village volunteers assist with resolving the situation, determining the corrective
actions needed and a timeframe for resolving the problem.
(a) The VTPSC consults the township engineer on proposed corrective actions.
(b) The VTPSC oversees any amendments to the contract, implementation schedule or
other sub-project documents.
(1) The VPSC completes and the TF co-signs a sub-project amendment and
submits it to the DRD township M&E officer for entering it into the MIS.
(2) The MSC monitors and reports on the implementation of the corrective
actions.
268. If the situation is too severe or the corrective actions are ineffective, the sub-project may
be suspended or terminated.
(a) The VTPSC consults with the Technical Facilitator on whether the objective of the
sub-project can still be achieved.
(1) VTPSC suspends activities and determines a timeframe within which a
decision to resume activities or terminate the sub-project is to be taken.
(2) If the objective can no longer be achieved, the VPSC, in consultation with and
on the advice of the VTPSC and the TF, terminates the sub-project and
attendant contracts.
(3) In such an exceptional case, the unspent funds are carried forward into the
next year’s village tract block grant allocation.
269. The VPSC completes the final sub-project inspection form (PC7) and submits it to the
VTPSC which in turn completes the sub-project final financial report (F6) and submits it to the
DRD township M&E officer to enter into the MIS.
7 SOCIAL AUDIT
270. Objective. The purpose of a social audit is to review experience from completed cycle,
draw lessons, and make recommendations for next cycle, if applicable.
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271. As preparation of the sub-project closure and the social audit, the Training of
Facilitators Course Part 3 (TOF 3) is provided at the township level. The relevant training
material is a Social Audit Kit issued by the Union Secretariat, which provides further guidance
on how to conduct the social audit at the village level.
272. Participants. All villagers are invited. VTPSC and VPSC, finance clerk, village
volunteers. At least one half of the village households is needed for a quorum, ideally with equal
attendance by men and women.
273. Duration. Sub-project site visit will be around one to two hours, and half day for social
audit meeting.
274. An open, half-day meeting is held at the end of each annual cycle as soon as the sub-
project has been completed. If possible, a social audit meeting should be held in each village
where a sub-project has been implemented. If necessary for logistical reasons, villages might be
grouped together for a social audit meeting. It brings together villagers and members of the
VTPSC, VPSCs and other key project actors, such as finance clerks and village volunteers.
275. Prior to the half-day social audit meeting, VPSC should organize a site visit at the
completed sub-projects. Village volunteer, CF/TF and VTPSC should support the site visit. All
villagers are invited. The purpose of the site visit is for villagers to get better insight in the
completed sub-project, quality and appropriateness of the construction, and safeguards
questions.
276. The VTPSC, assisted by the VPSCs, CF and village volunteers, organize the meeting well
in advance.
(a) In consultation with the VPSCs, the VTPSC sets a date and time that is most
convenient to a diverse range of villagers (men and women from different ethnic
and social economic groups).
(b) The location of a social audit should be easily accessible for all villages in the tract
or group of villages.
(c) The VTPSC agrees who should facilitate the meeting. This can be any person in the
village tract who is widely respected and has the ability to facilitate a large
gathering.
(d) The VTPSC arranges for meals/refreshments and sanitary facilities. The cost for
refreshment and transport for social audits is funded by the DRD union office.
(e) The VTPSC can seek assistance from the DRD township office for organizing the
meeting, as needed.
(f) The VTPSC invites the TPIC, community-based groups and non-governmental
organizations working in the village tract to attend the open meeting as observers.
The meeting date, time and venue will be publicized, and the DRD township office
and DRD union office will be provided with this information in advance.
277. Prior to the meeting, the VTPSC, assisted by the CF/TF and village volunteers, prepares a
short annual report (using simple table format), summarizing the activities and achievements
during the cycle (what worked well or not so well) against the VTDP. The annual report should
include information on sub-projects, a review of any acquisition of land/assets that may have
taken place, a report on the involvement of women and ethnic and religious groups, a summary
statement of receipts and expenditures, and a summary of problems encountered and
grievances received and resolved as well as safeguards and mitigation measures taken (e.g.
health and occupational safety concerns), infrastructure quality and functionality, and O&M
arrangements.
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(a) The report is prepared in the local language(s).

(b) Copies of the report are made available to villagers upon request.
278. The agenda for the meeting includes:
(a) Presentation by the VTPSC on the preparation process of the VTDP, which includes
the selection process of the village sub-projects, activities and achievements, and
land/asset acquisition;
(b) Presentations on sub-project implementation, which include an overview by
leaders of the VPSC, finances (receipts and expenditures) by the FSC with village
finance clerks, procurement on purchase of goods, contracts, hiring of skilled labor
etc. by village PSCs, and on grievances and their resolution;
(c) Discussion and voting on villagers’/committee members’ satisfaction (“score
card”) regarding the project mechanisms, the capacity building/training they have
received, the implementation process, and sub-projects/results. Voting should be
by secret ballot;
(d) Open discussion in which villagers share feedback, make recommendations and
voice concerns on any aspect of the community project cycle and the annual
report;
(e) The VTPSC and the CF can decide to discuss any of the issues in greater detail in
small group sessions.
279. During the meeting:
(a) The VTPSC ensures that all population groups participate equally and that no
group dominates, with special attention to the active participation by women and
ethnic groups.
(b) The VTPSC, after consultation with the VPSCs, indicates: 1) which
recommendations to adopt and how; 2) which recommendations not to adopt and
why not; and 3) which to forward to the Township or Union level for
consideration.
(c) The VTPSC indicates the follow-up to the grievances raised.
(d) The CF and village volunteers take notes (using a standard table/matrix format for
taking minutes), in particular to record feedback, grievances, recommendations
(those to be adopted in the subsequent annual cycle and those not) and follow-up.
280. After the meeting, the CF assisted by the village volunteers prepares minutes of the open
meeting using the notes taken during the meeting.
(a) The VTPSC and VPSCs review and clear the draft minutes.
(b) Once finalized, the head of the VTPSC and the heads of the VPSCs sign the minutes.
(c) The minutes are publicly disclosed in all villages in the tract in local languages.
(d) Copies of the minutes are sent to the DRD township office within three days and
then to the DRD union office.
8 OPERATIONS AND MAINTENANCE
281. During the village sub-project preparation, the VPSC, assisted by village volunteers and
the TF, prepares an operations and maintenance (O&M) plan for each infrastructure item
repaired, rehabilitated, or built by the project, which:
(a) Outlines the operations and maintenance requirements.
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(b) Determines whether operations and maintenance requires any environmental or

social mitigation measures.
(c) Indicates who will be responsible for undertaking operations and maintenance
activities and their training needs.
(d) Itemizes specific operations and maintenance works and identifies needed
material inputs over 4 years and estimates the annual cost for each work item and
material input.
(e) Spells out how operations and maintenance activities will be financed and
determines which work items should be conducted and materials procured by
relevant township or line departments and which work items and materials will be
the responsibility of the village.
(1) Routine operations to run a system will be done by the Villagers (regular
clearing of water systems, operating an electric engine).
(2) Minor repair will be done by villagers. For example, replacing a tap in a
water system, repairing a pump, cleaning of roads and drain etc. with
equipment available in the village or Village Tract.
(3) Major repairs will be undertaken with support from Sector Agencies or by
using Village grants if the village includes them as a priority in the annual
planning process.
(4) Emergency repair. In case of any damage to a village infrastructure as a
result of an act of nature (not man made) community will seek support DRD
and other relevant agencies to undertake emergency repair.
282. The relevant township/government department(s) reviews the O&M plan as a sub-
project is being completed or has been completed and then again after a year of operations.
Training needs for O&M are also provided, with assistance from the relevant DRD township
engineer and relevant government line department(s).
(a) If the proposed activities, including mitigation measures, are inadequate, technical
staff will work with the VPSC to revise the O&M plan.
(b) The department also reviews its responsibilities and, if agreeable, confirms them
by co-signing the O&M plan.
(c) If the department is not able to accept the responsibilities assigned to it, it brings
the issue to the attention of the TPIC.
(1) As required, the DRD township office brings the issue to the attention of the
district and/or regional/state government through the DRD regional/state
offices to seek adequate resources for the relevant department to undertake
its operations and maintenance responsibilities.
(2) The DRD union office will also coordinate with line departments regarding
NCDD sub-projects and O&M requirements.
283. The village O&M Sub-Committee sets up a village O&M fund for the village sub-projects
supported in the village, depending on the type of sub-project rehabilitated or built.
(a) The schedule and form of contributions is posted on the village notice board.
(b) Contributions are discussed and agreed by those benefiting from the sub-project.
Contributions are voluntary.
(c) Households need to be able to afford the contributions.
(d) The VPSC advises and confers with the DRD township office if contributions are
insufficient to meet O&M costs.
284. The O&M Sub-Committee oversees the implementation of the O&M plan.
(a) The O&M Sub-Committee prepares an O&M implementation schedule.
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(b) The O&M implementation schedule should be posted on the village notice board.
(c) It should prepare short periodic monitoring reports.
Figure 2-1: Community Project Cycle (Stages and Steps)
9 GRIEVANCE AND ACCOUNTABILITY
285. Transparency and accountability are core components of the NCDDP. To this end, the
project has established a grievance handling mechanism (GHM). The goal of the GHM is to
strengthen accountability to beneficiaries and provide channels for input by project
stakeholders at all levels. It provides a mechanism that allows for the identification and
resolution of issues affecting the project, including misconduct of staff, misuse of funds, abuse of
power, and other improper behavior. By increasing transparency and accountability, the GHM
helps reduce the risk of corruption and serves as an important feedback and learning
mechanism for project management.
286. The GHM established under the NCDDP is accessible to all, including ethnic, religious,
and other special groups. The mechanism focuses not only receiving and recording complaints
but also on how complaints are resolved. The GHM is supported by an information campaign
and training program. Respected and trusted grievance focal points (one male and one female)
are elected in each village, who together form the Village Tract Grievance Committee, and
dedicated staff are assigned to handle grievances in each township and at the union level.
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9.1 PRINCIPLES
287. Project stakeholders are those who are likely to be directly or indirectly affected
positively or negatively by the project. Project stakeholders have, among others, the following
rights under the project:
(a) Right to information;

(b) Right against inappropriate intervention by an outside party;
(c) Right to a project free of fraud and corruption.
288. Any stakeholders (including villagers, contractors, project staff, authorities, and other
involved parties) may file a grievance if s/he believes one or more of these rights have been
infringed, or if any of the project’s principles and procedures has been violated.
289. Information about the grievance handling system, including contact details, is
distributed in all participating villages at public meetings through brochures/pamphlets in local
languages to the extent possible, posted at the village tract and on village notice boards, and
advertised on local radio and TV.
290. The GHM offers a number of different channels for filing grievances, including by letter
(using locked mailboxes and pre-addressed envelopes available at signboards in each project
village), by phone, email, Facebook and in person. Villagers and stakeholders themselves decide
on the best ways to file complaints.
291. Grievances are disclosed publicly, but no one who files a grievance is identified unless
they self-identify. The identity of all those who have filed grievances is treated with
confidentially.
292. There is no charge for filing a grievance.
293. The timeframe for responding to a grievance should not exceed four weeks from the
time the grievance is originally received. Grievances should be resolved within three months of
receipt.
294. Grievances are resolved locally, at the lowest level, if possible. If not, they are
“escalated” or sent up to a higher level within three months.
295. Anyone may convey comments or suggestions about any aspect of the project through
the grievance handling system. Comments, suggestions, appreciations, or questions should be
recorded and submitted to the grievance handling officer of the TTA team to provide an answer
in coordination with relevant project staff, ensuring that responses are in line with the
Operations Manual.
296. For any other inputs, e.g. reports of misuse of funds, breach of project policies, etc, the
following steps are followed.
(a) The DRD township grievance focal point fills in the Grievance Redress Form
(PC12) in the grievance folder.
(b) Serious grievances, including any allegations related to the misuse of funds, must
not be hidden. They must be reported to the Union-level Grievance Committee
immediately. It does not need to report to the TTA and/or the DRD township
office.
(c) All grievances are kept confidential. This requires village grievance focal points
and members of village tract grievance committees, as well as township and union
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level grievance committees to handle all cases with utmost confidentiality. Staff
and community members violating this confidentiality are subject to sanctions.
(d) The union level grievance committee reviews the list of grievances on a monthly
basis and decides on whether and how to follow up on them.
(e) The DRD union/township data entry staff enters the agreed action in the
management information system (MIS) and when and by whom action to resolve
the grievance was taken.
(f) The person assigned to handle grievances interviews the person who filed the
complaint. S/he documents the actions taken at the location where the complaint
originated and discloses the response or the resolution taken for the case.
9.2 PROCESS
297. The grievance handling process involves five steps: (1) intake, (2) sorting, (3)
verification, (4) action, and (5) follow-up.
Step 1: Intake
298. Grievances can be filed by anyone through a variety of means:
(a) Verbal communication to a village grievance focal point, Community Facilitator

and/or township grievance handling officer, DRD township counterpart or any
other relevant township officer(s);
(b) Using a grievance envelope and the suggestion box placed in each village. The
village grievance focal points and/or a Community Facilitator open the suggestion
box at least every two weeks. Each box is equipped with two locks, with one key
held by the CF and the other by the village grievance focal points. Grievance
envelopes from the box must be opened in front of at least two people, e.g. one of
the village grievance focal points and the Community Facilitator;
(c) Letters to the Village Tract Grievance Committee, DRD union and township offices,
and technical assistance teams at the township and union level;
(d) At meetings and monitoring visits;
(e) E-mails to dedicated e-mail addresses of the DRD union office and the Union TA;
(f) A dedicated phone line for the DRD union and township offices and the Union TA;
(g) DRD project website - http://www.cdd.drdmyanmar.org/;
(h) DRD social website - http://www.facebook.com/groups/cdd.myanmar.
299. Grievances can be expressed at any time to any level (e.g. grievances can be directed to
the village, village tract, township, or union level). If a grievance is related to village and/or
village tract, the complainant is encouraged to report to the township level. If a grievance is
related to township or union, it is suggested to report to the union level.
300. At the community level, the grievance focal point is the regular primary point of contact
for anyone who wishes to file a grievance. If an individual prefers, s/he can express a grievance
also to others involved in the project implementation, such as a village volunteer, Community
Facilitator, VPSC member, VTPSC member, or township engineer.
(a) All involved in project implementation receive dedicated training on how to receive
and handle grievances and how to keep them confidential.
(b) Township level staff receiving grievances complete the grievance form PC 12 and
submit it without delay to the assigned Township TA’s Grievance Handling Focal
point or Township DRD counterpart.
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(c) Union level staff receiving grievances complete the grievance form PC 12 and
submit it without delay to the grievance handling officer of the union-level
technical assistance team.
Step 2: Sorting
301. The TTA consultant, assigned to handle grievances, sorts grievances into eight
categories and enters these into the MIS:
Category 1: General inquiries

Category 2: Grievances regarding violations of policies, guidelines and procedures
Category 3: Grievances regarding contract violations/breach of contract
Category 4: Grievances regarding the misuse of project funds
Category 5: Grievances regarding abuse of power/intervention
Category 6: Reports of force majeure
Category 7: Suggestion
Category 8: Appreciation
302. For grievances received at the union level, the grievance handling specialist of the UTA
team records inquiries/grievances/reports of force majeure using these same eight categories.
(a) If the grievance relates to a village or village tract, the grievance handling
specialist of the UTA team forwards it to the respective grievance specialist of the
TTA team.
(b) If the grievance relates to a township or union issue, the grievance handling
specialist of the UTA team submits it to the DRD union office.
(c) The DRD union office decides on a course of action within 2 weeks of receiving the
information.
(d) In resolving the grievance, the DRD union office follows the steps below.
303. Once a grievance has been received, the DRD township office head and TTA team (team
leader and grievance handling officer) decide how to handle it based on the general procedures
and processes in this OM.
(a) They determine the timeframe within which the case should be resolved, with a
timeframe not exceeding three months.
(b) The grievance handling specialist of the TTA team records the timeframe and
agreed course of action and enters this data into the MIS.
(c) Grievances relating to a village issue are handled by the VPSC itself, by the
respective VTPSC, or by the village tract level grievance committee..
(d) Grievances relating to a village tract issue are handled by the township level
technical assistance team.
(e) The DRD township office head and TTA team (team leader and grievance handling
officer) determine who shall handle the grievance.
(f) For grievances that are of a serious nature (e.g. all allegations of fraud or
corruption, and potentially any grievance in categories 2 through 5), the DRD
township office head consults with the Union Grievance Committee for advice on
the appropriate action.
304. If the person filing the grievance is known, the grievance focal point communicates the
timeframe and course of action to her/him within two weeks of receipt of the grievance.
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Step 3: Verification
305. The staff handling the complaint gathers facts and clarifies information in order to
generate a clear picture of the circumstances surrounding the grievance.
(a) Verification normally includes site visits, a review of documents, a meeting with
the complainant (if known and willing to engage), VPSC members, and meetings
with those who could resolve the issue (including formal and informal village
leaders). For grievances related to the misuse of funds, it may also require
meetings with suppliers and contractors.
(b) For serious grievances received at the union level by phone or letter, the Union
Grievance Committee decides whether (i) to launch its own investigation; or (ii)
instructs the Township Grievance Committee to conduct initial investigation at the
location where the grievance/problem occurred. If the grievance cannot be
resolved by the Township Grievance Committee, it will be reported back to the
Union Grievance Committee for further actions.
306. Within the allotted time frame, the results of the verification are presented for
consideration of redress to the Village Tract Grievance Committee (for village issues) or the
DRD township office (for village tract issues).
(a) The grievance handler fills in the grievance form part C and submits it to the
grievance handling officer of the TTA team, who enters it into the MIS.
Step 4: Action
307. Though grievances can and should be handled in villages if possible, some will not be
able to be resolved at the village level. For village level issues which cannot be resolved quickly
at the village level, the Village Tract Grievance Committee reviews these grievances and any
grievances addressed to the village tract and determines the action to be taken and the action(s)
needed are carried out accordingly, fills in a grievance report and submits it to the township
level, where it is entered into the MIS.
308. If the actions cannot be carried out and or if the grievance cannot be satisfactorily
resolved in reasonable period of time (less than three months), the VTPSC refers the case to the
township level.
(a) The DRD township office head and TTA (lead specialist and grievance handling
officer) review the case and determine the action to be taken.
(b) Township level M&E or grievance focal has to enter the grievance within seven
days of receiving, and serious grievances must be entered immediately.
(c) Once action to resolve the grievance has been taken, the grievance handling officer
of the TTA records the action taken in the MIS.
309. The DRD township office head consults with the DRD union office in case no action can
be agreed or no resolution of the grievance is possible.
310. If the complainant is known, the grievance focal point (or person with whom the
grievance was filed) communicates the action to her/him. The grievance focal point seeks
feedback from the complainant as to whether or not s/he deems the action(s) satisfactory.
(a) If the action is considered unsatisfactory, the complainant may file a new
grievance.
57
(b) A new grievance on an existing case is handled at the next higher level from the
initial case.
311. The village project support committee communicates the action taken as a result of a
grievance to villagers at the next village meeting.
312. The VTPSC also reports on grievances received and resolved during the annual social
audit meeting at village tract level.
Step 5: Follow-up
313. During the social audit open meetings, villagers discuss the effectiveness of the
grievance handling system and gather suggestions on how to improve it.
314. In its regular supervision visits, the DRD union office and UTA assess the functioning of
the grievance handling system and undertake spot checks.
315. The DRD union office uses the MIS to provide a monthly snapshot of the grievance
handling system (number and category of grievances received and grievances resolved),
including any suggestions received and acted on.
316. The DRD union office uses the MIS to report on grievances in its quarterly
implementation progress reports and annual reports. Reports include information on grievance
resolution and trends (number of grievances received, cause of grievance, number of grievances
resolved, average time taken to resolve a grievance, percentage of individuals having filed a
grievance who are satisfied with the action taken, number of grievances resolved at the lowest
applicable level, etc.).
317. The DRD union office and World Bank review grievance monitoring data as part of
regular implementation support missions.
318. An independent audit of the grievance handling system (including the feedback of those
who have used it) is undertaken during the life of the project to assess the efficacy of the
mechanism and introduce improvements.
9.3 CODE OF CONDUCT
319. All persons involved in project implementation, including the DRD union and township
project staff, Union- and Township-level TA staff, independent technical consultants, VTPSC
members, VPSC members, community and Technical Facilitators, village volunteers, and finance
clerks, have an obligation to perform their duties honestly and constructively. They sign and
agree to abide by a code of conduct to:
(i) Observe the laws of the Republic of the Union of Myanmar;

