Yangon, Nay Pyi Taw and Mandalay, Mon, Tanintharyi, and Shan Regions and States, Myanmar

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1 TERMS OF REFERENCE Research Team Leader Situation Analysis of Region and State Hluttaws Empowered lives. Resilient nations. Location: Yangon, Nay Pyi Taw and Mandalay, Mon, Tanintharyi, and Shan Regions and States, Myanmar Type of Contract: Individual Contract Post Level: National Consultant Languages Required: English and Myanmar Expected Starting Date: 09 October 2017 Duration of Contract: 45 working days Expected Duration of Assignment: 09 October 15 December 2017 Background The 2008 Constitution established a bi-cameral parliament ( Hluttaw ) at Union level with a Lower House ( Pyithu Hluttaw ), an Upper House ( Amyotha Hluttaw ) and a Joint House ( Pyidaungsu Hluttaw ), and 14 uni-cameral Hluttaws at Region and State level. The Hluttaws began their first terms in 2011 and as new institutions, key priorities were clarifying and strengthening the roles and responsibilities of MPs and the structures and functions of the Hluttaws. The Hluttaws administrations provide support to the functioning of the Hluttaws bodies and provide the services the MPs require to fulfill their functions. Since 2017 the 14 Region and State Hluttaw administrations are part of the Pyidaungsu Hluttaw administration. The Union and Region and State Hluttaws deliberate matters of common interest and parliamentary development in the framework of the Myanmar Parliamentary Union (MPU) In a survey of Union Hluttaw Members in 2015 at the end of the first term, many elected members acknowledged they had little understanding of how legislatures could best contribute to an effective system of government. The survey also highlighted that despite gains in capacity, parliamentary support staff also require increased knowledge and skills to provide high-level support and advisory services to MPs and Hluttaw committee members. The functioning and practices of the Region and State Hluttaws and their challenges have not yet been documented in a comprehensive manner. But UNDP s engagement with Region and State Hluttaw MPs, Speakers and the administrative leadership has shown that the practices of how the 14 Region and State The only dedicated study about the Region and State Hluttaws analyzes different aspects of the work and functioning of 8 Region and State Hluttaws during the first Hluttaw term, from and reviews internal arrangements and the legislative output of the Hluttaws. Enlightened Myanmar Research Foundation, Performance Analysis: State and Region Hluttaws (Local Legislatures) An earlier report reviewed broadly the governance arrangements at Region and State level but did not devote much attention to the Region and State Hluttaws. The Asia Foundation, State and Region Governments in Myanmar, September

2 Hluttaws fulfil their functions vary, in particular with regard to how they structure their relations with the government and external actors and in how MPs work for their constituents. Unlike their Union Hluttaw peers Region and State Hluttaw MPs spend more time working on their representation duties in their constituencies. Since 2013, the United Nations Development Programme (UNDP) and the Inter-Parliamentary Union (IPU) have supported the Hluttaw-led institutional change agenda focused on building the Union Hluttaw Parliament into a strong and effective democratic institution. UNDP s approach to strengthening the Region and State Hluttaws has been to support the Hluttaws institutional development, which is the prerequisite of effective Hluttaw work, and to facilitate the exchange of practices and peer-to-peer learning amongst MPs and staff. To this end, UNDP has also supported the professional development of the Speakers, Committee Chairs, and MPs. UNDP has fostered learning through exchanges of practices and experience among Hluttaws and by providing Hluttaws with opportunities to coordinate their development. Rationale of the Situation Analysis UNDPs will conduct a Situation Analysis, which designed to provide the evidence base for the future strategic development of the Region and State Hluttaws, by understanding of how the Region and State Hluttaws are operating, interacting with external actors, and their constituents. By documenting the variety of practices among the Hluttaws the situation analysis will also provide the basis for peerlearning among Hluttaws and accelerate the identification and adoption of good practice. The results of the situation analysis will inform UNDP s institutional strengthening support to robust, people-centered parliamentary institutions. The situation analysis of the Region and State Hluttaws will: Document the internal functioning and development priorities of the Region and State Hluttaws; Explore the relations with external counterparts in fulfilling its law-making, budgeting and oversight duties, including the relationships with the Chief Minister s office, ministries, the Advocate General, Auditor-General, township and district authorities, as well as civil society representatives; Study in depth practices of MPs representation work at the constituency level, their perceptions of and practices in constituency engagement and how they interact with other governance actors in the process. The work on the situation analysis will also inform a Survey of Members of the 2 nd Hluttaws at Union and Regions and States, which will be conducted in early To conduct the situation analysis, UNDP will rely on a research team, which will consist of one national Team Leader, one international Researcher/Writer and one international Parliamentary Specialist. 2