(j) Honor the rights of project stakeholders (Grievance and Accountability);
(k) Ensure women, the poor, ethnic and religious groups present in the project
locations participate actively in and benefit from the project;
(l) Refrain from any corrupt or fraudulent activities including patronage/nepotism,
conflict of interest, diversion and/or embezzlement of funds, bribes, kick-backs,
and short-changing of village sub-project value;
(m) Report suspected cases of fraud and corruption;
(n) Respect local cultures and customary laws prevalent in project locations;
(o) Follow the provisions of the operations manual with diligence and efficacy;
58
(p) Report any problems arising from the work to the direct supervisor or next higher
level of authority.
320. With regard to community level activities, “fraud” is defined as the deliberate creation,
falsification, destruction, defacement, misrepresentation or concealment of any account, record
or document or any unauthorized use of the name VTPSC or VPSC or misuse of one’s position
within the VTPSC or VPSC with the intention of, for instance:
(a) Obtaining money, assets, services, information or advantage for the individual
concerned and/or his immediate family;
(b) Intentionally causing a loss or damage to the VTPSC, VPSC or another party (for
instance, contractor, individual employee, volunteer);
(c) Prejudicing VTPSC’s or VPSC’s rights, position or reputation, or those of another
party;
(d) Corrupt or dishonest practice in the course of VTPSC or VPSC business (for
instance, awarding tenders in return for favors).
321. Furthermore, project implementers adhere to specific obligations:
(a) VTPSC members: adhere to the obligations of the block grant agreement.
(b) FSC members: strictly follow the provisions for the financial management of block
grants.
(c) VPSC members: ensure that no sub-project involves forced labor or child labor and
that contractors respect basic social rights and working conditions.
(1) No child under the age of 15 should work on the construction, rehabilitation
or maintenance of a sub-project.
(d) PSC members:
(1) Are not allowed to participate in a procurement process if their immediate
family member or a close personal contact have any financial or other
interest in a contractor being considered for a procurement contract. If this
situation arises, another village project support committee member
temporarily replaces her/him on the PSC. Village committee members,
including grievance focal points, village volunteer, finance clerk, are not
allowed to take a contractor job on sub-projects. If they wish to take a job
on sub-projects, they must resign from the committees.
(2) Must reject quotations from contractors (or terminate orders with them) if
it is established that the contractor involved has engaged in corrupt,
fraudulent or collusive practices.
(3) Must never use their position for personal gain or solicit or accept
gratuities, favors or anything of monetary value offered to them by
contractors/suppliers.
322. A simplified Code of Conduct, based on the above, which is more readily understood by
villagers, has been prepared with “5 Do’s and 5 Don’ts.” This is utilized in the village orientation
meetings. The following is the simplified Code of Conduct:
Do’s
1. Be honest and responsible in your job.
2. Be open and transparent in your actions.
3. Observe the laws of Myanmar.
4. Observe the rights of everyone.
5. Respect the community and engage equally all women, men, disabled persons, the poor,
and any ethnic or religious groups.
59
Don’ts
1. Don’t take bribes or gifts, money, goods, materials for personal use.
2. Don’t falsify documents.
3. Don’t give contracts to friends or relatives.
4. Don’t use or abuse the project for personal gain.
5. Don’t hire children under15 years of age for sub-project construction. And don´t exploit
labor.
9.4 SANCTIONS
323. Anyone involved in project implementation, who is found to be in breach of the code of
conduct, is subject to disciplinary action. Sanctions may be imposed on individuals, groups
(such as village tract project support committee and village project support committees) and
private contractors.
324. Any person or organization may use the grievance handling system to report wrongful
behavior of a project implementer.
(a) The entity handling the grievance proposes the appropriate disciplinary action.
Possible disciplinary actions include: compromise agreement, warning, public
reprimand and dismissal.
(b) If land or other assets were taken from a household illegally or in violation of the
processes established for the purposes of this project, the land or assets should be
restituted to the affected household at least in the condition in which they were
taken.
(1) If restitution is no longer possible, the affected household will receive
compensation at replacement cost.
(2) The household is not responsible to pay compensation for any
improvements made to the asset.
(c) If project funds were misused, they will be repaid in full, in addition to any
additional measures and sanctions that may be taken against those who misuse
the funds.
(d) Any action shall be without prejudice to the penal, civil or administrative sanctions
that may be imposed by pertinent laws or guidelines.
(e) Grievances related to fraud and corruption may also be sent to the World Bank.
The World Bank will inform the DRD of reports received and coordinate on
resolving them.
60
Definition of Practices Constituting Fraud and Corruption
(a) A “corrupt practice” is the offering, giving, receiving or soliciting, directly or indirectly,
of anything of value to influence improperly the actions of another party.
(b) A “fraudulent practice” is any act or omission, including a misrepresentation that
knowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial
or other benefit or to avoid an obligation.
(c) A “collusive practice” is an arrangement between two or more parties designed to
achieve an improper purpose, including to influence improperly the actions of
another party.
(d) A “coercive practice” is impairing or harming, or threatening to impair or harm,
directly or indirectly, any party or the property of the party to influence improperly
the actions of a party.
(e) An “obstructive practice” is:
 Deliberately destroying, falsifying, altering or concealing of evidence material to
the investigation or making false statements to investigators in order to
materially impede a Bank investigation into allegations of a corrupt, fraudulent,
coercive or collusive practice; and/or threatening, harassing or intimidating any
party to prevent it from disclosing its knowledge of matters relevant to the
investigation or from pursuing the investigation, or
 Acts intended to materially impede the exercise of the Bank’s contractual rights of
audit or access to information.
Grievances related to fraud and corruption as defined in the guidelines can be sent directly to
the World Bank Fraud and Corruption Hotline: 1-704-556-7046 or by email:
Investigationhotline@worldbank.org
Source: World Bank. 2006. On Preventing and Combating Fraud and Corruption in Projects
Financed by IBRD Loans and IDA Credits and Grants.
325. Upon recommendation by the DRD township office or as a result of its own
investigations, the DRD union office may suspend or terminate the right of a VTPSC or a VPSC or
an individual or group of individuals to use the proceeds of the block grant upon failure by the
VTPSC and VPSC to perform any of its duties (calculation and use of block grants).
326. Failure to report a suspected case of misuse of funds or authority constitutes a breach of
the code of conduct. Sanctions will not be enacted on the whole village for an individual’s
wrong doing or the whole village tract for a village’s misconduct. CFs and TFs are responsible
for ensuring that villagers are aware that they will not be penalized for filing a complaint. Filing
a complaint does not mean a village tract or village will lose its grant.
10 LIST OF KEY REFERENCE DOCUMENTS
327. The following list of key reference documents provides further information and
supplements this OM.
(a) Village Development Plan (VDP) Guide

(b) Community Training Guide
(c) Social Audit Kit
(d) Operations & Maintenance Guide
61
Development Project
Operations Manual
Chapter 3
Forms
Chapter 3: Forms
Forms Overview
Form Name Main Enter into Project
Responsibility Database?
Yes No
Community Project Cycle
A. MIS Forms
PC 1 Village Profile VPSC X
PC 2 Project Cycle Timetable CF/TF X
PC 3 Village Development Priorities VPSC X
PC 4 Village Tract Sub-project Selection VTPSC X
PC 5 Village Sub-project Implementation Plan VPSC X
PC 6 Sub-project Monitoring (monthly) VPSC X
PC 7 Final Sub-project Inspection VPSC X
PC 8 Township Monthly Progress Status TTA M&E/DRD MIS X
PC 9 Grievance Redress CF/Grievance Focal X
B. Non-MIS Forms
PC 10 Block Grant Agreement VTPSC/DRD X
PC 11 Final Sub-project Proposal Review VPSC X
PC 12 Meeting Attendance Sheet VPSC X
PC 13 Safeguards Screening TF/DRD X
PC 14 Voluntary Donation TF/DRD X
PC 15 Environmental Management Plan TF/DRD X
Training & Capacity Building
T1 Training Report Trainer (incl. CF/TF) X
Human Resources
HR 1 Project Staff/Consultant Information M&E/MIS Officers X
HR 2 Volunteer, Village or Village Tract Committee CF/VPSC/VTPSC X
Member Information members
Finance
F1 Bank Book FSC X
F2 Daily Wages Log VPSC X
F3 Administrative Expenditure Log FSC X
F4 Block Grant Disbursement Request FSC X
F5 Payment Voucher FSC X
F6 Sub-project Final Financial Report FSC X
F7 Cycle Completion Financial Report FSC X
F8 Community Contribution FSC X
F9 Travel Expenses FSC X
F 10 Village Tract Sub-project Budget Table FSC X
Procurement
P1 Meeting Minutes for Procurement Method VPSC/PSC X
Selection
P2 Sub-project Procurement Plan VPSC/PSC X
P3 Invitation for Quotation VPSC/PSC X
P4 Quotation Evaluation Report (Goods & Works) VPSC/PSC X
P5 Purchase Order (Goods) VPSC/PSC X
P6 Sample Contract for Works VPSC/PSC X
P7 Force Account Expenditure VPSC/PSC X
TA Reporting
TA 1 Facilitator Monthly Report CF/TF X
TA 2 Township TA Quarterly Reporting Format TTA X
63
Chapter 3: Forms
FORM PC 1: VILLAGE PROFILE
Instruction: At the very first introductory visit to a village, (before or during the Village Orientation Meeting),
CF requests Village Leader, assisted by Village volunteer, to collect this information on paper form. The
information is checked and verified by the CF at the VDP Meeting, and entered into the MIS.
Name of Village Leader Phone of Village Leader Name of Facilitator:
State/Region: Township: Village Tract: Village:
A. Population
Ethnicity Households (number) Religion Households (number)
Ethnicity 1 Religion 1
Mixed ethnicity Mixed religion
Male (number) Female (number)

Population
Head of Household
B. Facilities
1. Schools Tic 2. Health Tick Religious Tic
k k
High school ☐ Hospital ☐ Pagoda ☐
Middle school ☐ Health Centre ☐ Monastery ☐
Primary school ☐ Sub Health Centre ☐ Hindu temple ☐
Pre-school ☐ Clinic/Dispensary ☐ Church ☐
Other ☐ Other ☐ Mosque ☐
Other ☐
Remarks: Remarks: Remarks:
C. Registry of Skills (skilled persons residing in or visiting the village)

1. Schools 2. Health 3. Artisans
Resi- Visitor Resi- Visitor Resi- Visitor
dent dent dent
Teacher (primary ☐ ☐ Doctor ☐ ☐ Carpenter ☐ ☐
school)
Teacher (high ☐ ☐ Health Assistant ☐ ☐ Mason ☐ ☐
school)
Teacher (middle ☐ ☐ Lady Health Visitor ☐ ☐ Electrician ☐ ☐
school)
Teacher (pre- ☐ ☐ Midwife ☐ ☐ Plumber ☐ ☐
school)
Other ☐ ☐ Public Health ☐ ☐ Mechanic/engines ☐ ☐
Supervisor
Remarks: Remarks: Remarks:
D. Access What is the access road to this village from its village tract? (Circle)
Metal surfaced Bitumen Concrete Motor cycle way

Gravel Earth Footpath Other _________________________
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Chapter 3: Forms
E. Village Development Plan Circle
1. Did the village have a development plan before NCDDP Yes/No/Don’t know
2. If yes, in what year was this plan prepared? Year __________ Don’t know
3. Has it been approved by the township? Yes / No / Don’t know
F. Distance
Miles from this village centre to the centre of village tract? Miles _____________ Don’t know
1. Travel time to this village from the centre of VT
Dry season: …………… Hours by trawlergy/motor cycle/foot/donkey/boat/ other …………………….
Wet season: …………… Hours by trawlergy/motor cycle/foot/donkey/boat/ other …………………….
G. Environmental Hazards : Does this village experience environmental hazards such as flooding?
⧠ No ⧠ Yes Describe: ________________________________________
H. Village Institutions : Describe any village committee or structure that was present in the village prior to
NCDDP, either established by government, villagers themselves or by a project.
___________________________________________________________________________________________________________________________
Village Leader Name
Signature Date
Community Facilitator Name
Signature Date
65
Chapter 3: Forms
Instructions to fill the Village Profile
Question 1 to 7 are straight forward
Group A Population:
 Identify how many different ethnic and religious groups are living in this village. Write down
the number of households for each ethnic group. (A household is defined as one social unit
living under one roof that may share their resources).
 Include here any HH of which the head is a woman. She may be never married, husband
passed away or if married, her husband is no longer living together with her.
 Population: The total number of people living in this village should be recorded. If the actual
number is unknown, write an approximate number. Include men, women, girls, boys and
infants.
Group B Facilities:
 Health: Include any health facility (clinic, dispensary, health-post, etc.) either by government
or private present in this village. Disregard whether the facility operates several days in a
month or whether it has staff or not.
 Schools: Tick schools by type that are present in this village. Do NOT write names of schools
that may be in other villages where children from this village attend.
 Religious places: do NOT indicate such places in adjacent villages visited by people from this
village.
Group C: Skilled Persons
 Tick to indicate health workers, teachers or artisans either based in or visiting this village.
Both columns may be ticked if there are both resident and visiting persons in any skill
category.
Group D: Access
 Please circle the main access to this village from outside
Group E: Village Development Plan
 Show whether this village has a written development plan prior to NCDDP. Do NOT include
information on Village Development Plan completed under NCDDP.
 Write the date township office has approved the development plan for this village that may
have been prepared prior to NCDDP.
Group F: Distance
 Write down the number of miles from the centre of this village to the centre of Village Tract
this village belongs to. Circle “Don’t know” if unknown
 Write down the number of hours it takes to reach the centre of this village from the centre of
the village tract that this village belongs to using the selected method of travel and season.
Group G: Environmental Hazards
 If there are environmental problems such as flooding, landslides, affected by tidal waves, etc.
mark the response yes and describe.
Group H: Village Institutions
 Include any type of village committee or structure that was present in the village prior to
NCDDP, either established by government, villagers themselves or by a project. Disregard
whether the structure is functioning or not. Do NOT include committees and sub-committees
established under NCDDP.
Please sign the form, date and hand-over it to the Facilitator within 2 days after completing the
orientation meeting.
66
Chapter 3: Forms
FORM PC 2: PROJECT CYCLE TIMETABLE
Instruction: To be completed by relevant Community or Technical Facilitator after each project cycle step, for village and village tract levels.
Name of Facilitator/Staff:
Date: Cycle (√): □ Cycle 1 □Cycle 2 □ Cycle 3 □Cycle 4
Project Cycle meetings Dates Number of Meeting Participants

Begin Date End Date Number of Number of Number of Number of
Men Women Households Participants from
Ethnic Groups
1. Village Orientation meeting
2. Village Development Plan meeting
3. Village Tract Selection meeting
4. TPIC Review meeting N.A N.A N.A N.A
5. Report back decision of TPIC to village
6. Sub-project planning meetings
6.1 Action Plan
6.2 Procurement Plan
6.3 Budget Plan
6.4 O & M Plan
7. Sub-project monitoring meetings
7.1 Sub-project monitoring 1
8. Final inspection of sub-project
9. Social Audit Meeting
67
Chapter 3: Forms
FORM PC 3: VILLAGE DEVELOPMENT PRIORITIES
Instructions: To be completed by the VPSC with the assistance of the Community Facilitator after Village
Development Plan Meeting. Include ALL obstacles, development priorities and activities regardless of funding
source, not just NCDDP.
Date: Cycle (√): □ Cycle 1 □Cycle 2 □ Cycle 3
□Cycle 4
A. OBSTACLES– What are the main obstacles for development in this village at present? (Include results
from men’s and women’s separate meetings).
Obstacles from Men’s Group Obstacles from Women’s Group

1 1
2 2
3 3
4 4
5 5
B. VILLAGE DEVELOPMENT VISION– What are the main goals the village would like to pursue over the
next 5 years that will improve village development? (Include results from men’s and women’s separate
meetings, covering all sectors)
Visioning by Men’s Group Visioning by Women’s Group
1 1
2 2
3 3
4 4
5 5
C. LIST OF PRIORITY DEVELOPMENT ACTIVITIES FOR THE VILLAGE OVER NEXT 3 YEARS (List ALL
priorities, regardless of funding source, not just from CDD project, and marked those proposed for
funding by NCDD)
PRIORITY DEVELOPMENT Proposed by If proposed for Estimated Estimated #
ACTIVITIES FOR VILLAGE Men/Women/ NCDDP Cost of
M+W (give ranking) Beneficiaries
1
2
3
4
5
6
Approved by Head of VPSC Name: Signature: Date:
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Chapter 3: Forms
FORM PC 4: VILLAGE TRACT SUB-PROJECT SELECTION
Instructions: To be completed by the Village Tract after the sub-project selection meeting, with the assistance of the CFs/TFs, and signed by the Head of
VTPSC. Completed form to be attached to Village Tract Development Plan for forwarding to TPIC. CF enters data from form into tablet
State/Region: Township: Village Tract:
Name of Village Activity Dimensions Estimated # Sub-project Estimated Budget

Direct Proposed by Project Community Other Total
Beneficiaries M/F/Both Contribution Contribution (specify)
□M
□W
□ Both M & W
□ Men
□W
□Both
□ Men
□Women
□Both
□ Men
□Women
□Both
□ Men
□Women
□Both
Men/Women
Position: Head of VTPSC Name: ___________________________ Signature: ___________________________ Date: ____________
69
Chapter 3: Forms
FORM PC 5: VILLAGE SUB-PROJECT IMPLEMENTATION PLAN
Instructions: The village sub-project proposal is the responsibility of the VPSC, with assistance from
relevant TF and engineer. It is signed by Head of VPSC, and endorsed by the Township Engineer. Entered
into MIS from paper form by CF or TF.
Sub-project description (full description of type/sub-type e.g. school fencing, road renovation etc):
___________________________________________________________________________________________________________________
Sub-project sector:
⧠ transport (road/bridge/jetty) ⧠ education ⧠ water and sanitation ⧠ health ⧠ electrification ⧠
irrigation ⧠ other (specify) :
Expected number of beneficiaries (disaggregated by gender and ethnicity).
Gender Ethnicity
Male ........ Xx : Xx :
Female ........ Xx : Xx:
Estimated cost (MMK) Total: ….……
Materials ..Labor ..……….. Technical support …………

Transportation ………. Daily wage …………………
Implementation plan
Estimated start and completion date for each activity
Activity Start date Completion date
Detailed design
Planning
Procurement
Construction
Progress report meetings
Final inspection
Hand over
Arrangements for labor:
Payment schedule for contractors, (if used)
Expected use of community labor (CFA): # men # women
Arrangements for operations and maintenance
Arrangements for community monitoring
Safeguards:
Does this sub-project require an EMP? Yes / No Land acquisition? Yes/ No
Voluntary donation? Yes / No
Authorized by Head of VPSC

Name: _______________________ Signature: __________________________ Date _____________
Endorsed by Township Engineer:

Name: _______________________ Signature: __________________________ Date _____________
70
Chapter 3: Forms
FORM PC 6: SUB-PROJECT MONITORING FORM
Instructions: completed monthly by the Village Monitoring Sub-Committee after the monthly village sub-
project monitoring site inspection and meeting. Input by CF into MIS.
Status of Sub-project Construction: What % of construction is already completed?

□ 1- 50% □ 51- 75% □ 76-99%? □ 100 %
Procurement:
Were there any problems related to procurement of goods, supplies, or contractors? □No □ Yes,
describe below
Technical Quality of Sub-project:
Are there any problems related to technical quality? □No □ Yes, describe below
Safeguards/ ECOPs / EMPs:
(a) Are there any problems related to land acquisition □No □ Yes
If yes: how many m2 involved in land acquisition? Additional remarks or information:
(b) Are there any problems related to environmental impact from sub-project? □No □ Yes,
(c) Were all mitigation measures addressed properly as per ECoPs or EMP?
Number of beneficiaries involved in construction (community force account)
# person days during this month m: _____ f:______ total:______________
Overall Progress of Sub-project Implementation
In general, the overall progress of implementation is:
□ Poor □ Average □ Good □ Very Good
Photographic documentation: Attach 4 photos, one from each direction at exact same spot each month
Other Comments for attention:
Head Monitoring Name: ______________________ Signature: _________________________________

Sub-Committee: Date: _______________________
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Chapter 3: Forms
FORM PC 7: FINAL SUB-PROJECT INSPECTION
Instructions:
Sub-project Description
Sub-project Activity Size/Scope Direct Beneficiaries
Planned Final Actual # Planned # Actual
Sub-project Financial information

CDD Project Contribution Community Other Government Other
Contribution Contribution
Planned Actual Planned Actual Planned Actual Planned Actual
Status of Sub-project Construction:
Is the sub-project fully completed? □No □ Yes, describe below
Procurement:
Are there any remaining problems related to procurement of goods, supplies, or contractors?
□No □ Yes, describe below
Use of community labor (CFA):

Total # persons involved: men ………… women ………….
Total # labor days: men ………… women ………….
Safeguards/ ECOPs:
(a) Are there any problems related to land acquisition? □No □ Yes, describe below
(b) Are there any problems related to environmental impact from sub-project? □No □ Yes,
describe below
Village Operations and Maintenance Committees formed:
Are Village O&M Committees formed and functioning? □No, describe issues below □ Yes
Overall Technical Quality of Sub-project

In general, the overall sub-project is functional and technical quality is:
□ Poor □ Average □ Good □ Very Good
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Chapter 3: Forms
Community Satisfaction with Sub-project:

How do villagers feel about the completed sub-project?
□ Very Dissatisfied (explain below) □ Dissatisfied □ Satisfied □ Very

Satisfied
Other Comments for attention:
We certify that sub-project described above is completed and functional and the above information is
correct.
Date:
Head of the VPSC: Signature:
Head Procurement Sub-committee: Signature:
Finance Clerk Signature:
Acknowledged by
Technical Specialist: Signature: Date:
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Chapter 3: Forms
FORM PC 8: TOWNSHIP MONTHLY PROGRESS STATUS
Instructions: To be updated weekly online by the township M & E Expert, based on status information
from CFs and TFs.
State/Region: Township: Village Tract: # Villages: Last Update:
# Sub-projects:
Project Cycle Stage Number %

# Village Tracts %
First finance training (FSC)
Block Grant request
Block Grant transfer
VT Sub-project selection meeting
# Villages %
Village profile
Village orientation meeting
Village Development Plan (VDP)
# Sub-projects %
TPIC approval for sub-project
TPIC feedback to village meeting
SP detailed planning & proposal (PC5)
SP construction progress:
1 – 50%
51 – 75%
76 – 90%
100%
Final SP inspection
Social Audit
74
Chapter 3: Forms
FORM PC 9: GRIEVANCE REDRESS
Instructions: Paper form to be completed by the facilitator or staff receiving the inquiry or grievance,
and sent to the Grievance Handling Officer in your township or at the union level, along with the
monthly reports. (Attach any supporting documentation/letters as relevant). Can be input into MIS by
CF using tablet, or township Grievance Focus using M & E computer.
Date Grievance Received: Name of Facilitator/Staff Completing Form:
Grievance Received (check √):

□ Union □ State/Region □ Township □ Village Tract □ Village
Mode of Filing Inquiry or Grievance (check √):
□ In person □ Telephone □ E-mail □ Phone Text Message □ Website
□ Grievance/Suggestion box □ Community meeting □ Grievance focal point □ Other
Name of Person Raising Grievance: (information is optional and always treated as confidential)
Address or contact information for Person Raising Grievance: (information is optional and
confidential)
Location where grievance/problem occurred

Union Level: State/Region: Township: Village Tract: Village:
What is the type of complaint/inquiry (check √)? □ Other (please describe):

 General inquiry about Project Policies and
Procedures
 Violation of Project Policies, Guidelines, or
Procedures
 Violation of contract
 Misuse of funds. How much? _______________
 Improper intervention
 Force majeure
 Suggestion / demand
 Appreciation
Brief Description of Grievance or Inquiry: (Provide as much detail and facts as possible)
Who should handle and follow up on the grievance:
Progress in resolving the grievance (e.g answered, being resolved, settled)

Answered:
Being resolved:
Settled: Date:
How was the grievance resolved, including detailed process of handling by date and who
participated?
Note: For MIS, include “Status” field and dates
75
Chapter 3: Forms
FORM PC 10: BLOCK GRANT AGREEMENT
Instructions: To be signed by DRD and VTPSC Heads

State/Region: Township: Village Tract: Number of Villages in the
Village Tract:
An agreement between the Village Tract Project Support Committee (the “VTPSC”) and the Department of
Rural Development (the “Department”) dated___________ 20__ relating to a Block Grant for carrying out
endorsed development activities (the “Sub-Projects”) in the _______________ township. The Block Grant is
financed by the National Community Driven Development Project. The Village Tract Project Support
Committee (VTPSC) and the Department agree as follows.
1. The Department shall normally deposit the Block Grant to the Village Tract Project Support
Committee’s bank account within ten days from the date of this agreement.
2. The Block Grant shall be strictly utilized only for development purposes and only for those Sub-
Projects included in the endorsed Village Tract Development Plan. The Block Grant shall not be used for any
ineligible activities defined in the Project Operations Manual.
3. The VTPSC shall carry out the Sub-Projects with due diligence and efficiency and in accordance
with sound technical, economic, procurement, financial, management, anti-corruption, environmental and
social standards, practices and procedures in accordance with the Project Operations Manual.
4. The VTPSC shall be responsible for obtaining the necessary governmental approvals for Sub-
Project activities and shall comply with applicable laws and regulations.
5. The VTPSC shall maintain adequate bookkeeping systems, procedures, and records for
expenditures relating to the Sub-Projects. The VTPSC shall submit monthly financial reports to the
Department and comply with the instructions of the Department regarding the audit of these reports. The
Forum also agrees that financial reports and audits will be publicly disclosed.
6. The VTPSC may request the Department’s assistance on any matter relating to the Sub-Projects
including complying with paragraphs 3-5 of this Agreement. The VTPSC will seek the assistance of resource
persons from the Department and the Community Facilitators for the environmental and social screening
and assessment of the Sub-Projects.
7. The VTPSC shall cooperate with the Department, the World Bank and other donors and provide
any information that the Department, the World Bank and other donors may request to monitor and
evaluate the progress of the Sub-Projects and the achievement of their objectives. It shall enable the
Department, the World Bank and other donors to inspect Sub-Project activities, their operations and any
relevant records and documents.
8. If the VTPSC fails to perform its obligations under this agreement, the Department may suspend
or terminate the VTPSC’s right to use any unwithdrawn portion of the Block Grant and/ or require the
VTPSC to immediately refund any withdrawn portion of the Block Grant that has not been used in
compliance with the requirements of this agreement.
9. The amount of block grant is MMK________________________________
Administrative expenses of ________% = MMK ______________________
Department of Rural Development Head, Village Tract Project Support Committee

Township _________________
Signature Signature:
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Chapter 3: Forms
FORM PC 11: FINAL SUB-PROJECT PROPOSAL REVIEW

Instructions
State / Region:
Township:
Village tract:
Village:
Name:
Estimated cost:
Project cycle:
A. Project Coherence
Issue Yes No I/N
1. Is the sub-project included in the VTDP?
2. Are the problems and causes that the sub-project will address clearly
indicated?
3. Are the solutions proposed adequate to resolve the problem(s) as stated?
4. Are the end results of the sub-project achievable?
I/N Information is either insufficient (I) for review or not applicable (N).
Analysis of Section A: Based on the responses to the questions noted above, indicate your ‘score’ for the
coherence of the project;
Adequate_______________________ Deficient____________________
Indicate any observations or observations regarding Section A Project Coherence, of the proposed sub-
project which should be incorporated in the proposal:
B. Financial Criteria
Issue Yes No I/N
1. Is the sub-project budget consistent with the allocation in the VTDP and is it
reasonable for this type of sub-project?
2. Is there a clear relationship between budget items and proposed activities and
objectives of the sub-project?
3. Are unit costs also clearly indicated in the project budget?
4. Is the daily labor wage adequate and the same for women and men?
5. Do the indicated unit costs for inputs conform with market prices for similar
inputs?
6. Are the quantities of the proposed budget items reasonable?
Analysis of Section B: Based on the responses to the questions noted above, indicate your ‘score’ for the
sub-project’s financial criteria;
Adequate _______________________ Deficient ____________________
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Chapter 3: Forms
Indicate any observations or observations regarding Section B, Financial Criteria, for the proposed sub-
C. Sustainability Criteria
Issue Yes No I/N
1. Does the proposal propose a technology that is adequate to the local context?
2. Does implementation of the project depend on the experience, knowledge or
skills of the community?
3. Do local labor and/or local materials necessary for sub-project
implementation pose a problem?
4. Are the proposed operations and maintenance arrangements adequate?
Analysis of Section C: Based on the responses to the questions noted above, indicate your ‘score’ for the
project’s sustainability;
Adequate: Deficient:
Indicate any observations or observations regarding Section C, Sustainability Criteria, for the proposed
sub-project which should be incorporated in the proposal:
D. Social Criteria
Issue Yes No I/N
1. Does the sub-project design sufficiently reflect the needs of women?
2. Will the sub-project be beneficial to the poor?
3. Will other vulnerable groups benefit?
4. Are there local groups or institutions which may pose a threat or obstacle to
the success of the sub-project?
5. Have ethnic minority groups been properly consulted during sub-project
preparation?
Analysis of Section D: Based on the responses to the questions noted above, indicate your ‘score’ for the
project’s social criteria;
Indicate any observations or observations regarding Section D, Social Criteria, for the proposed sub-
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E. Environmental Criteria
Issue Yes No I/N
1. Does the environmental safeguards instrument (ECoP or EMP) adequately
address potentially negative impacts of the sub-project?
2. Are the proposed mitigation measures adequate and feasible?
Analysis of Section H: Based on the responses to the questions noted above, indicate your ‘score’ for the
project’s social criteria;
Indicate any observations or observations regarding Section E, Environmental Criteria, for the proposed
F. Technical Feasibility
Issue Yes No I/N
1. Are the solutions proposed technically sound?
2. Are these solutions the most appropriate?
3. Are the solutions adequate to resolve the problem(s) as identified in the
proposal?
4. Does the sub-project conform with standard operating procedures or
technical standards for sub-projects of a similar nature and scope?
Analysis of Section F: Based on the responses to the questions noted above, indicate your ‘score’ for the
technical feasibility of the sub-project;
Indicate any observations or modifications regarding Section F, Technical Feasibility, for the proposed
This sub-project proposal is:
1. Approved as proposed:
2. Approved with the modifications indicated above:
3. Not approved:
Name: Position: Township Engineer
Signature: Date:
Name: Position: Head, VTPSC
Signature: Date:
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Chapter 3: Forms
FORM PC 12: MEETING ATTENDANCE SHEET
Instruction: To be used for all project cycle meetings. CF verifies the data collected by the VPSC, and uses it as a basis for completion of the “# of meeting
participants” field in PC 2 (Project Cycle Timetable).
Date: Cycle (√): ☐Cycle 1 ☐Cycle 2 ☐Cycle 3 ☐Cycle 4
Name of meeting:
No. Name Male Femal Household Ethnicity Signature
(√) e Representative
(√) (√) (1)
Total
(1) The man / woman representing a household at the meeting does not have to be head of the household
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Chapter 3: Forms
FORM PC 13: SAFEGUARDS SCREENING FORM
The completed form (one is required for each sub-project) is to be attached to the sub-project proposal.
Region / State:
Township:
Village Tract:
Village:
Sub-project:
Sub-project ID:
Sub-project description
Type (see eligible category)

Category (check one):  Rehab  Extension  New work  other
Scope:
⧠ Building ⧠ road/bridge/jetty ⧠ water supply ⧠ rural electrification ⧠ irrigation
⧠ Sanitation
Cost estimate
Location (with GPS longitudes and latitudes, if available)
Beneficiaries
Number of villages served
Linked to sector plan? (Check one)  Yes  No
Any other similar sub-project/assistance in the same village? (Check one)  Yes  No
Environmental screening
Apply ECoP to all village sub-projects (VSP)
E1. Natural environment
(a) Briefly describe the vegetation/trees in/adjacent to the sub-project area
(b) Estimate and indicate where vegetation/trees might need to be cleared
(c) Are there any environmentally sensitive areas or threatened species (specify below) that could be
adversely affected by the sub-project?
-- Natural forests: Yes___ No___

-- National parks: Yes___ No___
-- Rivers: Yes___ No___
-- Lakes: Yes___ No___
-- Wetlands (swamps, polder areas, seasonally inundated areas): Yes___ No___
-- Habitats of endangered species for which protection is required under Myanmar laws and/or
international agreements: Yes___ No___
-- Others (describe): Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on the natural environment:
⧠ has an impact ⧠ No impact
E2. River ecology

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Chapter 3: Forms
Is there a possibility that, due to installation of structures, such as weirs and other irrigation structures, the
river ecology will be adversely affected? Attention should be paid to water quality and quantity; the nature,
productivity and use of aquatic habitats, and variations of these over time. Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on river ecology:
⧠ has an impact ⧠ No impact
E3. Protected areas
Does the sub-project area (or components of the sub-project) occur within/adjacent to any protected areas
designated by government (national park, national reserve, world heritage site, etc.) Yes___ No___
If the sub-project is outside of, but close to, any protected area, is it likely to adversely affect the ecology
within the protected area areas (e.g., interference with the migration routes of mammals or birds) Yes___
No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on the protected areas:
⧠ Has an impact ⧠ No impact
E4. Geology and soils
Based upon visual inspection or available literature, are there areas of possible geologic or soil instability
(erosion prone, landslide prone, subsidence-prone)? Yes___ No___
Based upon visual inspection or available literature, are there areas that have risks of large scale increase in
soil leaching and/or erosion? Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on geology and soils:
E5. Pollution
Will the sub-project lead to ground, water or air pollution? Yes___ No___
Will lead batteries be used? Yes_ No_
If answer to any of above questions is ‘yes’, mark VSP as having an impact on air pollution:
E6. Invasive plant species along feeder road routes
Is the sub-project likely to result in the spread of invasive plant species (along feeder road routes)? Yes___
No___
E7. Endangered species along feeder road routes
Is the sub-project likely to result in an increased threat to endangered animal species (along feeder road
routes)? Yes___ No___
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Chapter 3: Forms
If answer to any of above questions is ‘yes’, mark VSP as having an impact on invasive plant species:
E8. Historical, archaeological or cultural heritage site
Based on available sources, consultation with local authorities, local knowledge and/or observations, could
the sub-project alter any historical, archaeological or cultural heritage site (pagodas, memorials and graves)
or require excavation near same? Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on historical, archaeological or
cultural heritage site:
E9. Loss of crops, fruit trees and household infrastructure
Will the sub-project result in the permanent or temporary loss of crops, fruit trees and household infra-
structure (such as granaries, outside toilets and kitchens, etc)? Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on crops, fruit trees and
household infrastructure:
E10. Adverse impacts on natural habitats
Will the sub-project have adverse impacts on Natural Habitats that will not have acceptable mitigation
measures according to OP 4.04 Natural Habitats? Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as having an impact on natural habitats:
E11. Solid or liquid waste
Will the sub-project generate solid or liquid wastes? Yes___ No___
If "Yes", does the sub-project include a plan for their adequate collection and disposal? Yes___ No___
If answer to any of above questions is ‘yes’, mark VSP as generating solid or liquid waste:
 If the answer to any of the above questions is ‘yes’, prepare an Environmental Management Plan
that contains suitable mitigation measures
Social screening
S1. Resettlement and/or land acquisition
Will land that is privately used for farming, residence, grazing or other purposes be permanently acquired or
temporarily occupied by sub-project implementation? Yes___ No___
 If the answer is ‘yes’, proceed to the guidance on land acquisition (voluntary donation or
resettlement action plan, as appropriate)
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Chapter 3: Forms
S2. Accessing sub-project benefits
Will the following groups in the village have access to and benefit from the sub-project?
-- Women: Yes___ No___

-- Youth groups: Yes___ No___
-- Ethnic minorities: Yes___ No___
-- Religious minorities: Yes___ No___
-- Other groups (e.g. the poor, the elderly) Yes___ No___
 For each group: if the answer is ‘yes’, specify how it will benefit, and if it is ‘no’, explain why they will
not benefit.
Will villagers be employed for the implementation of works? Yes___ No___
 If the answer is ‘yes’, see Part I, Block Grants to determine the daily wage
Name: Position: Head, Village Project Support

Committee
Signature: Date:
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Chapter 3: Forms
FORM PC 14: VOLUNTARY DONATION
Region / State:
Township:
Village tract:
Village:
Sub-project ID:
Technical Facilitator:
Name of land owner: NRC Number: Beneficiary of the sub-project: Y/N

Sex: Age: Occupation:
Address:
Description of land that will be taken by Area affected: Total Ratio of land Map code,
the sub-project: landholding affected to total if
area: land held: available:
Description of annual crops growing on the land now and project impact:
Details Number
 Trees that will be destroyed
 Fruit trees
 Trees used for other economic or
household purposes
 Mature forest trees
 …
Describe any other assets that will be lost or must be moved to implement the project:
Value of donated assets:
Will affected people need to be physically relocated?
By signing or providing thumb-print on this form, the land user or owner agrees to contribute assets to the
project. The contribution is voluntary. If the land user or owner does not want to contribute his/ her assets
to the project, he or she should refuse to sign or provide thumb print, and ask for compensation instead.
Date:............................ Date:.........................
Village Project Support Committee Affected persons signature

representative’s signature (both husband and wife)
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Chapter 3: Forms
FORM PC 15: ENVIRONMENTAL MANAGEMENT PLAN
The completed form will be attached to the sub-project proposal. The EMP will be approved by the DRD
township engineer.
Region / State:
Township:
Village tract:
Village:
Sub-project ID:
Technical Facilitator:
Potential Mitigation Monitoring Responsibilities Implementation Cost

adverse measure(s) indicators schedule estimates
impact(s)
Name: Position: Head, Village Project Support

Committee
Signature: Date:
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Chapter 3: Forms
FORM T 1: TRAINING REPORT
Union/ Region/State Township Village Tract Village Date
Instructions: Paper form to be completed by the trainer (CF, TF, TA, etc.) after the training course. Data is
entered into tablet by CF for training given by him/her to community, and by township M&E Officer into
township PC for training given by others.
1. General information
Title of event:
Start Finish Duration
Location of training
Main trainer Report prepared by
2. Number of Participants Male Female Total

Government officials
Community members
Other participants
3. Summary of participants´ rating of the How many participants in total rated the event and the achievement of the
training (from the end-of-course objectives with 4 stars (high), how many with 3, 2 or 1 star (low)
evaluation)    
Overall opinion
Achievement of training objective 1:

<write here objective 1>

4. Duration Too short ok Too long

How many participants rated the duration
too long, ok, or too short
5. Recommendations: (self-) critical assessment by the trainer what could be improved next time (multiple selection possible)
 preparation of the event  quality of training material
 timely invitations  budget issues
 quality of training agenda and objectives  coordination with authorities
 training session plans  support from union TA
 control of time during the event  others
6. Comments by the trainer: (use the back side or additional paper if the space is not enough here)
7. Supporting material List of participants Attached? ⧠ Yes ⧠ No

Training agenda Attached? ⧠ Yes ⧠ No
Other material attached? ……………………………………………….
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Chapter 3: Forms
ANNEX 1: END-OF-COURSE EVALUATION FORM
Instructions: To be filled in by all participants at the end of each training event.

Before making photocopies, the trainer should already fill in title, date, location, main trainer and, especially,
the OBJECTIVES (at least one, maximum five) to make it easy and quick to fill in.
Title / topic of event:
Date of event:
Location of training
Main trainer
How do you rate the event overall?

Very good Good Average Poor
Overall opinion    
How do you rate the achievement of the training objectives?

(at least one objective, maximum five objectives)
Achievement of training    
objective 1
objective 2
objective 3
objective 4
objective 5
Was the duration ok? Too short Ok Too long


Comments by participants
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Chapter 3: Forms
ANNEX 2: LIST OF PARTICIPANTS (EXAMPLE)
Title of event:
Date:
Use separate lists for each day!
Government
Community
Other
Organization or Contact
Name m f Function Signature
village (email or phone)
Examples
DRD Ann
Head of DRD X
township
Procurement
DRD Htantabin X
officer
M&E sub-
Village a X
committee
Village b Head of VPSC X
Finance sub-
Village tract ab X
committee
Village tract ab Grievance focal X
TTA Tatkone CF X
TTA Pinlebu TTA finance X
Village b Village volunteer X
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Chapter 3: Forms
FORM HR.1: PROJECT STAFF/CONSULTANT INFORMATION
Instructions: To be completed by township M & E / MIS Officer

Township:
Date:
Name of Project Staff/Consultant:
Male/Female: Age: Ethnic group (optional):
Title/Position:
Address:
Mobile tel: E-mail:
Emergency contact: (in case of emergency, who should we contact?)

Name, tel:
Contract or project start date: Contract end date:
Highest education degree: (circle) High School Univ degree Graduate degree
Major:
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Chapter 3: Forms
FORM HR 2: VOLUNTEER, VILLAGE, OR VILLAGE TRACT COMMITTEE MEMBER INFORMATION
Instructions: Information to be given by each Volunteer, Village or Village Tract Committee

Member. Form to be entered into tablet by CF.
Name of Community or Technical Facilitator
Date:
Name of Volunteer, Village or Village Tract Committee Member:
Male/Female (circle): Age: Ethnic group (optional):
Committee/Position:
Committee / Role Chairperson (tick)
Village volunteer
Village Project Support Committee ⧠
Procurement Sub-Committee ⧠
Finance Sub-Committee ⧠
Monitoring Sub-Committee ⧠
Grievance focal point
Village Tract Committee Member
Other: Please specify: _____________________
Address:
Mobile tel: E-mail:
Emergency contact:
Name, tel:
Year started with project:
Highest education level: (circle) Read & Write Primary Middle School High School
Univ degree
Major:
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Chapter 3: Forms
FORM F1: BANK BOOK
Township …………………………………………………..
Village Tract…………………………………………………
For the Period from………………………..to……………………………………………………….
Date Reference No Description Receipts Payments Balance
Total
Per Bank
statement
Difference
Difference is due to……………………………………………………………………………………………………………

…………………………………………………………………………………………………………………………………………..
Prepared By Bookkeeper Checked By Head of FSC Approved By VTPSC
Signature & date Signature & date Signature & date
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Chapter 3: Forms
FORM F2: DAILY WAGES LOG
Township ………………………………………………….Village Tract ……………………………………………..Village

…………………………………………
Sub-project Name………………………………………………..
For Period/Week From……………………………To………………………
Signature/
Seq No Name of Worker Gender Date Amount
Thumb print
Prepared By Village PSC Checked By Approved By head of

Finance VPSC
Clerk
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Chapter 3: Forms
FORM F3: ADMINSTRATIVE EXPENDITURE LOG
Township …………………………………………………Village Tract ……………………………………………..
For the Period from…………………………To………………………………………………………
PV No D Date Description of Receipt Payment Balance Analysis of expenses

Expense
Local Office Bank Other
Travel Supplies Charges
Stationery
Prepared By Checked By Approved By

Bookkeeper/Village Head of FSC VTPSC
Finance Clerk
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Chapter 3: Forms
FORM F4: BLOCK GRANT DISBURSEMENT REQUEST
Township ……………………… Village Tract …………………………
Date FSC Training Completed

……………………….…………………………………………………………………………………………………………………
Number of villages in this Village Tract……………Confirmation that all VPSC established: Y / N
Bank Account Detail
Name of Account ………………………………………………………………………………………………………………………..
Account No ………………………………………………………………………………………………………………………………..
Name of Bank ………………………………………………………………………………………………………………………….
Address of Bank .............................................................................................................................
………………………………………………………………………………………………………………………..
Names & positions of Authorized Signatories………………………………………………………………………….. …
…………………………………………………………………………………………….
………………………………………………………………………………………………
Date Grant Agreement Signed………………………………………………………………………..
(Attach: Copy of Sub-Project Grant Agreement)
Head of FSC Head of VTPSC
Signature& date Signature & date
---------------------------------------------------------(for DRD use)-------------------------------------------------------------

Certified by DRD township Certified by DRD Union – block Certified payment made by
grant manager DRD FM officer
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Chapter 3: Forms
FORM F5: PAYMENT VOUCHER
Township ……………………… Village Tract ……………………………Village …………………………………….
Sub-project Name:
Payment Method (Circle one of following) Voucher No…………………