3 EXPECTED OUTCOME OF THE ASSIGNMENT The outcome of the assignment will be: The situation analysis of Region and State Hluttaws, as an integral part of the Study of Parliaments, documenting practices, will provide the evidence base for the future strategic development of Region and State Hluttaws. The specific output of the assignment will be: Under the guidance of the National Team Leader of the research specialist, a situation analysis of Region and State Hluttaws will be developed and presented to the Region and State Hluttaw counterparts. SPECIFIC OBJECTIVES OF THE ASSIGNMENT The objectives of the assignment of the Team Leader are: Ensure the research process for the situation analysis proceeds as planned, meets quality standards; Ensure counterparts understand the objectives of the process and buy into the research; Ensure a quality product is delivered as a result of the research process; RESEARCH PROCESS OF THE SITUATION ANALYSIS The situation analysis will review the internal functioning, external relations and constituency work at 14 Region and State Hluttaws. It will highlight common practices but also differences among the 14 Region and State Hluttaws and make recommendations based on good practice. The analysis will have three focus areas: a) The internal functioning and development priorities of the Region and State Hluttaws. This area focuses on the current regulatory framework of all 14 Region and State Hluttaws, the functioning of the Hluttaws plenary and committees, the roles of Speakers and MPs, the functioning of the Hluttaw administrations, and importantly, the development priorities the Region and State Hluttaws have identified for themselves. b) The relations of a number of Hluttaws with the government and other external actors. This area focuses on practices of the Hluttaw in cooperation with the government, independent institutions, township administrations and civil society organizations, in fulfilling their lawmaking and oversight functions and will be explored through case studies at 4 Region and State Hluttaws. c) The work of selected MPs in their constituencies. This area focuses on practices of MPs working for their constituents in their townships and at their Hluttaw and how they interact with other governance actors in the process. It will be explored to case studies of MPs from 8 townships of the same 4 Regions and States identified under b) above. 3

4 Phase 1: Review of Data Available The research process will begin with a thorough analysis of the existing data regarding the work of the Region and State Hluttaws which has been collected during programme activities in 2016 and 2017: Documentation on the constitutional and procedural framework of the Region and State Hluttaws Data on the development priorities of the Region and State Hluttaws, around the common development framework of Region and State Hluttaws ; Data on the perception of Speakers and Deputy Speakers regarding their roles, collected during the Leadership Programme in June 2016; A quantitative survey of committee chairs from all Region and State Hluttaw on committee practices, conducted on the sidelines of the committee induction programme in June 2017; A quantitative survey of Members from all Region and State Hluttaw on their perceptions and practices in fulfilling their functions, conducted on the sidelines of the professional development programme for Members between November 2016 and August 2017 (expected); The research team will analyze this data and formulate preliminary findings regarding the three aspects of the Hluttaws work, internal functioning, external relations, and constituency work. Based on the preliminary findings, and based on consultations with all Region and State Hluttaws, the preliminary selection of the 4 Region and State Hluttaws of Mon, Mandalay, Tanintharyi and Shan for the qualitative case studies will be confirmed. These regions and states represent well the variety of circumstances found in Myanmar s Regions and States: geography upper vs lower Myanmar, degree of urbanization, degree of economic development, ethnic composition of the Regions and States, political composition of the Hluttaw, and size of the Hluttaw. Phase 2: Qualitative Research The preliminary findings will provide the baseline for the qualitative research process. Since quantitative survey data on MP and committee chairs perceptions and practices are already available, data collection will focus on gathering qualitative data. This qualitative research will deepen the understanding from the preliminary findings, it will clarify findings, fill data gaps and may also yield new findings. The final details of the qualitative research process will depend on the results of the preliminary findings. To enable a) the detailed understanding of the internal functioning of all the Hluttaws and their administrations. IDIs/FGDs will be held with Speakers, Deputy Speakers and Deputy Directors-General of all 14 Region and State Hluttaws. To understand b) how the Hluttaw relates to external counterparts in fulfilling its law-making, budgeting and oversight duties, relationships will be mapped and understood in depth, including the relationships with the Chief Minister s office, ministries, the Advocate General, Auditor-General, township and district authorities, as well as civil society representatives. The research team will produce 4 In-depth case studies of 4 Region and State Hluttaws (tentatively Mandalay, Mon, Tanintharyi and Shan) through In- The common development framework is the result of group work sessions among DDGs and Speakers and Deputy Speakers agreed during the UNDP s Leadership Programme in January