Check MTO Cash Check No…………………….
Date……………………………
Payment # Description Total Amount (Kyat)
1
2
3
4
5
If paid in Cash reason……………………………………………………………………………………………..
Prepared By Bookkeeper/Village Checked By Head of FSC/Head of Approved By VTPSC/Head of VPSC

Finance Clerk PSC
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Chapter 3: Forms
FORM F6: SUB-PROJECT FINAL FINANCIAL REPORT

(Entered into MIS)
Sub-project Name:
Village Name:
Village Tract Name:
Township Name:
Date of report submitted to
township
Date sub-project started
Date sub-project completed
Description Grant Allocated Actual Expenditure Remarks

MMK MMK
Contracts
Community Force Account
Materials
Wages
Equipment Hire
Transport Costs
Sub-total of Community Force
Account
Other Expenditure (not listed
above incl. community
contributions)
Total Sub-project Cost
Balance (if any)
Prepared By Confirmed Head of Checked by Head of FSC Approved By Head of

Bookkeeper/ VPSC VTPSC
Finance Clerk
Signature & date Signature & date Signature & date Signature & date
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Chapter 3: Forms
FORM F7: CYCLE COMPLETION FINANCIAL REPORT
Township ……………………… Village Tract …………………………

For the Cycle: …………………………………..
Date Report Submitted to DRD Union Level:
Description Amount MMK Remarks

Receipts
Block Grant
Other receipts
Total Receipts
Payments
Sub-projects Completed
List Name
List Name
Sub-projects in progress
List Name
List Name
Administrative Expenses
Total Payments
Balance of Block Grant
Represented by
Bank Balance
Petty Cash Balance
Total
Prepared By Bookkeeper Checked by Head of FSC Approved By Head of VTPSC
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Chapter 3: Forms
FORM F8: COMMUNITY CONTRIBUTION
Note: this form can be used to record both in-kind (labor, materials and others) and cash
contribution
Sub-project Name:
Village Name:
Village Tract Name:
Township Name:
Description Amount
Signature/
Seq No Name of contributor of Date Contributed
Thumb print
contribution (quantified)
Prepared By Bookkeeper/ Confirmed Head of Checked by Head of FSC Approved By Head of

VPSC VTPSC
Finance Clerk
Signature & date Signature & date Signature & date Signature & date
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Chapter 3: Forms
FORM F9: TRAVEL EXPENSES
Note: this form can be used to record payment of daily allowance, fuel/transportation cost.
Sub-project Name:
Village Name:
Village Tract Name:
Township Name:
Date:
Purpose of travel:
Designation
(e.g. head of
Seq Name of Daily/ meal Transportation Signature/
VTPSC, head
No traveler allowance cost/fuel Thumb print
of FSC, PSC
etc)
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Chapter 3: Forms
FORM F10: VILLAGE TRACT SUB-PROJECT BUDGET TABLE
Total Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec
Budget
Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat Kyat
Sub-project 1
Sub-project 2
Total
Prepared By Bookkeeper Checked by Head of FSC Approved By Head of VTPSC
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Chapter 3: Forms
Form P 1: MEETING MINUTES FOR PROCUREMENT METHOD SELECTION
Name of Sub- Project: ……………………

Name of Village: ……………………………....
Name of Village Tract: ……………………………..
Date: ……………………………..
I. Attendance List
Sr. Name Position for the Sub- Project F/ M Signature
II. Discussion Notes

Sr. Name/ Position Discussed Context Remarks
1
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Chapter 3: Forms
III. Summary of Decision on the Selection of the Procurement Method
Meeting for selection of the procurement method for the above sub- project was held from ……………….to ……………… at …………………….. After discussion by the
participants, the following method was decided to be used for successful implementation of the sub- project:
Procurement Method for the Sub- Project

Labor Construction materials Equipment Transport
Method (Plan)
Method (Revised)
Other Agreements
………………………………………………………………….………………………………………………………………….…………………………
Signature Signature
Name…………………………………….. Name………………………………….
Head of Village Project Support Committee Head of Village Procurement Sub-Committee
Recommendations made by DRD Township Engineer or Township Technical Facilitator

Community willingness to CFA (Y/N)
Labor source for CFA (Y/N)
Source Availability for procurement of construction materials
Conditions of transportation/logistical arrangements
Construction tools
Should need to hire contractor (If needed why?)
Estimated date of completion
Implementation commenced date
Other Key Findings

…………………….……………………………………………………………………………………………………………………………………….…
Signature ----------------------------------------
Name/ Position ----------------------------------------
Organization Name---------------------------------------
Township ---------------------------------------
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Chapter 3: Forms
FORM P 2: SUB-PROJECT PROCUREMENT PLAN
Sub Project Name:

Village Name:
Name of Village Tract:
Date:
Date of
Estimated
Name of Size or Procurement Request
Sr. Estimated Cost Completion Comments
component Quantity Method for
date
Quotation
….
Total
…………………………………. ……………………………….
Head of Procurement Sub Committee Head of Village Project Support Committee
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Chapter 3: Forms
FORM P 3: INVITATION FOR QUOTATION
Sub-Project Name:
Sub-project ID No.
Village name:
Name of Village Tract:
To : (Name of Supplier):
Address:
Telephone:
Date:
We invite you to propose the price for the following equipment/materials not later than ……….(closing date):
1. Prices and Schedules for Supply
Item Description Quantity Unit Total Remark

/specifications Price Price
Total
Delivery Day/Time: ……………………………………………………………………………

Final Destination of Delivery: ……………………………………………………………………………
Attention To Supplier
Head of Procurement Sub Committee Name ………………………………………
………………………………………….…Village/ V Address ………………………………………
Tract Phone no: …………………………………..
Phone no: ……………………………………..
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Chapter 3: Forms
FORM P 4: QUOTATION EVALUATION REPORT (GOODS & WORKS)
1. Sub-project ID No. and name:

2. Details of goods /works/services:
3. Estimated cost (MMK):
4. Quotations submission (time allowed; days):
5. Submission deadline (date):
Listing all Bidders and Quotes received in the order from lowest to highest:
Quotation Quotation Quoted
No. Supplier Address Invitation Received Total Rank
Date Date Price
Explain evaluation criteria, if other than price:
Discussion
No. Name Discussion
Name of the lowest evaluated bidder:

Total price of the contract (MMK):
Date of contract award:
Any issues (to be) discussed at finalization of
contract; provide details:
Complaints from other suppliers/contractors, if any;
provide details and fill in the grievance handling form
part A
Name: Position: Head, Procurement Sub-

Committee
Date:
Signature
Name: Position: Head, Village Support Committee
Date:
Signature
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Chapter 3: Forms
FORM P 5: PURCHASE ORDER (GOODS)
Name of Sub project ……………………………………………………………………

Village& Village Tract ……………………………………………………………………
Date ……………………………………………………………………
To.
……………………………………….. (Selected bidder Name/Address)
…………………………………………………………………………
The Procurement Committee advertised Invitation for quotation for Sub project dated ------------------- and
selected you to supply goods as per the advertisement according to the delivery schedule below;
a) Schedule for goods delivery

Unit Date of Final
Sr. Name of goods Quantity Total Cost
Price Delivery Destination
Total Cost (MMK)
b) Price validity
Unit price for each item is as per quoted price by the supplier and should not be adjusted up to the payment
date. Agreed quotation price includes transportation cost (Y/N), grantee (Y/N), other costs………
c) Payment conditions
Payment shall be made in Myanmar Kyats within………… days of goods receipt.
d) Required technical specifications

Supplier must handover all related documents such as warranty card, user manuals etc.
e) Failure to perform
The Purchaser may cancel the Purchase Order if the Supplier fails to deliver the Goods, in accordance with the
above terms and conditions, in spite of being given 7 days notice by the Purchaser, without incurring any
liability to the Supplier.
Signature .........………………… Signature ……………………………………..

Name ...........…………………. Name ……………………………………
(Head of Procurement Sub committee) (Head of Village Project Support Committee)
Phone ………………………… Phone …………………………………..
Date Date
Pledge of Bidder
The supplier (winner) agrees the above terms and conditions, and to supply the goods by the agreed date.
Signature of bid winner …………………………

Supplier Name …………………………..
Phone no ………………………..
Date ………………………….
107
Chapter 3: Forms
FORM P 6: SAMPLE CONTRACT FOR WORKS (LEGAL AGREEMENT)
Township : ...............
Village Tract : ...............
Village : ...............
Sub-project ID No. : .................
Sub-project Name
Description of Works : ....................
Contractor Name : .........................
(address)
1. This contract is made this ...............(Date) between Mr./ Mrs. ............ ,the head of Procurement Sub-
committee and head of Finance Sub-committee (insert name of village ).., referred to below as the
“Employer”, and Mr. /Mrs. .................... ID Number ............... (or company name ........ represented by
............) and address …………………., referred to below as the “Contractor”.
2. The two parties (the Employer and the Contractor) now agree as follows:
 The Employer pledges to pay the Contractor the Contract Price, ................ Kyat (in word .................). This
amount is for the full quantity of work shown on the Drawings, including materials, transport to the
site, labor and profit.
 The Contractor pledges to construct the following works: ......................... (insert brief description of
works, for example " construction of 2 rooms - primary school, with blackboard, table and chairs in
........ village" and to maintain these works in good condition for six months after the construction is
complete.
3. The Contractor will start implement the works on ............... and shall complete the whole of the works not
later than ................... (Insert Works Completion Date from Contractor’s Work plan).If implementation of
the Contract is delayed due to any circumstances or event, which could not have been foreseen by an
experienced contractor, the Contractor must inform the Technical Facilitator immediately about the
delay. If the Technical Facilitator considers that an extension of time for the Contract is justified, the
Contractor must submit an amended Work Plan, agreed with the Technical Facilitator, for approval by
the Employer.
4. The Contractor is responsible to maintain the works in good condition for …6… months, starting from
the date of completion of construction, the date that Employer decided that the construction is
completed. During this period the Contractor is fully responsible to improve and repair any defect that
appears due to quality of materials or workmanship and any defect that appears as a result of normal
use of the works.
5. When the Contractor wishes to apply for payment he must submit a written Request for Payment to the
Employer. The Employer will then ask the Technical Supervisor to prepare a contract progress report.
This report will verify the quantity of work completed and will check that the quality of the materials
used and the quality of the Contractor’s workmanship is in line with the Contract. The Technical
Facilitator will also check that the construction is following the Drawings and any instructions given by
the Technical Facilitator to the Contractor. The Technical Facilitator shall then either:
 Issue a Progress Report (or Completion Report) certifying that the conditions for release of the
payment have been met, or;
 Issue a Progress Report detailing further work that must be done to meet the conditions for release
of the payment.
6. On receiving a Progress Report (or Completion Report) from the Technical Facilitator, indicating that the
conditions for release of any payment have been met, the Employer will call a meeting with the Village
Project Support Committee at the work site. If the Village Project Support Committee approves the
report of the Technical Facilitator, the Employer will then issue a Payment Order.
7. Payments will only be made in Myanmar Kyat at ….. ................ on or after the due date shown in the
schedule below.
108
Chapter 3: Forms
Disbursement Schedule for Lump Sum Contract

Installment Payment Conditions
Amount Scheduled Date
Payment (% Completed Works)
Payment No 1 xxxxxx Advance 10% at contract signing
payment
Payment No 2 xxxxxx xxxxxxx xx%
Payment No 3 xxxxxx xxxxxxx
Total Contract xxxxxxx
In witness of what has been agreed above, the signatures of the authorized representatives of the two Parties
are affixed below on the date shown.
HEAD, PROCUREMENT SUB-COMMITTEE CONTRACTOR
By………………………………………. By……………………………………
HEAD, FINANCE SUB-COMMITTEE
By ........................................................
Witness: Witness:
By……………………………………………...... By………………....................
109
Chapter 3: Forms
FORM P 7: FORCE ACCOUNT EXPENDITURE
Instructions: to be completed by the Procurement Sub-Committee (PSC) of the Village Project

Support Committee
Sub-project Name:
Sub-project ID:
Village Name:
Village Tract Name:
Date of report:
Type of expenditures Unit cost Total Total cost

quantity
Materials
Transportation cost
Labor cost
Equipment hiring fee
Total expenditure this submission

Total expenditure to date
Approved budget
Balance
Head of Village Project Support Committee:
Head of Procurement Sub-committee:
Date: …..…………
110
Chapter 3: Forms
FORM TA 1: FACILITATOR MONTHLY REPORT
Facilitator Monthly Report for
.. … (month), 201…. (year)

Name of Facilitator: …………….(technical/community) – delete whichever is inapplicable
1. State/ Region:
2. District:
3. Township:
4. Village Tract:
5. Villages (Facilitator worked in during the month): .. .. .. .. ..

.. .. .. .. .. ..
6. Village contact information:
Name Position Contact phone

.. Village Administrator
.. Deputy Village Administrator
Village clerk
7. Progress of Village Subcommittees and Entities:
Committee/ Date formed Village Name Status, i.e. Members (No)

subcommittee name working, not Male Female
functional
8. Meetings conducted during the month:
Type of Meeting Meeting Dates Participants Number
Orientation
1st village meeting
2nd village meeting
Forum meeting
Sub-project monitoring
..
..
9. Key-lessons learnt from meetings i.e. better ways to conduct, participants, publicity, etc.:
111
Chapter 3: Forms
.. .. .. .. ..
.. .. .. .. ..
.. .. .. .. ..
10. Number of sub-projects assessed during the reporting month and key-lessons learned: .. ..
.. ..
.. .. .. ..
11. Report progress for each approved sub-project you are responsible for: use one line for each sub-
project
Sub-project Name Village Date Progress (% Comments

Construction completed)
commenced
School
Road
Water supply
12. List key-issues that have affected sub-project progress during the reporting period:
.. .. .. .. ..
.. .. .. .. ..
.. .. .. ..
13. Visitors to sub-projects: All individuals/staff visited sub-projects during the month are to be listed
Name of Visitor Date Organisation Purpose Comments
14. Main issues and lessons learnt:
.. .. .. .. .. ..
.. .. .. .. .. ..
15. Monitoring visits: Report below monitoring visits made by you during reporting period.
Sub-project Name Date of Monitoring What Event? i.e. Comments

Visit monthly monitoring,
feedback, social
audit, etc.
112
Chapter 3: Forms
16. Training conducted during the reporting period:
Venue (village Topic a Date Participants Date Training

tract/village) Report
Male Female Submitted
aExamples- sub-project monitoring, simple construction activity, sub-project maintenance,

financial management, book keeping, etc.
_______________ ___________ ______________

Name of Facilitator Date Signature
Approved by:
_________________ ____________ ______________

Name & Position Date Signature
Data entered into MIS by:
Date entered:
NOTE: Monthly report should be completed by each facilitator and checked for accuracy
before handing-over to Township TA M&E Officer by the 5th of the following month.
Each facilitator should attach his signed timesheet.
113
Chapter 3: Forms
QUARTERLY REPORT FOR …………….. (NAME OF TOWNSHIP)

…..QUARTER 201….
TOWNSHIP LEVEL TECHNICAL ASSISTANCE FOR PROJECT IMPLEMENTATION
NATIONAL COMMUNITY-DRIVEN DEVELOPMENT PROJECT
IDA Grant No: H814-MM
Prepared by:
DRD Technical Assistance Team at …… (Township)
Date: …..
114
Chapter 3: Forms
Executive Summary
1. The National Community-Driven Development (NCDD) project of the Government of
Republic of the Union of Myanmar commenced implementation in ….(township) on ….. 2013. The
township TA team was mobilized on …..
2. The purpose of the Quarterly Report covering the period from …. (month) to …. (month)
201., is to present implementation progres, to highlight issues, and put forward the work plan
for the upcoming quarter.
3. The NCDD in …. (township name) is planned for implementation in all of the … village
tracts and … villages in the township.
4. Summarise main achievements accomplished during the quarter under review. Include
but not limited to, information listed below:
 Staffing (DRD, TA and facilitators);
 Facilities at the DRD Secretariat;
 Progress in work i.e. orientation meetings (planned and completed), training and
capacity building, village project support committees established (planned and actual),
village tract project support committees established (planned and actual),
subcommittees (village and village tract) formed and functional, sub-project identified
and orioritized by type, bank accounts opened, funds transferred, sub-project progress,
main impediments to meeting targets, risks and measures implemented;
 Other main achievements during the quarter …
Summarize work plan for the next quarter.
115
Chapter 3: Forms
1. Introduction
1.1 Purpose
The quarterly report describes implementation progress and main achievements together with
other issues that may have affected project implementation during the reporting period. The
report shows main activities planned for the next quarter. For the purpose of reporting
achievements, the report compares implementation progress against the work plan. The
quarterly report also provides details of issues resolved, recommendations to improve
implementation progress and other issues that require the attention of project management.
1.2 Staffing
Provide details of plans / achievement for staff recruitment, the number of staff working full-
time on NCDD at the DRD Township Secretariat. Provide organization chart for DRD Secretariat.
Provide staff mobilization data in as below:
Table 1: Progress of DRD Township Secretariat and Staffing

NCDD Staff (Number)
Full-time Part-time
DRD staff
Township TA
Facilitator
All
2. Implementation Progress
 Provide progress of implementation of project work plan at this township by main

items. Provide a discussion under each item in the plan. Provide a progress summary
table by # and % (MIS Form PC 8 may be used), and highlight main achievements
 Include preparation of training materials, delivery of training, recruitment of staff and
facilitators, deployment, village meetings (by type), participants (disaggregated by
gender and, poverty, ethnicity if possible), procurement and financial matters.
 Discuss main issues, how the team has planned to overcome them and, other unresolved
issues requiring further inputs.
 Provide specific data to highlight progress such as meetings (by type) conducted and
compare with the plan
 If there are key-issues and lessons learnt, please highlight them.
3. Work Plan for the Quarter … -…. 2014
List the main activities planned for the next quarter and provide time-lines to achieve them. Flag
any issues that may affect achievements for consideration by others.
116
Development Project
Operations Manual
Chapter 4
Terms of References
1 Union Level 119

1.1 The Steering Committee 120
1.2 The Department of Rural Development 121
1.3 NCDDP Secretariat 121
1.4 Union Technical Assistance 122
2 Regions/States Level 123
3 District Level 123
4.1 Township NCDDP Secretariat 124
4.2 Township Planning and Implementation Committee 125
4.3 Township Technical Assistance 125
5.1 Village Tract Project Support Committee 126
5.2 Finance Sub-Committee 126
5.3 Grievance Committee 127
6 Village Level 127
6.1 Village Project Support Committee 128
6.2 Monitoring and Evaluation Sub-Committee 128
6.3 Procurement Sub-Committee 129
6.4 Operation and Maintenance Sub-Committee 129
6.5 Village Volunteers 129
6.7 Finance Clerks 129
Chapter 4: Terms of References
CHAPTER 4
TERMS OF REFERENCES
328. Implementation of the NCDDP will take place principally at three levels: (1) the union
level, with deconcentrated DRD cluster offices as appropriate; (2) townships level; and (3)
village tract and village level.
Chart 4-1: Institutional Structure

Central Committee

Working Committee
Region/State Ministry of Livestock Union Technical

Union Ministers Assistance
Government Fisheries and Rural
Development
Dept. of Rural
Development
Inter-ministerial
Region/ State Planning and Technical
Implementation Committee Committee
DRD Cluster Office
Township Planning and Township Technical

DRD Township Office
Implementation Committee Assistance
Village Tract Project

Finance Sub- Committee Community/ Technical
Support Committees &
Grievance Committee Facilitators
Grievance Committee
Procurement/ Village volunteers

Village Project Support
Monitoring/O&M Sub- Grievance focal points
Committees
Committees Finance clerk
1 UNION LEVEL
329. At the Union level, the Foreign Aid Management Working Committee serves as the
Project’s Steering Committee and provides overall guidance for the Project.
119
330. The Department of Rural Development (DRD) of the Ministry of Livestock, Fisheries and
Rural Development is the Project’s implementing agency.
Table 4-1: Entities Involved in Project Implementation at Union Level
Name Membership Main Functions Status

Steering Committee Members of the Foreign Oversees Exists
Aid Management implementation,
Working Committee approves selection of
townships
DRD Project Project director, Overall project Exists
Secretariat technical and implementation,
administrative staff; monitoring
NGO/firm
1.1 THE STEERING COMMITTEE
331. The Foreign Aid Management Working Committee will serve as the project's steering
committee and provide general oversight over the project: it will advise DRD on implementation
matters, facilitate the resolution of any policy level or complex operational issues, and support
and coordinate the involvement of relevant ministries. It will approve the selection of the
participating townships based on the criteria and selection process outlined in Chapter 1 of this
manual.
332. At present, the Foreign Aid Management Working Committee (Project Steering
Committee) includes the Union ministers, deputy-ministers and director generals of union level
departments, as follows:
(a) Union Minister, Ministry for President's Office (3), as Chair

(b) Union Minister, Ministry for President's Office (4), as Vice-Chair
(c) Union Minister, Ministry for President's Office (5), as Vice-Chair
(d) Union Minister, Ministry of Home Affairs, as member
(e) Union Minister, Ministry of Industry, as member
(f) Union Minister, Ministry of Finance, as member
(g) Union Minister, Ministry of National Planning and Economic Development, as
member
(h) Chairperson, Union Civil Services Board, as member
(i) Deputy Minister, Ministry of Information, as member
(j) Deputy Minister, Ministry of Cooperative, as member
(k) Deputy Minister, Ministry of Agriculture and Irrigation, as member
(l) Deputy Minister, Ministry of Livestock, Fisheries and Rural Development, as
member
(m) Deputy Minister, Ministry of Education, as member
(n) Deputy Minister, Ministry of Health, as member
(o) Deputy Minister, Ministry of Rail Transportation, as member
(p) Director General, Department of Planning and Statistics, Ministry of
Environmental Conservation and Forest, as member
(q) Director General, Department of Industry and Vocational Training, Ministry of
Science and Technology, as member
(r) Deputy Minister, Ministry of National Planning and Economic Development, as
secretary
(s) Deputy Minister, Ministry of Finance and Revenue, as joint secretary
120
1.2 THE DEPARTMENT OF RURAL DEVELOPMENT
334. The Department of Rural Development (DRD) is the implementing agency for the
project, with overall responsibility for project implementation, including compliance with the
provisions of the project operations manual, procurement of consultancy services for technical
assistance and institutional support, communications and outreach, capacity development of all
project stakeholders, monitoring and evaluation, and consolidated reporting. In addition, DRD
will ensure the operation of an effective Grievance Handling Mechanism (GHM) accessible
across all project townships. In carrying out these functions, DRD will procure and supervise
the work of local and/or international NGOs and firms with a previous track record of
implementing community-based activities for technical assistance and institutional support at
the union and township levels.
As part of its work, union level DRD staff will undertake regular monitoring and supervision
visits to project locations, review township quarterly reports, resolve management and
implementation issues as they arise, and provide a learning feedback loop with the townships.
The DRD office will provide quarterly and annual progress reports to the steering committee
and the World Bank.
335. DRD will disclose all audit reports on its website, http://www.cdd.drdmyanmar.org/.
1.3 NCDDP SECRETARIAT
336. To carry out the above functions, DRD has set up a project secretariat at the union level
with dedicated DRD staff. Functions and responsibilities of the Secretariat include:
Position Responsibilities
Project Director (a) Overall management responsibility for the grant and loan
(b) Communications and outreach
(c) Monitoring and evaluation, consolidated reporting
(d) Implementation of the overall project
(e) Accountable to DRD and the World Bank that provide funds for the CDD
project
Deputy Project (a) Assist project manager to carry out responsibilities relating to the CDD project
Director
Project Manager (a) Overall implementation of the project
(and OP1) (b) Supervise overall operations
(c) Compliance with the provisions of the operations manual
(d) Supervise/guide project implementation at township level (cluster 1)
Procurement (a) Supervise staff responsible for project-wide procurement tasks/activities
Section Head including preparing and updating the project procurement plan; timely
(and OP2) procurement of office equipment, furniture, training/socialization materials,
and consulting services at the union level; and procurement monitoring and
reporting; prepare/support related on-the-job and other training of staff
(b) Coordinate/guide staff responsible for tasks related to training and other
areas as applicable
(c) Supervise/guide project implementation at township level (cluster 2)
Finance Section (a) Supervise/guide staff responsible for project-wide financial management
Head tasks including staffing, budgeting, funds flow to village tract bank accounts,
block grant monitoring, accounting, internal control and reporting in
compliance with the Loan and Grant Agreement; prepare/support related on-
the-job and other training of staff
121
Position Responsibilities
Admin Section (a) Supervise/guide staff responsible for project-wide administrative
Head tasks/activities to include arranging meetings and field travel, filing
documents, record-keeping, ensuring supply of office materials and
equipment, translation, and other tasks required to support project
implementation at the Union level; prepare/support related on-the-job and
other training of staff
Infrastructure (a) Supervise/guide staff responsible for project-wide tasks related to community
Deputy Director infrastructure development, design, safeguards adherence including
(and OP3) environmental management plans (EMPs) and environmental codes of
practice (ECoP), operations and maintenance; and provide advice and
explanation and discuss with communities regarding their choice of sub-
project
(b) Coordinate/guide staff responsible for tasks related to participation, gender,
social accountability, communication and others as applicable
(c) Supervise/guide project implementation at township level (cluster 3)
M&E/MIS Specialist (a) Take responsibility for monitoring and evaluation (M&E) of the overall project
(b) Manage the project management information system (MIS)
Gender Specialist (a) Promote gender equality and social inclusion as well as the empowerment of
women in the overall project
Training Officers (a) Manage and coordinate training of all implementers at village level, village
tract level, township level and union level
Finance Officers (a) Perform tasks assigned by the Finance Section Head including budgeting, block
and Assistants grant disbursement and monitoring, accounting, internal control, reporting,
etc.
Procurement (a) Perform tasks assigned by the Procurement Section Head including
Officers and procurement of office equipment, office furniture, and training/socialization
Assistants materials and consulting services, etc. using the appropriate procurement
method
MIS Officers (a) Manage matters relating to database management, communications, data
collection, publication of information on the overall project through various
media
Data Entry Staff (a) Input and update project data in the database
Office Managers (a) Take responsibility for various office tasks necessary to ensure smooth
implementation of the whole CDD project
Communications (a) Responsible to contact, discuss, inform, and release news regarding the project
Officers to people in project villages; and respond to their questions, comments and
feedback
Secretaries (a) Perform various office support tasks for day-to-day project implementation
337. With the scale-up of the project, the Union NCDDP Secretariat will increasingly
deconcentrate its operations, establishing a regional/cluster approach for the supervision and
technical support of the townships. Initially, up to 10 deconcentrated offices might be
established with mixed teams of DRD officers, including engineers, finance, procurement, MIS
and M&E, CDD trainers, and others as appropriate. In this process, general decentralization
policies will be taken into account.
1.4 UNION TECHNICAL ASSISTANCE
338. To support the effective implementation of the project at the union level, DRD has
procured a technical assistance team at the union level. The Union-level Technical Assistance
(UTA) team is led by a Team Leader (Lead CDD Specialist) and comprises the following team
members:
(a) Team Leader/Lead CDD Specialist

(b) Grievance Redress Specialist
(c) Training Specialist
122
(d) Infrastructure Specialist

(e) Procurement Specialist
(f) Finance Specialist
(g) M&E Specialist
(h) MIS Specialist
339. The composition of technical expertise required by DRD at the union level may change
as the project evolves.
2 REGIONS/STATES LEVEL
340. The region/state level authorities will play a coordination and oversight role, supporting
the township selection process outlined in Chapter 1, and monitoring and supervising the
activities of the township planning and implementation committee. At the region/state level,
the DRD region/state office will take the responsibility of coordination between the respective
region/state government ministries and other related departments.
3 DISTRICT LEVEL
341. The District level will act as coordination agency for assistance to participating project
townships.
4 TOWNSHIP LEVEL
342. There are two key bodies involved in project implementation at the township level: the
Township Aid Management Sub-Committee (through its Township Planning and
Implementation Committee) and the DRD township office.
Table 4-2: Entities Involved in Project Implementation at Township Level

Township Planning Includes township- Provides oversight and Exists
and Implementation level staff from linkage between
Committee government line village tract and
ministries township plans; brings
in services and
support from technical
agencies, endorses
first development plan
from each village tract
Township NCDDP DRD head, Provides Exists
Secretariat administrative and implementation
technical staff, support; design and
NGO/firm, Community screening of sub-
and Technical projects; facilitating
Facilitators annual social audits
and organizing
township-level multi-
stakeholder review
meetings
123
4.1 TOWNSHIP NCDDP SECRETARIAT

343. DRD will be responsible for project implementation at the township level through its
existing offices. In addition to the township head of DRD who will work part time on the project,
DRD will assign full time dedicated project and administrative officers for each office, with a
complement of at least six staff per township office as outlined below. DRD township staff will
provide technical support to Community and Technical Facilitators and Village Tract Project
Support Committees (VTPSC), will coordinate with government departments and other
development partners, and will carry out monitoring of and reporting on project activities in the
townships. Any staffing gaps will be filled by reassignments from other township offices or the
DRD union office.
According to the structure of the Township NCDDP Secretariat, the position title, duties and
functions of the Township NCDDP Secretariat are as follows:
Positions Responsibilities
Head of DRD (part (a) Overall oversight
time for the (b) Coordination at township level and higher levels
project) (c) Authorized signatory
Project Manager (a) Take responsibilities for all matters related to the implementation of
township NCDDP project in the participating villages
(b) Ensure compliance with the project operations manual
(c) Take responsibility for gender equality and social inclusion as cross cutting
issues
(d) Together with the Township-level Technical Assistance (TTA) team leader
foster a positive and constructive cooperation between DRD and TTA
counterparts
Infrastructure (a) Provide advice and explanation and discuss with villagers regarding their
Officer choice of sub-project
(b) Design, bill of quantity and cost estimates of sub-projects
(c) Ensure compliance with safeguard standards and EMP
(d) Support and monitor operations and maintenance of sub-projects
(e) Capacity building and coaching of Community Facilitators (CFs) and
Technical Facilitators (TFs)
Finance Officer (a) Take responsibility for project financial matters at the township level
following the NCDDP Financial Management Manual
(b) Prepare activity based budgets on a quarterly basis and corresponding
requests for replenishment
(c) Ensure proper and transparent budget execution and book keeping
(d) Take responsibility for sound financial management at community level;
especially through training, coaching and monitoring of Community
Facilitators and of Finance Sub-Committees of VTPSC.
Procurement (a) Take responsibility for project procurement matters at the township level
Officer (b) Control of fix assets; ensure fix assets are available as needed and planned;
maintain the fix assets register and ensure regular updated balance with the
FAR maintained at Union Level
(c) Take responsibility of sound procurement practices at community level
during sub-project implementation; especially through training, coaching and
monitoring of CFs, TFs and of procurement sub-committees of Village Project
Support Committee (VPSC)
M&E and MIS (a) Take responsibility of project progress monitoring and reporting
Officer (b) Take responsibility of data management through the MIS, especially the
timely entry and the quality control of data
(c) Train and coach TFs and CFs in the basics of monitoring, the application of all
monitoring forms data entry on the tablets and the quality control of the data
(d) Detection and troubleshooting or reporting of hardware and software
problems
124
Positions Responsibilities
(e) Maintenance and administration of the township MIS
Social (a) Take responsibility of fostering social accountability including compliance of
Accountability the code of conduct
Officer (b) Manage the grievance handling mechanism in coordination with the different
levels: village grievance focal points, village tract and township grievance
committees and the Union NCDDP Secretariat
(c) Provide continuous capacity building for facilitators, VTPSC and VPSC
members; promote suitable outreach and communication
(d) Assume tasks related to other NCDDP communication activities as needed
(e) Coordination of the social audit meetings at the end of the community project
cycle
4.2 TOWNSHIP PLANNING AND IMPLEMENTATION COMMITTEE
344. The Township Planning and Implementing Committee (TPIC) is the extension of the
existing township aid management sub-committee, which is the node where the state and
community levels interact both administratively and substantively. These committee and sub-
committee are the extension of the union level Foreign Aid Management Working Committee
and bring together a broad range of ministries present at the township level.
345. The committee includes line ministry representatives (health, education, agriculture,
planning, etc.) and will oversee project implementation in the township, including reviewing
annually NCDDP subproject proposals.
4.3 TOWNSHIP TECHNICAL ASSISTANCE
346. To implement the project at the township level, DRD will procure local or international
NGOs and firms with a track record of implementing community-based activities. Township-
level Technical Assistance (TTA) teams will be composed of:
(a) Team Leader (lead CDD/Training Specialist)

(b) Finance Officer
(c) Procurement Officer
(d) M&E/MIS Officer
(e) Infrastructure Specialist (only in year 1 and year 2 townships)
(f) Social Accountability and Gender Specialist
(g) Community Facilitators
(h) Technical Facilitators
The TTA team will be supported by an International CDD Specialist and a National Program
Advisor (both short term).
347. The TTA team will support the Township NCDDP Secretariat and assist DRD staff across
the full range of activities. They will also support the secretariat in tracking and monitoring
complaints through the establishment of a grievance redress mechanism. In year 1 and year 2
(2013/14 and 2014/15), TTA NGOs/firms were hired for each township individually. From
year 3 on, a cluster approach is applied where selected NGOs/firms will provide technical
assistance for several townships within one or more states and regions.
125
5 VILLAGE TRACT LEVEL
348. The village tract is the operational level of the project. All village tracts in the selected
townships are covered for equity purposes. At the village tract level, Village Tract Project
Support Committees (VTPSC) will be established. Each VTPSC includes a Finance Sub-
Committee and a Grievance Sub-Committee. Planning and prioritization of sub-projects will be
undertaken by village representatives in VTPSC.
Table 4-3: Entities Involved in Project Implementation at Village Tract Level

Village Tract Project Based on the existing Preparing village tract To be established at
Support Committees Village Tract development plan; the beginning of the
Development Support sub-project approval; community project
Committees and/or managing block grants cycle in the respective
two members from townships
each village (one man
and one woman);
village tract
administrators as
advisors; supported by
Community Facilitator
Finance Sub- Three “core”members Keeping books for sub- To be established by
committee (at least one woman) projects, making the village tract forum
selected by village payments to upon its inception
tract forum members contractors, vendors
based on transparent and laborers
criteria. The Finance
Sub-Committee
consists of this core
members plus the
elected finance clerks
from each village.
Grievance Committee Grievance focal points Collecting/receiving Established through
from each village in the and responding to selection at village
village tract grievances level
5.1 VILLAGE TRACT PROJECT SUPPORT COMMITTEE
349. The VTPSC and Village Project Support Committees (VPSC) will be responsible for the
community planning process and sub-project cycle at the village tract and village levels,
respectively. The VTPSC and VPSC shall carry out sub-projects with due diligence and efficiency
and in accordance with sound technical, economic, procurement, financial, management,
environmental and social standards, practices and procedures in accordance with this project
operations manual.
350. The VTPSC will review the respective Village Development Plans and prioritize the
interventions against the needs of the village tract and the available funding envelope in a 3-
year village tract development plan.
5.2 FINANCE SUB-COMMITTEE
351. The VTPSC will set up a Finance Sub-Committee to manage project funds. Block grants
will be allocated through a participatory planning process covering all villages within a village
tract.
126
352. Disbursements to the bank account of a VTPSC will only take place when the
requirements stated in Chapter 1 of the Operations Manual are completed.
5.3 GRIEVANCE COMMITTEE
353. The Village Tract Grievance Committee (VTGC) is responsible for implementing the
grievance redress mechanism. It serves as the body for reviewing grievances addressed to the
village tract. Its tasks include supporting the grievance information campaign, monitoring
progress of grievance handling activities, and collecting/receiving and responding to
complaints/grievances and where necessary, referring such to the township level. The VTGC is
composed of the two grievance focal points (one man and one woman) from each village. This
committee is independent from the VTPSC (e.g. members of the VTGC cannot also be members
of the VTPSC). The VTGC will be supported in its work by the Community Facilitators.
6 VILLAGE LEVEL
354. All consultations at the community level will be conducted in the project villages.
Community members take an active role in project implementation, including the village
volunteers and the members of the VTPSC, VPSC, and various sub-committees.
355. Villagers will be invited to attend social audits at the end of each annual cycle to review
the expenditures made and progress achieved, discuss the findings of any financial and
technical audit findings, and suggest local adaptations to the project cycle or community
implementation structure. As long as the project is active in a township, villagers will have the
opportunity to provide feedback or express complaints through a grievance handling
mechanism, described in Chapter 2.
356. At the village level, trained Community Facilitators and village volunteers will organize
separate meetings with women and men to identify their respective needs and priorities for the
Village Development Plan and document these in the project’s management information system.
For work performed for sub-projects, there will be equal pay for equal work for women and
men. Furthermore, the environmental and social safeguards screening for each sub-project will
include gender aspects. Safeguards plans prepared for the sub-projects will include a review of
gender aspects, and propose specific actions related to gender issues when warranted. The
Community Facilitators and village volunteers will also ensure that there are no restrictions on
women’s participation and that women are properly represented in the VPSC and various sub-
committees.
357. For each annual block grant allocation, villagers will identify priority needs and sub-
projects through participatory social assessments. They will also set up Operation and
Maintenance (O&M) Sub-Committees for the sustainability of sub-projects through a
participatory process.
127
Table 4-4: Entities Involved in Project Implementation at Village Level

Village Project Support Elected during the Take responsibility for To be elected/re-
Committee second village meeting the village elected at the
with representation of development in beginning of the
women and general and due community project
marginalized and implementation of cycle in the respective
minority groups; sub-projects in villages
among its members, particular
elect two heads (one Identifying priority
man and one woman) needs, participating in
to represent in the sub-project design and
VTPSC. screening
M&E Sub-Committee 2-3 persons, at least Monitor To be elected/re-
one woman implementation of elected at the
sub-projects including beginning of the
safeguards; prove community project
periodic reports to cycle
village; support CF and
TF in data collection
for MIS
Procurement Sub- 2-3 persons, at least Carry out procurement To be elected/re-
Committee one woman of goods, works and elected at the
services related to sub- beginning of the
project community project
implementation cycle
O&M Sub-Committee 2-3 persons, at least Prepare and carry out To be elected/re-
one woman O&M plan; set up and elected at the
manage village O&M beginning of the
fund co-shared by community project
beneficiaries cycle
(voluntary) and
township (as may be
agreed)
6.1 VILLAGE PROJECT SUPPORT COMMITTEE

358. All population groups in a project village (including women, ethnic, and marginalized
groups) will take an active part throughout the project cycle at the community level. The Village
Project Support Committee (VPSC) should take leadership for the village development in
general. The VPSC is specifically responsible for planning, prioritizing and implementing
community infrastructure sub-projects. Sub-projects financed under the project will comprise
small-scale civil works that could potentially generate local and only temporary minor adverse
environmental and social impacts, which will be managed through the Environmental and Social
Management Framework (ESMF), including the Environmental Codes of Practice (ECoP)
presented in Chapter 5. The VPSC is responsible for ensuring adherence to the ESMF in sub-
project design, implementation and maintenance.
6.2 MONITORING AND EVALUATION SUB-COMMITTEE
359. The Monitoring and Evaluation (M&E) Sub-Committees will report regularly to the
villagers about progress in sub-project implementation. This sub-committee will supervise the
implementation of the sub-projects and authorize payments to the contractors and laborers. It
will also check on procurement, finances, and sub-project implementation and report back to
128
the entire village at periodic open village meetings. These meetings will enhance the
transparency of project implementation and the accountability of the sub-committees.
6.3 PROCUREMENT SUB-COMMITTEE
360. The Procurement Sub-Committee will be responsible for the procurement of goods,
works and services. However, financial management and contracting will be undertaken by the
Village Tract Finance Sub-Committee. The DRD engineers at the township level will also be
responsible for the technical design of the sub-projects. The procurement of construction
materials or works for community infrastructure will be the responsibility of the Procurement
Sub-Committee at the village level.
6.4 OPERATION AND MAINTENANCE SUB-COMMITTEE
361. To help ensure the long-term sustainability of completed sub-sub-projects, the

Operation and Maintenance (O&M) Sub-Committee will be responsible for preparing the village
O&M plan which will include major tasks, schedule for carrying out tasks, responsibilities,
estimated cost and annual budget, and identification of fund sources/collection of funds.
6.5 VILLAGE VOLUNTEERS
362. The village volunteers will assist the VPSC and the Community Facilitator throughout
project implementation. They will help to enhance the involvement of ethnic minorities in the
decision-making process in the VTPSC; participation of ethnic minority representatives in VPSC
and M&E Sub-Committees; and the use of local languages in the dissemination of project-related
information.
6.6 GRIEVANCE FOCAL POINTS
363. The grievance focal points will serve as link between the village and the project on all
grievance-related matters. The focal point will collect grievances for discussion with the Village
Tract Grievance Committee and facilitate response to the complainants.
6.7 FINANCE CLERKS
364. The finance clerks will assist the VPSC with regard to all finance and accounting
functions and are members of the Village Tract Finance Sub-Committee, assisting to carry out
sub-committee duties for their own village, such as keeping books for sub-projects, facilitating
payments to contractors, vendors and laborers, and preparing sub-project financial reports.
129
Development Project
Operations Manual
Chapter 5
Environmental Codes of Practice
1 Introduction 132
2 Process of Environmental Codes of Practice 132
3 Environmental Codes of Practice Guidelines 133
3.1 General Guidelines 133
3.2 Technical Guidelines 134
3.2.1 Buildings 134
3.2.2 Rural Roads, Bridges and Jetties 135
3.2.3 Rural Water Supply 137
3.2.4 Rural Electrification 138
3.2.5 Small-scale Irrigation 139
3.2.6 Sanitation Facilities 139
4 Environmental Codes of Practice Attachments 140
Chapter 5: Environmental Codes of Practice
CHAPTER 5
ENVIRONMENTAL CODES OF PRACTICE
1 INTRODUCTION
365. The National Community Driven Development Project (NCDDP) uses an Environmental
and Social Management Framework (ESMF) to manage and mitigate potential negative impacts
associated with project activities. To manage and mitigate potential negative environmental
impacts, the ESMF mandates adherence to Environmental Codes of Practice (ECoP) outlined in
this chapter. The ECoP contain specific, detailed and tangible measures to mitigate the potential
impacts of each type of eligible sub-project activity under the project. They are designed taking
into account the local context in Myanmar, with an emphasis on being simple and readily
useable by the local communities who are the main beneficiaries of the project.
2 PROCESS OF ENVIRONMENTAL CODES OF PRACTICE
366. The ECoPs are to be implemented by villages and/or contractors in the planning and
construction of sub-projects, with the support of community and Technical Facilitators and the
DRD township engineers. While Community Facilitators will focus on providing training on the
ECOPs and their integration in community proposals, the DRD township engineers and
Technical Facilitators will be responsible for the adoption of the codes into their technical
design and adherence to them during construction. The adoption of these codes will be closely
supervised and supported by DRD engineers at the union level.
367. The adherence to the ECoPs will be monitored though the project’s annual progress
report submitted by DRD at the union level. One section of that report should focus on assessing
the application of this environmental management tool, including any issue(s) or problem(s) in
the field and measures or actions undertaken in solving the problem(s).
368. The ECoPs will be adopted throughout the project cycle, as described in the following
table:
Table 5-1: Steps to Conduct the Environmental Codes of Practice