5 depth interviews and focus group discussions with key Hluttaw stakeholders and representative of external stakeholders : To study c) the constituency engagement by MPs, IDIs with MPs will be combined with guided visits to the constituency where interviews with township and village tract officials and village elders can be conducted to capture their views on the work of the MP and the Hluttaw. A pilot case study of an MP from Chaungzon Township, Mon State using this methodology was already conducted in June Seven further townships (tentatively from Mandalay, Mon, Tanintharyi and Shan) regions and states will be selected for these case studies. The below table summarizes the approach to the situation analysis: Scope Review of internal functioning and capacitystrengthening needs of 14 Region and State Hluttaws Research questions Data Collection MP priorities and practices; Hluttaw regulatory framework; plenary and committee processes; Speakers practices; Hluttaw service needs & development; Functioning of the MPU FGDs with Speakers and DDGs of 14 Region and State Hluttaws IDI with Permanent Secretary of Pyidaungsu Case studies at 4 Region and State Hluttaws of practices of selected Region and State Hluttaws in cooperation with the government and external actoirs in fulfilling their law-making and oversight duties cooperation with government in policymaking cooperation with government and external actors in law-making, oversight, budgeting and planning; In 4 Region and States: IDIs with Speakers, DDGs, ministers, Auditor General s Office, Advocate General s Office FGDs with Committee Case studies in 8 townships of 4 Region and State hluttaws of practices in representation by MPs practices in representation work at township and village level; Cooperation of MPs with other MPs from Region/State, Pyithu, and Amyotha Hluttaw MP involvement in township governance processes; Perceptions of constituents from different communities of MPs role and work In 8 townships of 4 Regions and States IDIs with 8 MPs, 8 Township Administrators, 8 Village Tract Administrators (VTAs), FGDs with village elders in The four Region and State Hluttaws of Mandalay, Mon, Tanintharyi and Shan have been preliminarily selected for the case studies. These regions and states represent well the variety of circumstances found in Myanmar s Regions and States: geography upper vs lower Myanmar, degree of urbanization, degree of economic development, ethnic composition of the Regions and States, political composition of the Hluttaw, and size of the Hluttaw. 5

6 Hluttaw Administration Chairs, FGDs with CSO representatives 8 townships Phase 3: Production of the Report Based on the research, the research team will produce a briefing on the main findings and the situation analysis report. The briefing on findings will summarize the main findings and recommendations form the situation analysis for review by the Region and State Hluttaws. The briefing will be presented to all Region and state Hluttaws in the framework of the Myanmar Parliamentary Union. The report will document the findings for the three focus areas, internal functioning, external relations, and MPs constituency work and provide specific recommendations based on the observed practices. The following timeline is envisioned for the production of the situation analysis: Date Task Objective Location & Responsible Phase 1- Review of Data Available and Research Design October By 29 September Analysis of available data on Region and State Hluttaws: Desk review of reference documents, relevant reports, and analysis on available data, Interviews with development partners on governance processes in Region and State and townships level Consultation with the Union & Region and State Hluttaws on the study of parliaments Formulate preliminary findings on internal functioning, external relations, constituency work of Region and State Hluttaws Receive guidance on the study from parliaments Home-based Team Leader & Research Specialist NPT UNDP 15 October Deployment of Research Team to Yangon 16 October Develop research methodology and questions Develop research methodology and questions for review of internal functioning, external relations, constituency work Develop research plan including identification of counterparts Yangon/NPT Team Leader & Research Specialist & Parliamentary Specialist Outputs Report on preliminary findings based on available data Feedback on study of parliaments Research methodology and questions developed Research plan identifying counterparts 6