2nd Village Meeting As plans for specific sub-projects begin to develop at the village level,
the TF introduces the main objective of the ECoP as a mitigation tool to
prevent negative environmental impact of proposed sub-project.
Sub-project preparation The TF ensures that the specific section(s) of the relevant ECoP is
prepared and adopted for the specific sub-project technical design. The
inclusion of the relevant codes strengthens the design of sub-projects
when properly adopted.
Sub-project The TF, assisted by the DRD township engineer if needed, ensures that
Implementation the relevant ECoP provisions are adequately followed by selected
workers/villagers and/or contractors recruited by the VPSC.
If construction is by a community using the community forced account,
the community with the help of the TF, is responsible for
implementation of any mitigation plan and measures. If construction is
by a contractor, the contractor is responsible for ECoP implementation;
and the contract will specify the relevant tasks and responsibilities.
Supervision of ECoP implementation will be conducted by the VPSC,
with the help of the TF and the DRD township engineer as appropriate.
132

Operations and The TF and the DRD township engineer provide support to the village
Maintenance (O&M) O&M Sub-Committee regarding continued adherence to the relevant
ECoP once works are finalized and the sub-project enters its operation
phase. Relevant line agencies provide support as required.
369. ECoPs apply to all types of investments financed as part of the NCDDP. For sub-projects
that are likely to have more significant environmental impacts, an Environmental Management
Plan (EMP) has to be prepared before work on the sub-project may commence.
370. These ECoPs are designed to allow easy adoption during proposal development and sub-
project implementation. Each sub-project proposal will adopt a relevant section of the ECoP.
Technical Facilitators are responsible to ensure the adoption of this specific code into the
proposal.
3 ENVIRONMENTAL CODES OF PRACTICE GUIDELINES
3.1 GENERAL GUIDELINES
371. The following table shows the general guidelines that are applicable to most
rehabilitation and construction activities.
Table 5-2: ECoP General Guidelines
Issue Environmental Prevention/Mitigation Measures

Noise during (a) Plan activities in consultation with communities so that noisiest
construction activities are undertaken during periods that will result in least
disturbance.
(b) Use noise-control methods such as fences, barriers or deflectors,
such as muffling devices for combustion engines or planting of fast-
growing trees.
(c) Minimize project transportation through community areas
(d) Maintain a buffer zone, such as open spaces, row of trees or
vegetated areas, between the project site and residential areas to
lessen the impact of noise to the living quarters.
Soil erosion (a) Schedule construction during dry season.
(b) Contour and minimize length and steepness of slopes.
(c) Use mulch, grasses or compacted soil to stabilize exposed areas.
(d) Cover with topsoil and re-vegetate (plant grass, fast-growing
plants/bushes/trees) construction areas quickly once work is
completed.
(e) Design channels and ditches for post-construction flows and line
steep channels/slopes (e.g., with palm frowns, jute mats, etc.)
Air quality (a) Minimize dust from exposed work sites by applying water on the
ground regularly.
(b) Do not burn site clearance debris (trees, undergrowth) or
construction waste materials.
(c) Keep stockpile of aggregate materials covered to avoid suspension
or dispersal of fine soil particles during windy days or disturbance
from stray animals
Water quality and (a) Activities should not affect the availability of water for drinking and
availability hygienic purposes.
(b) No soiled materials, solid wastes, toxic or hazardous materials
should be poured or thrown into water bodies for dilution or
disposal.
133
Issue Environmental Prevention/Mitigation Measures

(c) The flow of natural waters should not be obstructed or diverted to
another direction, which may lead to drying up of riverbeds or
flooding of settlements.
(d) Separate as best as possible concrete works in waterways and keep
concrete mixing separate from drainage leading to waterways
Solid and hazardous (a) Collect and transport construction waste to appropriately
waste designated/controlled dumpsites.
(b) Maintain waste (including earth dug for foundations) at least 300
metres from rivers, streams, lakes and wetlands.
(c) Use secured area for refuelling and transfer of other toxic fluids
distant from settlement area (and at least 50 metres from drainage
structures and 100 metres from important water bodies); ideally
on a hard/non-porous surface.
(d) Train workers on correct transfer and handling of fuels and other
substances and require the use of gloves, boots, aprons, eyewear
and other protective equipment for protection in handling highly
hazardous materials.
(e) Collect and properly dispose of small maintenance materials such
as oily rags, oil filters, used oil, etc.
Health and safety (a) Provide personal protective gear for workers as necessary (gloves,
dust masks, hard hats, boots, goggles).
(b) Keep worksite clean and free of debris on daily basis.
(c) Keep corrosive fluids and other toxic materials in properly sealed
containers for collection and disposal in properly secured areas.
(d) Ensure adequate toilet facilities for workers from outside of the
community.
(e) Rope off construction area and secure materials stockpiles/ storage
areas from the public and display warning signs. Do not allow
children to play in construction areas.
(f) Fill in all earth borrow-pits once construction is completed to avoid
standing water, water-borne diseases and possible drowning.
(g) Each construction sub-project to have a basic first-aid kit with
bandages, antibiotic cream, etc.
Others (a) No cutting of trees or destruction of vegetation other than on
construction site.
(b) No hunting, fishing, capture of wildlife or collection of plants.
(c) No use of unapproved toxic materials including lead-based paints,
un-bonded asbestos, etc.
(d) No disturbance of cultural or historic sites.
3.2 TECHNICAL GUIDELINES
372. The following tables show the technical guidelines for construction and/or
rehabilitation by sub-project types.
3.2.1 BUILDINGS
Table 5-3: ECoP Technical Guideline for Buildings
Sub-project Type Environmental Prevention/Mitigation Measures

General (a) Provide adequate drainage in the building’s immediate
surroundings to avoid standing water, insect related diseases
(malaria, etc.) and unsanitary conditions.
(b) Include sanitary facilities such as toilets and basins for hand
washing.
(c) Avoid use of asbestos cement tiles as roofing.
134

(d) Tiled floors are preferred for easier cleaning and more hygienic.
Schools, community (a) Schools/health centres: Maximize natural light and ventilation
recreation centres systems to minimise needs for artificial light and air conditioning;
(including: child care use large windows for bright and well ventilated rooms.
centres, [Attachment #12]
telecommunication (b) Health centres:
centres), rural health (1) Provide adequate area for treatment, waiting area and
centres and markets patient’s rooms, all of which should be well ventilated.
(2) Include facilities for proper disposal of health and biological
wastes (syringes, blood, etc.).
(c) Markets:
(1) Tiled/paved floor is preferred for easy cleaning and
maintenance. Slope floor for drainage.
(2) Provide garbage/waste disposal that can be emptied
regularly.
(3) Separate the stalls/shops in the market for dry and wet
produce/products.
(4) Ensure the stalls/shops have covers/roof to avoid standing
waters during rainy seasons.
3.2.2 RURAL ROADS, BRIDGES AND JETTIES
Table 5-4: ECoP Technical Guideline for Rural Roads, Bridges and Jetties

Roads connecting General Considerations:
villages, between (a) Control placement of all construction waste (including earth cuts)
villages and township to approved disposal sites (at >300 m from rivers, streams, lakes, or
wetlands). Dispose in authorised areas all of garbage, metals, and
excess materials (fuels, oil, grease) generated during construction.
Never dispose spent oils on the ground and in water courses as it
can contaminate soil and groundwater.
(b) Erosion control measures should be applied before the rainy season
begins, preferably immediately following construction. Maintain,
and reapply the measures until vegetation is successfully
established.
(c) Sediment control structures should be applied where needed to
slow or redirect runoff and trap sediment until vegetation is
established.
(d) Spray water on dirt roads, cuts, fill materials and stockpiled soil to
reduce wind-induced erosion, as needed.
(e) Avoid road construction through primary forests as it gives access
to illegal logging.
(f) Avoid road construction in unstable soils, steep slopes and nearby
riverbanks. Additional measures (see the section below) need to be
applied should there be no alternatives for road alignments.
Protect slopes from erosion and landslides by the following

measures:
(a) Plant locally available, fast-growing grass on slopes prone to
erosion. These grasses help stabilise the slope and protect soil from
erosion by rain and runoff. Locally available species possessing the
properties of good growth, dense ground cover and deep root shall
be used for stabilisation. [Attachment #1]
(b) Provide interceptor ditch, particularly effective in the areas of high
intensity rainfall and where slopes are exposed. This type of ditch
intercepts and carries surface run-off away from erodible areas and
135

slopes before reaching the steeper slopes, thus reducing the
potential surface erosion. [Attachment #2]
(c) For steep slopes, a stepped embankment (terracing) is needed for
greater stability.
(d) Place a retaining wall at the lower part of the unstable slope. The
wall needs to have weeping holes for drainage of the road sub-base,
thus reducing pressure on the wall. [Attachment #3]
(e) Rocks (riprap) can be used in addition to protect the slope.
[Attachment #4]
(f) Prevent uncontrolled water discharge from the road surface by
sufficiently large drainage ditches and to drain water away from the
down slope.
Small bridges (less than Erosion protection:
five meters) and jetties (a) The main method of slope and erosion protection is the
construction of gabions (gravity walls that support embankments
or slopes which have a potential to slip) and ordinary stone
pitching. [Attachment #5]:
(1) The slope of gabions should be in the ratio of at least 1
vertical: 2 horizontal. Flatter slopes may be adopted
depending on the site terrain.
(2) The filling of the gabions should be from strong and
competent rock, which is laid very closely packed to maximise
the weight.
(3) Bracing wire should be used to prevent the gabion bulging
out. The bracing wire should be placed at each third of the
gabion height.
(4) The gabions should be firmly anchored into the ground by
founding the gabions below the expected scour depth level.
(5) In cases where stone pitching is not provided, the top layer
should be covered by soil to encourage the growth of grass
and the stabilisation of the slopes.
(b) Stone pitching may be provided as the only erosion protection
measure in those cases where the erosion potential is deemed
minimal. Stone pitching is not very resistant to strong water
current and is mainly used as the top finish on gabion walls.
Water Quality and Fauna:

(a) Restrict duration and timing of in-stream activities to lower flow
periods (dry season) and avoid periods critical to biological cycles
of valued flora and fauna (e.g., spawning).
(b) Water flow diversion is not advisable; if it is impossible to avoid,
impacts should be assessed and mitigation proposed.
(c) Establish clear separation of concrete mixing and works from
drainage areas and waterways
Culverts (a) Remove all formwork from inside the culvert (after concrete has
reached full strength). Formwork that is not removed will rot
eventually, drop down and obstruct the free flow of water.
[Attachment #13]
(b) Place large stones at the outlet of the culvert to prevent erosion.
[Attachment point #8]
(c) Keep the culvert inlets free from sand and gravel – the water must
flow through the culvert. [Attachment #8]
(d) Build a sand trap upstream of the culvert to prevent accumulation
at culvert inlets (sand traps will have to be cleaned periodically).
(e) Ensure that the water of the adjacent road sections can flow freely
into the roadside ditch. [Attachment #8 & 14]
136
3.2.3 RURAL WATER SUPPLY

Wells (deep/shallow) (a) Should be equipped with slab around the well for easier drainage, a
crossbeam and a pulley to support the use of only one rope and
bucket for collecting water. One rope and bucket is more hygienic
for the well and water. [Attachment #16]
(b) Steel rungs (placed inside wall of a deep well) are essential for
maintenance of a well or in case of an emergency. [Attachment #16]
(c) A groundwater well usually has a wide-open water area. It is
necessary to provide a cover/roof/wire mesh on top to protect this
area from falling leaves or debris. [Attachment #16]
(d) Wells should always be located upstream of the septic tank soak-
away. Build the soak-away as far away as possible from the well
(minimum 15 m/50 feet) as it can influence the quality of the
drinking water when it is too close (health risk). [Attachment #16]
(e) Before using a new water source, take samples for testing;
minimum key parameters for water testing: total coliform, pH,
Arsenic, Nitrate, colour, turbidity, and temperature. Water quality
should also be monitored in the case of all wells rehabilitations as
part of the project.
Spring (a) Every spring capture should be equipped with a filter and a sand
trap. Add a wall between the inflow and the outlet pipe to create
chamber for settling out sand; build the wall with a notch (lowered
section) for controlled flow. Sand must be cleaned out periodically
(O&M).
(b) Collection basin for spring capture needs to have a perforated PVC
pipe (holes diameter 2mm) to be used as a screen for the water
intake. Alternatively, a short pipe with wire mesh (screen) around
the open end should be provided.
(c) Collection basin needs to have a fence to protect the spring from
public access and risk of contamination; and a roof/cover over the
spring to prevent leaves or other debris from entering the basin.
Rainwater harvesting (a) Rainwater storage reservoir should be intact, connected to roof
gutter system, with all faucets and piping intact.
(b) If distribution pipes are attached into the storage reservoir, install
the distribution pipes 10cm above the storage/tank bottom for
better use of the storage capacity.
(c) Cover must be fitted tightly onto the top of the storage reservoir to
avoid overheating and growth of algae (from direct sunlight), and
to prevent insects, solid debris and leaves from entering the storage
tank.
(d) A ventilation pipe with fly screen should be placed in the cover to
help aerate the tank/reservoir, which is necessary for good water
quality.
(e) Roof gutters need to be cleared regularly, as bird and animal faeces
and leaf litter on roofs or guttering can pose a health risk if they are
washed into the reservoir tank.
(f) Reservoir tanks need an overflow so that in time of really heavy
rain, the excess water can drain away. The overflow should be
designed to prevent backflow and stop vermin/rodents/insects
entering the system. A good design will allow the main storage
tank to overflow at least twice a year to remove build up of floating
sediment on the top of the stored water and maintain good water
quality.
Installation/ Preventing contamination at water sources:
137

rehabilitation of (a) Build a structure with roof over the water source to prevent leaves
pipelines from natural or other debris from entering into the basin.
springs (b) A fence is needed to protect the water sources (springs
particularly) from public access and risk of contamination.
(c) The sand/gravel filter traps sediment before the spring flow enters
the collection chamber and has to be changed during periodical
maintenance.
Pipe Laying [Attachment #17]:

(a) PVC water transmission and distribution piping need to be buried
underground (coverage 50cm minimum) to prevent pipe against
external damage (e.g. passing vehicles, solar UV radiation, etc).
Exposing PVC pipe to UV radiation causes the plasticiser in the PVC
pipe to evaporate causing loss of integrity and brittleness.
(b) Pipe shall be laid in a straight line, over a constantly falling slope.
(c) When conditions do not allow piping to be buried (i.e. pipe is used
above ground), then metal pipe must be used, and
supported/braced as excessive movement may lead to leaks and
breaks.
(d) Outlet pipes and fittings from water storage/basin shall not be PVC
pipe due to exposure to solar UV/sunlight. Metal piping and fittings
are preferred.
3.2.4 RURAL ELECTRIFICATION

Solar panel and charge (a) Provide a shed for genset (distributed electrical generator system)
station or pumps that are accessible for easy maintenance. Regular
maintenance is important to avoid spillage/ contamination
Pico hydro (<30kw)
(diesel/petrol/oil).
Solar street lighting (b) At genset installation, make sure that exhaust pipe ends at the wall
side of shed, as the fumes in the shed are unhealthy for the
Diesel generator (<20
operators.
kilovolt-amps)
(c) Tidy wiring for easy maintenance and reduces the risk of accidents.
[Attachment #10]
(d) Electrical cabling connections for street lighting need to be
protected against rain to prevent short circuits.
(e) A solid pole foundation (min 80 x 80 x 100 cm) is essential for safe
lighting and power distribution. [Attachment #10]
Biogas charge station (a) Adequate level of maintenance is needed to prevent pipes getting
blocked and leaking.
(b) No open flames should ever be used near a digester, and adequate
ventilation is needed.
(c) When handling waste material, exercise appropriate precautions
by using personal protective equipment to avoid contact with
manure. Washing after working around the digester is
recommended. It is particular recommended to wash hands before
eating and drinking and before touching the eyes or other mucous
membranes.
(d) Keeping the digester facility clean will reduce disease hazards as
well as the spread of odours and fly and mosquito populations in
the digester facility.
Biomass generator (<15 (a) Biomass fuel storage should be located close to the boiler. Extended
kilovolt-amps) conveyance and elevation changes lead to increased technical
complexity (with health and safety implications) and higher capital
investment and maintenance costs.
138
(b) Ash content from combustion of biomass generator needs to be

buried or used as fertiliser.
(c) A storage facility for agricultural wastes must be located at least 15
m from any watercourse and 30 m from any source of water for
domestic purposes. If this recommended setback distance is not
feasible, additional steps should be taken to ensure impacts from
the storage waste pile are mitigated.
(d) Storage sites should be located at a level area and well drained.
Low lying, poorly drained areas should be avoided to ensure there
is no standing water.
(e) Surface run-off from the surrounding area should be directed away
from the storage waste pile.
3.2.5 SMALL-SCALE IRRIGATION

Small-scale irrigation (a) Masonry walls (along the road) or stone riprap should be built to
prevent erosion on a sloped bank. [Attachment #4]
(b) May use bamboo as bank protection along the rice fields as the
loads are low. [Attachment #8]
(c) A bar screen (vertical bars; about 20mm diameter with an
approximate 10 cm clear distance for easy maintenance) is
essential in front of any inlet structure (upstream) to prevent large
objects and debris blocking the irrigation canal. The angle between
the bottom of the canal and the screen shall be between 45 to 80
degrees.
3.2.6 SANITATION FACILITIES

Public latrines/toilets (a) All toilets must have a septic tank to provide primary treatment of
faecal waste. [Attachment #7]
(b) PVC pipe used to connect pour-flush toilet to a septic tank must be
buried underground or covered over (with cement) for protection
and to prevent exposure to sunlight.
(c) Metal pipe is a preferred choice to be used as the gas vent pipe on
septic tanks. Never use PVC pipe as it is unable to withstand long-
term exposure to sunlight.
(d) Septic tanks must have a vent pipe to prevent the build up of gas
inside the chamber and shall have a ‘manhole’ that provides access
inside the tank if needed. [Attachment #7]
(e) A toilet should be at least 20 metres from water sources (well,
spring, river). [Attachment #6]
Small-scale waste Septic tanks:
treatment facilities (a) Septic tanks must have a vent pipe to prevent the build-up of gas
inside the chamber and shall have a ‘manhole’ that provides access
inside the tank if needed. [Attachment #7]
(b) Ensure that the septic tanks have two chambers: first chamber is
for settling of sludge, and the second chamber is for aerobic
treatment. These chambers will generally treat wastewater better.
Partially treated septic tank effluent can pollute groundwater and
surface water. [Attachment #7]
(c) Do not discharge septic tank effluent to an open drain or other
surface water. The effluents need to be treated before final
disposal. This may be achieved through: (i) an underground
leachfield, (ii) a vegetated leachfield, or (iii) a pit for soaking away.
139
(d) Septic tanks must be inspected periodically and the accumulated

sludge must be emptied (by pumped out) every few years for the
tank to continue to function properly. [Attachment #7]
Solid waste disposal (wastes from rural market):

(a) Solid waste depots/disposal need to be located on hard-standing
areas that prevent waste entering surface or groundwater.
(b) Waste depots/storage/disposal should be contained, sealed and/or
roofed/covered to prevent stormwater contamination. Wastes
need to be emptied regularly.
4 ENVIRONMENTAL CODES OF PRACTICE ATTACHMENTS
140
141
142
143
144
145
146
147
148
149
150
151
152
Development Project
Operations Manual
Chapter 6
Financial Management
1 Introduction 155
2 Organization 155
2.1 Financial Management Function 155
2.2 Accounting System 156
3 Budget Preparation 157
3.1 Budget Spread by Month 157
3.2 Budget Approval 158
4 Receipt of Block Grant 158
5 Payment of Expenditure 158
5.1 Payment by Check or Money Order for Suppliers and Contractors 158
5.2 Payment for Community Force Account Work 159
5.3 Payment by Cash 159
5.3.1 Cash Withdrawals 159
5.4 Petty Cash 159
5.4.1 Petty Cash Control 160
6 Accounting Records & Controls 160
6.1 Month End Accounting Routines 160
6.2 Recording of Community Contributions 161
7 Sub-project Closure 161
Chapter 6: Financial Management
CHAPTER 6
Financial Management
1 INTRODUCTION
373. This chapter aims to support Finance Sub-Committees (FSC) of Village Tract Project
Support Committees (VTPSC) and village finance clerks in carrying out their accounting and
reporting duties for sub-projects under the NCDDP. These guidelines should be read in
conjunction with other relevant sections of this Operations Manual, in particular Chapter 1 and
2.
374. Block grants entrusted to VTPSCs are intended to be used for sub-projects benefitting
communities. All members of VTPSCs are responsible for safeguarding these funds and
ensuring that they are used for the purposes intended (see the code of conduct). The
accounting records and supporting documentation, regular accounting procedures, reporting
and auditing described in this manual are intended to help the VTPSC, its FSC and the village
finance clerks in discharging these responsibilities. The project’s grievance handling
mechanism provides a way for any member of the VTPSC or the community to raise concerns
regarding the use of project funds.
375. Unless otherwise indicated, all forms referred to in this chapter are included in Chapter
3.
2 ORGANIZATION
2.1 FINANCIAL MANAGEMENT FUNCTION
376. As described in Chapter 2, VTPSCs will elect a FSC responsible for all finance, accounting
and financial reporting of sub-projects. The “core” FSC shall consist of two to three persons,
with one person serving as the head of the FSC, and one serving as its bookkeeper. At least one
member of the FSC must be a woman. Both the head of the FSC and the bookkeeper should be
able to read and write. In addition, a finance clerk of each village will work with the FSC for
matters related to his or her own village and its sub-project(s).
377. The VPSC will appoint a finance clerk at the village level to assist the VPSC in its finance
and accounting related functions and to liaise and work with the “core” FSC of the VTPSC. The
finance clerk cannot be a member of the Procurement Sub-Committee (PSC). He or she must be
able to read and write and must be numerate. The finance clerk acts as the village cashier even
though usually funds will be kept in the VTPSC bank account or held in the village by a trusted
villager.
378. The Village Tract FSC shall have the following responsibilities:
(a) Maintain account books and financial records;

(b) Be custodian of village tract funds and manage the bank account;
(c) Help prepare budgets for sub-project implementation;
(d) Make (or oversee) payments following proper authorization;
(e) Prepare accounting records and reports;
(f) Display all financial information as specified in the OM;
(g) Have books of accounts and records available for audit and/or inspection.
155
2.2 ACCOUNTING SYSTEM
379. The accounting system includes a set of books to record financial transactions and files
to maintain supporting documentation. First, a bank account will be established in a local bank
to deposit funds received and make payments. The bank account is established in the name of
the VTPSC and shall have three authorized signatories – the male head of the VTPSC, the female
VTPSC, and the head of the FSC. Two out of the three authorized signatories are required to be
present for withdrawal of funds from the bank account. The bookkeeper of the FSC shall not be
a signatory to the bank account.
380. The FSC will obtain and keep the following basic documents as reference for carrying
out the financial management work:
(a) A copy of the signed Block Grant Agreement
(b) A copy of the approved VTDP (see Chapter 3)
(c) A copy of the approved sub-project proposal
(d) Civil works documents (bill of quantities, draft civil works contact, etc.)
(e) Copies of sub-project reports including details of sub-project cost (contracts,
materials, wages or other expense categories)
(f) Copies of procurement plans for each sub-project from the PSC of the VPSC
(g) An Operations and Maintenance plan, with budget, for the sub-project for a period
of at least 3 years after construction works or renovation/rehabilitation.
381. The above shall be kept in permanent files and referred to during sub-project
implementation. The following books of accounts and files will be established and maintained
by the FSC:
I. Bank Book - F1
II. Daily Wages log- F2
III. Administrative Expenses log - F3
IV. Block Grant Disbursement Request – F4
V. Payment Voucher –F5
VI. Sub-project Final Financial Report – F6
VII. Cycle Completion Financial Report – F7
VIII. Community Contribution – F8
IX. Travel Expenses –F9
X. Village Tract Sub-project Budget Table –F10
XI. Bank Statement File
XII. Wages File
XIII. Petty Cash Payment Voucher File, together with documentation evidencing
payments made such as invoices and receipts or other documentary evidence of
payee acknowledging receipts of payment by signing or thumbprints
XIV. Grant and Sub-project File
XV. Payment Voucher File
XVI. Contract/Supplier File
382. The above files together with supporting documents should be kept by the FSC and
made available for inspection by relevant staff from DRD, the World Bank, external auditors
appointed by the project and other relevant authorities. The files and documents shall be kept
for a period of at least 8 years after the completion of the sub-project. Should there be a change
in FSC members, a proper handover of documents must be carried out and the DRD township
office (through the CF) informed of the changes.
156
3 BUDGET PREPARATION
383. A budget is an estimate of expenditures to be carried under a block grant. A budget shall
be prepared immediately after approval and signing of the block grant agreement. A block grant
may contain more than one sub-project. A budget must be prepared for each sub-project
planned for implementation in the budget year.
384. The following actors are responsible for budget preparation.
(a) Head of FSC: Prepare the overall budget.

(b) Head of PSC: Provide the procurement plan.
(c) Technical Facilitator: Help with Bill of Quantities (BoQ) and design
implementation schedule.
(d) FSC Bookkeeper and Village Finance Clerks: Help with budget and financial
calculations.
(e) DRD Township Engineer: Provide guidance and information on O&M budgets.
385. The budget preparation process includes:
(a) Approved Village Tract Development Plan (VTDP) should contain all the sub-
projects planned for implementation.
(b) A budget should be prepared covering the required number of months of the
implementation year or Cycle. From the VTDP, determine which sub-projects will
be implemented in the first year, the second etc.
(c) As the sub-projects are implemented by the VPSCs, these committees shall be
involved in preparing the budget; the budgets will be based on approved sub-
project plans (design, BoQ, procurement plan, budget, implementation schedule,
etc.).
(d) Obtain information from approved sub-project proposals. These will be total cost,
work to be contracted, work carried out by community labor (using community
force account, CFA), materials to be bought, other expenses.
(e) Obtain the procurement plan showing the details of contracts, material purchases
and any other goods and services that need to be purchased. Procurement plan
should state separately for each contract the planned dates and costs for
contracting, delivery of materials, and completion of works and services.
(f) Obtain an implementation schedule, working with Technical Facilitator and/or
VPSC.
386. The FSC will prepare the following budgets:
(a) Village Tract Sub-project Budget Table – F10 (to estimate the cost of contracts,
materials and labor); and
(b) Include Administrative Expenses Budget in the same Table– F10 (to estimate the
administrative expenses, such as transport, stationary, bank charges and etc.
incurred by the FSC for the VTPSC and also for the VPSCs).
3.1 BUDGET SPREAD BY MONTH
387. After preparing the total budget, monthly budgets should be prepared based on the
planned implementation schedule. A monthly budget is a forecast of expenditures to be
incurred each month from the start of the sub-project until its completion F10.
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3.2 BUDGET APPROVAL
388. Once the budget is prepared by the FSC with the support of the village finance clerks, it
should be presented to a meeting of the VTPSC for final approval.
4 RECEIPT OF BLOCK GRANT
389. In order for a VTPSC to be eligible for receipt of block grants, the following activities
must be completed.
(a) All VPSCs and the VTPSC have been established and staffed as required.
(b) The VTPSC’s FSC members and village finance clerk have been appointed and
trained.
(c) The VTPSC has opened a bank account in the name of the VTPSC at a local bank
(only required for the first disbursement).
(d) The VTPSC head has signed a block grant agreement for the current cycle with the
DRD township office.
390. At the completion of activities 1 to 4 above, the FSC shall prepare a Block Grant
Disbursement Request Form (F4) and submit it to the DRD union office through the DRD
township office.
391. The DRD union office will transfer the full amount of the block grant to the VTPSC bank
account, normally within one week of receipt of the block grant release request. The DRD union
office, through the DRD township office, will advise the VTPSC when funds are transferred.
392. On receipt of the advice of fund transfer from the bank, the FSC bookkeeper shall enter
the amount received in the village tract bank book.
393. Notification of block grant transfer by DRD and the bank advice of receipt of funds shall
be filed in the bank file and villages will be informed by the VTPSC of the receipt of block grant.
5 PAYMENT OF EXPENDITURE
394. Payment of expenditures is made using one of the following methods.
(a) By check or money transfer order (MTO)

(b) By cash
(c) Petty cash (for administrative expenses such as travel, office supplies)
395. To the extent possible, payments for sub-project expenditures will be made by check or
money transfer order. Exceptions are payment of community wages and when suppliers do not
have bank accounts. Any cash payments, other than for wages and administrative expenses,
must be with the knowledge of the FSC and justified.
5.1 PAYMENT BY CHECK OR MONEY ORDER FOR SUPPLIERS AND

CONTRACTORS
396. On receipt by the VPSC or its PSC of an invoice from a supplier/contractor, the
bookkeeper or village finance clerk prepares a payment voucher (F5). The payment voucher
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will contain all information such as name of payee, amount of invoice, or reference to other
authorization and purpose of payment.
397. The payment voucher is (i) checked by the head of the FSC and approved by the head of
the VTPSC, or (ii) validated by the PSC and approved by the head of the VPSC, depending on who
will actually make the payment on behalf of the VPSC.
398. Following approval, a check or money transfer order is prepared by the bookkeeper or
village finance clerk and signed by the person who has approved the payment.
399. All invoices are stamped or marked “PAID” and filed.
5.2 PAYMENT FOR COMMUNITY FORCE ACCOUNT WORK
400. Expenditures for the Community Force Account Form will be prepared by the Head of
the PSC.
401. For wages paid to community workers, a wage computation sheet is provided (F2).
Payees must acknowledge receipt of payments either by signing or thumbprints.
402. The village finance clerk shall pay workers and ensure that the expenditures are within
the authorized amounts.
5.3 PAYMENT BY CASH
403. It may be necessary to withdraw cash from the bank for payment of expenses that
cannot be paid by check, for example daily/weekly wages paid to community force account
workers. In addition, some local suppliers of materials may require payment in cash. For such
payments, payment vouchers need to be prepared and approved, similar to other types of
payment.
5.3.1 CASH WITHDRAWALS
404. A payment voucher (F5) is prepared with supporting documents. The payment voucher
is prepared by the bookkeeper or village finance clerk, checked by the head of the FSC and
approved by the head of the VTPSC.
405. Cash is withdrawn from the bank and paid to the recipient or in the case of wages to
workers.
406. Bank book is recorded after withdrawal and the recipient must sign the PV
acknowledging receipt.
407. In case of payment of wages, each person receiving wages must sign for receipt F2.
408. Cash disbursement for wages must be made and witnessed by at least two persons.
5.4 PETTY CASH
409. It is normal practice to maintain a petty cash to pay for small expenses. Petty cash is
used to pay for travel expenses, office supplies and other minor administrative expenses.
159
410. The VTPSC is entitled to use up to four percent of the annual block grant amount per
year to cover the expenses referred above for managing the block grant.
411. A plan for the use of petty cash must be prepared and approved before funds can be
withdrawn and used.
412. The VTPSC may increase the amount for incidental expenses to up to six percent of the
annual block grant amount under exceptional circumstances, subject to the documented DRD
union office’s approval.
413. A person other than the bookkeeper is charged with keeping the petty cash. The person
keeping petty cash is called the petty cash custodian.
414. Money withdrawn from the bank shall be kept in a secure cash box. The petty cash
custodian shall keep the key and be personally responsible for its safety.
415. The petty cash custodian, with the bookkeeper’s help, maintains the administrative
expenditure log (F3) to record all transactions. When money is received, the date and amount is
entered; and when money is paid, the payment date and the amount are entered. At a minimum,
a monthly cash balance needs to be calculated and checked with the balance in cash box.
416. Payment authorization:
(a) Payment voucher is prepared by bookkeeper/village finance clerk, attach

supporting invoice for purchases.
(b) Payment voucher is checked by the head of the FSC and approved by the head of
the VTPSC or validate by the PSC and approve by the head of the VPSC.
(c) Petty cash custodian disburses the money and complete record. The recipient is
required to sign.
5.4.1 PETTY CASH CONTROL
417. The administrative expenditure log needs to be balanced at the end of each month and a
physical cash count shall be made by the bookkeeper to confirm the accuracy of the petty cash
balance available. Any discrepancy between the cash count and balance per administrative
expenditure log shall be reported to the head of the FSC immediately, and any discrepancies
should be investigated and rectified immediately.
6 ACCOUNTING RECORDS & CONTROLS
418. The accounting records shall be under the purview of the head of the FSC and shall be
maintained by the bookkeeper.
419. Accounting records shall be maintained on a cash basis, e.g. account books are updated
when cash is actually received and payments are made.
6.1 MONTH END ACCOUNTING ROUTINES
420. The bookkeeper prepares the following statements, which will be checked by the head
of the FSC and approved by the head of the VTPSC.
160
(a) Balance the bankbook and confirm that the balance is the same as the balance of
the bank statement obtained at month end.
(b) Balance the administrative expenses log and conduct a count of the petty cash
balance.
421. Approved reports are submitted to the VTPSC for acknowledgement and final
agreement.
6.2 RECORDING OF COMMUNITY CONTRIBUTIONS
422. Contributions from the community, whether in cash or in kind, shall be recorded and
accounted for as part of the overall sub-project cost. Form F8 should be used for recording. The
information from F8 is then used to prepare the final sub-project financial report (F6) and the
cycle completion financial report (F7).
423. The following are some guidelines for quantification of the contribution:
(a) Labor contribution shall be quantified using the daily wage rate;
(b) Cash contribution shall be recorded per the actual amount contributed;
(c) Other in-kind contribution (e.g. material, tea break, lunches) shall be quantified
using prevailing rate at the location where the sub-project is being implemented.
7 SUB-PROJECT CLOSURE
424. Sub-project closing procedures are described in Chapter 2. Following these procedures,
the village Monitoring Sub-Committee will issue a final sub-project inspection completion form
(PC 10).
425. The village finance clerk, with the help of the bookkeeper, prepares the final sub-project
financial report (F6). The financial report shall be posted on a publicly accessible board for the
information of all community members.
426. A copy of the sub-project final inspection form and the final sub-project financial report
will be forwarded to the head of the FSC. The reports for all sub-projects in a village tract will
be used to prepare the Village Tract Cycle Completion Financial Report (F7) and to declare a
cycle and its sub-projects completed.
427. At the end of the sub-project cycle, the FSC will prepare a final summary report in the
form of Cycle Completion Financial Report (F7), which will show block grants received in the
year, sub-projects completed, any sub-projects carried forward to the next financial year and
the unused block grant balance, if any. The report is submitted to the VTPSC for approval. Once
approved by the VTPSC, the report is submitted to the township DRD office.
428. It is recommended to prepare three copies of the final “Sub-project Financial Report”
and “Cycle Completion Financial Report.” The copies will be used as stated below:
(a) One copy on the notice board of the VTPSC;

(b) One copy to be files of the VTPSC;
(c) One copy to be submitted to the DRD township office.
161
Development Project
Operations Manual
Chapter 7
Project Management Information System
1 Definition and Aims 164

2 PMIS Components 164
3 Monitoring Cycle 164
4 Results Matrix 165
5 Monitoring Content and Responsibilities 167
6 Village Level 168
6.1 Project Cycle and Finance 168
6.2 Procurement 170
7.1 Project Cycle 170
7.2 Financial Monitoring 170
9 Union Level 172
11 Reporting 174
11.1 Village and Village Tract Reporting 174
11.2 Township Reporting 174
11.3 Union Reporting 175
Chapter 7: Project Management Information System
CHAPTER 7
PROJECT MANAGEMENT INFORMATION SYSTEM
1 DEFINITION AND AIMS

429. A Project Management Information System (PMIS) can be defined as a set of interrelated
tools, processes, and methods working together to collect, classify, store and distribute
information to support decision-making, coordination and control in a project. It is the overall
information interface, which supports both project management and beneficiary communities
to make decisions, flag concerns, take corrective action, review and evaluate both progress and
impact, procure goods and award contracts, and maintain financial control.
430. The information in a PMIS can be in the form of paper or digital documents, such as
word processing, spreadsheet or database software. A badly designed PMIS can produce lots of
data but little real information, while a badly implemented PMIS can result in incorrect or
untimely data.
2 PMIS COMPONENTS
431. The PMIS contains five identifiable parts or subsets: 1) sub-project planning and
implementation 2) financial progress and control 3) procurement management and monitoring
4) grievance processing and 5) training implementation and evaluation. Gender is a cross-
cutting topic, which is mainstreamed by disaggregation of community participation data into
male and female. These 5 components each have their own data sets, data collection forms,
information flows and actors at village, village tract, township and union level. The data
collection forms from all components are shown in Chapter3.
432. The project database is commonly referred to as the “MIS.” It involves the electronic
collection and processing of selected project data from townships into a central SQL database,
running on a central server, and can be accessed online for viewing (free to public) or entering
of data (permission restricted) at: www.nccdp.com. Each year, the project reviews the MIS and
data needs to determine what refinements are needed in the program. The sub-set of project
cycle data for inclusion in the MIS is input by CFs on Android tablets, and exported to the
township PC, sometimes referred to as a “mini-server,” for offline storage, data validation and
eventual uploading to the central database. The central SQL database is thus an aggregation of
multiple township databases, with the querying and reporting functions common to any SQL
relational database.
433. Data for inclusion in the MIS is primarily that required to assess performance of
indicators in the Results Matrix, and also progress within the project cycle. Within Chapter 3 of
this Operations Manual, a total of 13 forms are designed for inclusion in the central MIS. Nine of
these forms come from the Community Project Cycle group (PC 1 – 9), one from Training (T1),
two from Human Resources (HR 1 and 2) and one from Finance (F 6).
3 MONITORING CYCLE
434. The activity of monitoring normally contains three sub-categories: 1) benefit or outcome
monitoring; 2) process monitoring; and 3) progress monitoring, both physical and financial.
435. A better understanding of monitoring content, flows and responsibilities can be derived
164
from three sources: 1) Project Results Framework, specifying output and outcome indicators; 2)
project cycle, showing implementation responsibilities (community, township TFs and CFs,
DRD) at each level; and 3) data collection forms, showing content and frequency of data
collected, as well as responsibility for collection, processing, storage and authorization.
4 RESULTS MATRIX
436. Data for Table 1 below has been extracted from the Project Results Framework:
Table 7-1: Results Matrix Summary
Project Development Objective Level
Project Development Objective: The development objective is to enable poor rural communities to
benefit from improved access to and use of basic infrastructure and services through a people-centered
approach and to enhance the Recipient’s capacity to respond promptly and effectively to an eligible
crisis or emergency.
Target
Unit of Data Source/ Indicator
Result Indicator (EoP, Frequency
Measure Methodology Description
2021)
Indicator One: No. of 4 million Annual Project Access and
Number of persons persons (50% Management use of
having access to and use female) Information services from
of project built System, Field sub-project
infrastructure and Reports investments
services (e.g., all-weather
roads, water, schools,
health services)
Indicator Two: % of > 50% Annual Project Villagers
Percent of households in households Management participating
project villages Information in various
participating in planning, System, Field project
decision making, and Reports activities
implementation of sub-
projects
Indicator Three: % of > 80% Measured Qualitative Community
Percent of community community twice Monitoring, satisfaction
members satisfied with members during Field rates
the project project Supervision,
Impact
Evaluation
165
Intermediate Result (Component One): Community Block Grants

Target
2021)
Intermediate Results Units/ 40,000 Annual Project #/types of
Indicator One: kms reporting Management infrastructure
#/type of rural Information selected by
infrastructure built System community
Extent to
which sub-
projects
actually meet
community
needs
Intermediate Results % based >90% Measured Implementatio #/types of
Indicator Two: upon twice n Support infrastructure
% of sub-projects sample during Missions, selected by
evaluated as high priority the project Qualitative community
by communities Reports, Extent to
Impact which sub-
Evaluations projects
actually meet
community
needs
Intermediate Result % based > 85% Measured Technical Extent to
Indicator Three: upon twice Review which sub-
% of sub-projects sample during projects meet
evaluated independently the project high technical
meeting project standards
operations manual
technical and safeguard
specifications
Intermediate Result (Component Two): Capacity Building and Facilitation
Target
2021)
Intermediate Results # persons 500 Annual Project Trained
Indicator One: (cumulativ Management government
# of government officials e values) Information officials using
using their new skills in System, their skills
project management, Training Data
engineering planning
Intermediate Results # persons >30,000 Annual Project Trained
Indicator Two: (cumulativ persons Management villagers
# of community members e values) Information using their
using their new skills in System, skills
project planning, Training Data
financial management,
and procurement
166
Intermediate Result (Component Three): Knowledge and Learning

Target
2021)
Intermediate Results # annual 20 Annual Progress Facilitation of
Indicator One: exchanges Reports knowledge
# internal cross-township across
learning exchanges townships
Intermediate Results # MSR’s 8 Annual MSR Reports,
Indicator Two: # Annual conducted Annual
multi-stakeholder Reports
reviews conducted
Intermediate Result (Component Four): Project implementation and management

Target
2021)
Intermediate Results >85% Annual MIS, Reports Grievance
Indicator One: redress
Grievances related to % mechanism
delivery of project established
benefits that are and % of
addressed (%, #) grievances
# re-solved
Grievances related to Findings of
delivery of project annual
benefits that are
addressed (#)
Intermediate Results % >95% Annual Audit Reports Audits

Indicator Two: followed
% of annual significant up/resolved
financial audit findings
addressed (misuse of
funds, non-compliance
with procedures)
5 MONITORING CONTENT AND RESPONSIBILITIES
437. Figure 7-2 summarizes the monitoring cycle for both MIS and non-MIS data at each of
the four levels of village, village tract, township and union. Subsequent paragraphs describe the
process in greater detail.
167
Figure 7-2: Monitoring Content and Processes at Each Level
LEVEL
MIS DATA NON-MIS DATA
Process Paper Forms Process Document
Storage
Union SQL Server
PC 9 PC 9, H1, T1 Union Level Admin

Union level database H1, T1, · Finance docs/files
(www.ncddp.com) (entered
Paper forms filed · Procurement
directly by docs/files
administered by Entered directly
TTA M & E · Training, grievance,
Union M & E / MIS into MIS) by Union
Expert admin docs
UNit Dbase Admin.
Town- Township PC Township documents,,

ship
PC 8, 9 PC 9, H1, T1
TTA M & E Expert H1, T1,
· SP dossiers (PC 5,
validates data and Copies of original 11 -15, engineer’s
uploads to central paper forms supporting docs )
database at least Entered directly stored on · paper forms (temp)
weekly. Hard copy into MIS by M & E copies temporary basis · other reports
sent monthly to Expert (finance, admin etc)
UDRD.
P-to-P WIFI
Village Tablet VTPSC based docs

Tract
PC 4
CF/TF enter MIS PC 4, 10
PC 4
data into tablets Original signed F 1, 3 -10
form stored in
VTPSC (FSC)
copies
document library
Village Tablet VPSC based docs
PC 1, 3, 5, 6, 7, H2
PC 1 – 9 · PC 1, 3 – 7, 11-15
CF/TF enter MIS data
into tablets
H2, T1
Original signed · H2
form stored in · F.2
·P1–7
VPSC document
library.
6 VILLAGE LEVEL
6.1 PROJECT CYCLE AND FINANCE
438. At the village level, the elected Monitoring Sub-Committee (MSC) within the VPSC
oversees progress of the sub-projects, including sub-project implementation, procurement and
finances. The MSC is responsible for tracking progress and process of all things connected to
the village sub-project. It is responsible for data collection and safe keeping of original signed
paper forms (PC 1, 3, 5, 6, 7) and organizes the monthly sub-project monitoring meetings, and
signs off on PC 6 (sub-project monthly monitoring form), tracking percentage of construction
completed, number of labor days by men and women etc. It also reports back to the entire
168
village at periodic open village meetings and posts on public notice boards. Forms relating to
village level data, including village profile, village development priorities, and village sub-
projects and grievances are as follows:
Topic Responsible MIS

PC 1 Village Profile VPSC 
PC 2 Project Cycle Timetable CF 
PC 3 Village Development Plan VPSC 
PC 5 Village Sub-project Proposal VPSC/TF 
PC 6 Sub-project Monitoring (Monthly) VPSC 
PC 7 Final Sub-project Inspection (Parts A & B) VPSC 
PC 9 Grievance Redress CF/Grievance Focal 
PC 11 Final Sub-project Proposal Review VPSC + Engineer X
PC 12 Meeting Attendance Sheet VPSC X
PC 13 Safeguards Screening VPSC + Engineer X
PC 14 Voluntary Donation VPSC + Engineer X
PC 15 Environmental Management Plan VPSC + Engineer X
T1 Training (Community) CF/TF Trainer 
HR 2 Volunteer, Village or Village Tract Development VPSC 
Committee Member Information
F2 Daily Wages Log Village Finance Clerk X
439. MIS Forms: PC 1 (Village Profile) is collected by the VPSC together with Village
Volunteer and entered into the MIS on tablet. The data collection process starts just before or
during the Village Orientation Meeting and may continue after the VDP if necessary. PC 2
(Project Cycle Timetable) requires an update as and when there is a NCDDP related meeting,
based on data regarding # of meeting participants taken from PC 12. PC 3 (Village Development
Plan Summary) collects information on all development priorities withn the village, not just
infrastructure. However, the infrastructure projects identified for funding under NCDDP in Box
C form the content of a drop down box of projects for selection/approval by the VTPSC in PC 4
(Sub-project Selection, see below on Village Tract Level) and also PC 5. PC 6 (Subproject
monitoring form) is completed monthly by the Village Monitoring Sub-Commitee after each sub-
project monthly meeting has taken place. Its key purpose is to report % of project progress and
involvement in the Community Force Account. The remaining forms need to be completed only
once at the beginning or end of the cycle.
Forms PC 1 – 9 need to be translated into English by the M&E Key Expert during data validation,
before uploading to the central database. The English translation is placed directly after the
Myanmar language, separated by a control character or caret (^). When the on-screen English
language icon is pressed, only words after the caret are displayed, and vice versa. Random
checks on the accuracy of the English will be done by the DRD Union MIS unit during the year.
440. With the exception of PC 2, which is the sole responsibility of the CF, these forms are
completed on paper in longhand and signed by a designated member of the VPSC, sometimes
assisted by one or more village volunteers (e.g. PC 1, Village Profile). The original signed paper
forms are kept by the VPSC, and the data from MIS forms is entered into the corresponding form
on the tablet by the CF. A copy of the paper forms may be taken back to the township office as
backup, until the electronic data has been safely and correctly uploaded to the central SQL
database. Data should be entered into tablets by the CFs as soon as the paper form is generated
and exported to the township M&E as soon as possible after returning to the township office. In
order to keep MIS data up to date, it is important that CFs enter each Village Sub-project
Proposal (PC 5) into the MIS as and when it is ready (i.e. as soon as the sub-project has been
approved by the TPIC and the form has been completed by the township engineer/TF), rather
than wait until all sub-project proposals are completed before the first one is entered into the
MIS.
169
441. Non MIS forms, such as PC 11 (Final Sub-project Proposal Review) and PC 13 – 15
(Safeguards Screening, Voluntary Donation, EMP), are relating to the village sub-project. These
are prepared by township engineers for signature by the VPSC and individual villagers (e.g.
Voluntary Donation Form). These are not entered into the MIS, but attached to the sub-project
proposal in paper form. Originals remain with the VPSC, and copies are stored in the township
office sub-project dossier.
442. The Daily Wages Log (F 2) is the only part of the financial monitoring system carried out
at village level, logging daily wages paid for community labor. The village finance clerk is
responsible, but it is not part of the MIS, so does not have to be enetered into tablet by the CF.
6.2 PROCUREMENT
443. The Procurement Sub-Committee (PSC) is responsible for monitoring of all procurement
activities at the village level.

P1 Meeting Minutes for Procurement Method VPSC/PSC X
Selection
P2 Sub-project Procurement Plan VPSC/PSC X
P3 Invitation for Quotation VPSC/PSC X
P4 Quotation Evaluation Report (Goods & Works) VPSC/PSC X
P5 Purchase Order (Goods) VPSC/PSC X
P6 Sample Contract for Works VPSC/PSC X
P7 Force Account Expenditure VPSC/PSC X
444. None of the procurement forms are entered into the MIS, but are stored in hard copy at
the village or village tract level for at least seven years as compliance with audit requirements.
A full set of sub-project documents is provided by the VPSC to the VTPSC for transmission to the
Township at the end of each cycle.
7 VILLAGE TRACT LEVEL
445. The Village Tract Project Support Committee (VTPSC) is composed of representatives
from each village in the tract. It is responsible for data collection/reporting on sub-project
implementation and financial monitoring of the block grant (Finance Sub-Committee). Sub-
project implementation forms are as follows:
7.1 PROJECT CYCLE

PC 4 Village Tract Sub-project Selection VTPSC 
PC 10 Block Grant Agreement VTPSC X
7.2 FINANCIAL MONITORING
446. Financial monitoring is carried out by the Finance Sub-Committee (FSC) of the VTPSC,
using the following forms:
170

F1 Bank Book FSC X
F3 Administrative Expenditure Log FSC X
F4 Block Grant Disbursement Request FSC X
F5 Payment Voucher FSC X
F6 Sub-project Final Financial Report FSC 
F7 Cycle Completion Financial Report FSC X
F8 Community Contribution FSC X
F9 Travel Expenses FSC X
F 10 Village Tract Sub-project Budget Table FSC X
447. Of the above forms, only F 6 (Sub-project Final Financial Report) is entered into the MIS.
Hard copies have to remain at the VT level for at least seven years for possible inspection by
auditors and copies of all project documents will be transmitted to the Township at the end of
each cycle.
8 TOWNSHIP LEVEL
448. The TTA M&E Expert is responsible for the continuous monitoring of project activities
against set work plans and schedules, specifically:
(a) Supporting DRD in all aspects relating to collection, processing and reporting of
project data; in this task, s/he is assisted by one MIS focal point from the DRD
township office;
(b) Importing a clean data set from CF tablets into township PC, whenever CFs
report back to the township office, ensuring each import is complete and error
free;
(c) Checking/validating MIS data in township database to ensure accuracy and
completeness before uploading to central database;
(d) Direct input into township MIS of forms HR 1 (Project Staff Information), PC 8
(Township Monthly Progress Status), PC 9 (Grievance Handling) and T 1
(Training);
(e) Periodic training and skills upgrade of CFs/TFs in M&E operations;
(f) Assisting the TTA Team Leader to prepare the Township Quarterly Progress
Report data within 2 weeks of the end of the quarter.
Forms for direct input into township MIS by the M&E Key Expert :

PC 8 Township Monthly Progress Status M&E & TL /DRD 
MIS
PC 9 Grievance Handling M&E/Grievance 
focal points (1)
HR 1 Project Staff Information M&E/DRD MIS 
T1 Training Trainer 
(completes form);
M&E / DRD MIS (2)
(1) M&E Key Expert inputs data from paper forms completed by the township grievance focal
person.
(2) M&E Key Expert inputs data from T 1 forms, completed by trainers. This only applies to staff
and non-community training delivered by union or township trainers at the township level.
For training given by CFs/TFs to the community, T 1 is entered by the relevant CF/TF into
their tablets.
171
449. Maintaining the township MIS: as soon as they return to the township office, CFs must
export the latest data from their tablets to the township M&E PC (sometimes referred to as a
“mini-server”). The township “mini-server” software is programmed to attempt twice daily
uploading of the township database when connected to the internet. However, connectivity
problems may prevent this so the TTA M&E expert should perform a manual upload at least
weekly (e.g at the end or beginning of each week) to ensure the central database is up to date.
Any errors or misfunction of township hardware (routers, tablets, PCs) or software (tablet or
mini-server software) should be reported to the Union MIS team by M&E officers as soon as
possible, so the Union Troubleshooting Team can assist to solve the problems. Regardless of the
internet connectivity status in a township, a CD hard copy of the township database should be
posted every month to the DRD Union Head of M&E/MIS as a backup.
450. Training: all relevant M&E/MIS staff from TTA and DRD will be given hands-on training
at start-up and in follow-up sessions on all aspects of the M&E and MIS, including: 1) purpose
and content of forms; 2) operation of the tablets (entering and exporting data); 3) weekly data
validation and uploading to central database; and 4) troubleshooting and solving software and
hardware problems.
Damaged or lost tablets: any damage or loss of tablets incurred by TTA while engaged in project
work will be covered by the DRD union office. Faulty tablets should be reported to the DRD
Union MIS Unit and returned them for repair/replacement as soon as the problem is known.
9 UNION LEVEL
451. The union level M&E/MIS team consists of: 1) Head of DRD Union M&E/MIS Unit; 2)
UTA M&E consultant; 3) UTA MIS consultant; 4) Project Database Administrator (staff); and 5)
three township support staff (2 consultants, 1 staff). These will be recruited in Year 3 to make
regular visits to townships for training and troubleshooting M&E and MIS problems.
452. M&E/MIS team duties at the union level: All DRD and UTA staff have the general duty to
understanding the conditions and challenges in all project locations, by making regular
monitoring and supervision visits. Specific additional duties include:
(a) Reviewing Township Monthly and Quarterly Progress Reports;

(b) Drafting of Union level Quarterly and Annual Progress Reports for the Foreign
Affairs Steering Committee and World Bank;
(c) Designing/ updating the MIS and its website, in terms of functionality, accuracy
of information and usability;
(d) Responding to management queries on the central database, assembling and
disseminating related reports;
(e) Inputting Union level events directly into MIS, including Union level project staff
into H 1, Union level training into T 1, and Union level Grievance Handling into
Union level grievances;
(f) Acquiring supplementary data and statistics from township offices and outside
sources, such as village tract populations for calculating BG requirements;
(g) Provision of training (start-up and refresher) to relevant township staff (TTA
and DRD); and 8) provision of continual support, troubleshooting and training
visits to townships covering all M&E/MIS issues.
172
10 KNOWLEDGE AND LEARNING
453. The NCDDP has a formal knowledge and learning component, which includes: 1) cross-
township visits; 2) study tours by DRD staff to CDD programs in other countries; 3) social audits
(internal process); 4) multi-stakeholder reviews (MSRs); 5) technical audits (externally
commissioned); and 6) financial audits.
454. Learning events include:
(a) Cross township visits : Selected DRD township staff, village tract and village
committee members in new townhips are chosen to visit township offices and
selected villages in older townships. Such visits may include observation of the
social audit process or interviews with experienced committees at any point in the
project cycle. On return, the learning is shared and documented.
(b) Overseas study tours: DRD staff from union and township level will be assisted to
visit selected CDD sites in countries with the World Bank financed CDD programs,
such as Indonesia and Philippines.
(c) Social audits: After completion of a sub-project, the CFs faciliate the village
committee members and community to review all aspects of the project cycle in
terms of both process and results, and to summarise lessons learned and
recommendations.
(d) MSRs: The resulting scores and learning from each village social audit are
reviewed and aggregated at the township Multi Stakeholder Review or MSR. As
the name suggests, a cross section of relevant community, township and state
stakeholders are invited to participate. The overall scores, learning and
recommendations feed into that tonwship’s input to the union level MSR,
representing the culmination of the project cycle review and learning process.
(e) Technical audits: In order to address Intermediate Result Indicator 3 in the Project
Results Matrix (“% of sub-projects evaluated independently meeting project
operations manual technical and safeguard specifications”), an independent
technical auditor is commissioned annually to make an objective assessment of the
quality of a sample of sub-projects in each township, including design and
construction quality, operation and maintenance, sustainability, and compliance
with social and environmental safeguards. A rating system is applied to assess
percentage achievement of the indicator.
455. In the second or third years, topics of interest may be identified and studies, outcome
surveys and reviews may be proposed by the World Bank or the DRD union office to provide
some qualitative exploration of causal factors and attribution related to the mainstream
outcome indicators and processes. Examples of possible topics include gender, community
participation, operation and maintenance, utilization and cost-benefit of infrastructure
constructed etc.
456. Besides qualitative studies, the normal supervision processes of the World Bank
missions, technical and social audits, and multi-stakeholder reviews, etc. provide further
sources of evaluation and continuous learning. For example, inputs from township DRD staff,
CFs, TFs and village community members at the annual MSRs have assisted with the
improvement of this Operations Manual, and the process of learning and improvement will
continue.
173
11 REPORTING
457. Regular reporting is essential to allow effective monitoring and evaluation of program
activities. To this end, regular reports are required from the village and village tract, township
and union level as outlined below.
11.1 VILLAGE AND VILLAGE TRACT REPORTING
Report Who prepares? Transmits to? Transmits when?

Monthly sub-project Village Monitoring Sub- Village Tract Project By the 5th day of the
monitoring report Committees (MSC) and Support Committee following month
Procurement Sub- (VTPSC)
Committees (PSC) with
village volunteers
Monthly village tract VTPSC & FSC with CF DRD township finance By the 10th day of the
Financial and & M&E officers following month
Progress/Narrative
Report
Sub-project final VPSC VTPSC Within 15 days of the
financial report final inspection &
Sub-project final meeting
narrative report
Annual village tract VTPSC & FSC DRD township finance Within 30 days of
financial report & M&E officers completion of sub-
Annual narrative project implementation
Report (all sub-projects
completed) in village
tract
458. Monthly sub-project monitoring reports should be prepared and submitted from the
start of village sub-project preparation until the completion. These reports include updates on
procurement and safeguards instruments (voluntary donations, abbreviated or full
Resettlement Action Plan, application of Environmental Codes of Practice, Environmental
Management Plans) as well as on the implementation of gender requirements (equal
opportunity for participation, equal pay for equal work, etc.). Data are disaggregated by gender
and ethnicity. Separate records are kept for each village sub-project.
459. CFs and village volunteers also prepare reports on the selection of the members to the
VTPSCs and VPSCs as well as their sub-committees and submit them to the DRD township M&E
officer.
11.2 TOWNSHIP REPORTING
Report Who Prepares? Transmits to? Transmits when?

Monthly township DRD township finance Township Committee, By the 15th day of the
financial report officer DRD union finance following month
officer
Quarterly township DRD township M&E Township Planning & By the 15th day of the
implementation officer Implementation following quarter
progress report Committee (TPIC), DRD
(including supervision union M&E officer, DRD
findings) region/state office
174

Annual township DRD township M&E TPIC, DRD union M&E Within 30 days of the
project Officer officer, DRD reporting period
implementation region/state office
Report
Annual township DRD township M&E TPIC, DRD union M&E Within 30 days of the
multi-stakeholder officer officer, DRD multi-stakeholder
review report region/state office, review meeting
Parliament, and the
Chief Minister
460. A quarterly township implementation progress report should include:
(a) Progress over the last quarter, such as:

(1) Progress in the community project cycle;
(2) Community participation in activities, disaggregated by gender and
ethnicity;
(3) Physical progress;
(4) Disbursement progress;
(b) Information on the implementation of safeguards instruments (voluntary
donations, abbreviated or full Resettlement Action Plan, Environmental Codes of
Practice, environmental management plans);
(c) Problems encountered and actions taken (including grievances and their
resolution).
11.3 UNION REPORTING

Monthly financial DRD union finance DRD Project By the 20th day of the
report officer Management following month
Monthly grievance DRD union M&E officer DRD Project By the 20th day of the
monitoring report Management, The following month
(including suggestions) World Bank
Quarterly Interim DRD union finance The World Bank Within 45 days of the
Unaudited Financial officer reporting period
Report
Quarterly feedback DRD union M&E officer DRD township office, Within 45 days of the
notes (short) Township Aid receipt of the township
Management Sub- quarterly monitoring
committee reports
Quarterly progress DRD union M&E officer Foreign Aid Within 45 days of the
implementation report Management Working reporting period
(achievements, Committee, Inter-
problems, upcoming Ministerial Technical
issues) Committee, DRD
region/state office, The
World Bank
175

Annual project report DRD union M&E officer Foreign Aid Within 60 days of the
Management Working reporting period
Committee, Inter-
Ministerial Technical
Committee, DRD
World Bank
Annual union multi- DRD union M&E officer Foreign Aid Within 30days of the
stakeholder review Management Working Union multi-
report Committee, Inter- stakeholder review
Ministerial Technical meeting
Committee, DRD
World Bank,
Annual Audit Report Office of the Auditor- The World Bank 6 months after the end
and Management General through Ministry of of the fiscal year
Letter Livestock, Fisheries
and Rural Development
461. A quarterly project implementation progress report should include:
(a) Information on the progress of sub-project implementation in relation to annual

work plan, budget allocation and utilization in relation to annual budgets, and
problems encountered and how addressed;
(b) Summary of the implementation of safeguards instruments (voluntary donations,
Environmental Codes of Practice, environmental management plans);
(c) Performance across townships in relation to annual work plan targets;
(d) Grievance Handling;
(e) Progress in land acquisition;
(f) Upcoming/emerging issues;
(g) Recommendations.
462. Annual project report should include:
(a) Progress in relation to key performance indicators of Results Framework;

(b) Analysis of and lessons learned from the community project cycle including
orientation, planning, implementation, and operations and maintenance;
(c) Analysis and comparison of cycles between townships;
(d) Capacity development activities;
(e) Cooperation and partnership activities;
(f) Specific activities of various units;
(g) Problems arising and how they are addressed;
(h) Overall progress of gender integration;
(i) Review of performance on safeguards;
(j) Analysis of performance in relation to annual work plan, budget and procurement
plan;
(k) Annual financial figures;
(l) Grievance mechanism, grievances received and logged, and those resolved;
(m) Updated work plans for next reporting period.
176

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Government of the Republic of the Union of Myanmar

National Community Driven Development Project

6. The OM provides guidance to those involved in project implementation so that

1 Available online at www.worldbank.org/myanmar.

7. In townships affected by conflict, the project will consider additional adaptations in

2 STRUCTURE OF THE PROJECT OPERATIONS MANUAL

8. This Operations Manual consists of seven parts:

Community Facilitators. This component also supports capacity development at all

Component 3: Knowledge and Learning, to support community representatives and

Component 4: Implementation Support, to support project management at the union

Component 5: Emergency Contingency Response, to allow for the rapid reallocation of

3.2 FUND FLOW

3.3 GEOGRAPHIC COVERAGE

3.4 INSTITUTIONAL ARRANGEMENTS

17. An inter-ministerial technical committee may be established at the union level to

Chart 1-1: Institutional Structure

Foreign Aid Management

Foreign Aid Management

Region/State Ministry of Livestock Union Technical

DRD Cluster Office

Township Planning and Township Technical

Village Tract Project

Procurement/ Village volunteers

4 TOWNSHIP SELECTION PROCESS

2013: Chin, Tanintharyi, Shan

YEAR 1 (2013-2014) YEAR 3 (2015-2016)

5.1 CALCULATION AND USE

VILLAGE TRACT POPULATION AMOUNT (Myanmar Kyat)

(a) The Finance Sub-Committee (FSC) prepares a budget for

5.2 DISBURSEMENTS OF BLOCK GRANTS

6.1 VILLAGE TRACT PROJECT SUPPORT COMMITTEE AND FINANCE SUB-

41. Finance Sub-Committee. The Finance Sub-Committee (FSC) is responsible for

6.2 VILLAGE TRACT GRIEVANCE COMMITTEE

6.3 VILLAGE PROJECT SUPPORT COMMITTEE AND SUB-COMMITTEES

51. Inter-village sub-project committees. If a sub-project benefits two or more villages,

6.4 FINANCE CLERK AND VILLAGE VOLUNTEERS

6.5 GRIEVANCE FOCAL POINTS

7 SOCIAL INCLUSION ASPECTS

7.1 GENDER ASPECTS

information about the NCDDP’s concepts of participation, gender and inclusion.

7.2 ETHNIC AND/OR RELIGIOUS GROUPS

8 PROJECT MANAGEMENT INFORMATION SYSTEM

(a) Operations – tracking physical and financial progress of implementation;

10 GRIEVANCE AND ACCOUNTABILITY

10.1 CODE OF CONDUCT

(a) Observe the laws of the Republic of the Union of Myanmar;

11 KNOWLEDGE AND LEARNING

68. The DRD with assistance from the UTA:

11.2 MULTI-STAKEHOLDER REVIEW

11.3 EXCHANGE VISITS

Community Facilitators (CFs), Technical Facilitators (CFs), and Township-level Technical

1.1 FIRST VILLAGE MEETING (ORIENTATION MEETING)

84. Objective. The purpose of the first village meeting is to:

(a) Explain the principles of community-driven development and of the NCDDP;

87. Duration. Minimum half a day.

1.2 ELECTION OF VILLAGE VOLUNTEERS

94. The functions of a village volunteer are to:

1.3 PARTICIPATORY SOCIAL ASSESSMENT

(a) Wealth ranking;