7 23 October 24 November Research at Union Hluttaw Research at 4 Region and State Hluttaws and in 7 townships Focus group discussion with 14 DDGs Phase 2 Qualitative Research Gather qualitative data Mon, Shan, on external relations, Mandalay and constituency work Tanintharyi through field work in 4 Region and State Hluttaws Nay Pyi Taw Information on Myanmar Parliamentary Union and cooperation with Union Hluttaw Progress report on research with main findings formulated Presentation of main findings for Leadership Seminar 11 November 24 November 5 December 24 November Leadership Seminar for Speakers and Deputy Speakers, 7-8 December (tbc) By 20 January 2018 Interview with Permanent Secretary of Pyidaungsu Hluttaw Departure of Parliamentary Specialist Data evaluation Drafting of briefing on main findings Review and clearance of draft report by UNDP Departure of Research Specialist Focus Group Discussions with Speakers and Deputy Speakers (tbc) Briefing of main findings to Speakers and Deputy Speakers Produce Final Draft Report Nay Pyi Taw Team Leader & Research Specialist & Parliamentary Specialist Phase 3- Production of Report Develop briefing of Yangon, main findings Myanmar & home-based Gather additional data on internal functioning (tbc) Validate main findings Present briefing on main findings to Region and State Hluttaws and receive feedback and clearance Team Leader & Research Specialist TBC, Myanmar Team Leader & UNDP Phase 4- Presentation of the Final Report Drafting of Final Draft Research Report based on Specialist feedback from Region and State Hluttaws and UNDP on briefing Draft report and briefing of main findings developed and cleared by UNDP Main findings validated by Region and State Hluttaws Final Draft Report 7

8 1 st quarter of 2018 Present final report to all Region and State Hluttaw MPs Distribute copies of the report to all MPs and staff Introduce report to MPs and staff Presentation at 4 Region and State Hluttaws (tbd) UNDP All Region and State MPs and staff are familiar with the report ROLES AND RESPONSIBILITIES To conduct the Situation Analysis, UNDP will hire a research team which will be responsible for developing the research methodology, conducting the research, and developing the draft and final Situation Analysis reports. The research team will consist of three roles: The Team Leader (a Myanmar national) who has the overall responsibility for the delivery of the research, the Parliamentary Specialist (a former MP), who will assure the quality of the research process from a parliamentary practice perspective and the Research Specialist/Report Writer who will design the research process and draft the research product. The research team will receive logistical and administrative support from UNDP. Team Leader: Provides analysis on Myanmar governance context; Oversees quality and integrity of the research process and ensures coordination with MP survey process; Identifies counterparts and manages counterpart relations; Leads review and analysis of existing survey data and information provided by UNDP; Drafts the progress report of the assignment; Provides inputs on Myanmar governance context to the design process of materials for qualitative interviews and focus group discussions; Leads and oversees all interviews and focus group discussions; Contributes to research documentation, including note-taking during interviews and focus group discussions; Delivers the briefing on the main findings to Region and State Hluttaw counterparts; Contributes to the draft and final situation analysis reports; Research Specialist/ Report Writer: Manages from a technical perspective research design, process, and reporting; Leads the design process of questionnaires and materials for qualitative interviews and focus group discussions; Develops the research methodology; Participates in the interviews and focus group discussions; Ensures research documentation, including overseeing note-taking during interviews and focus group discussions; Leads on data collation and analysis of interview and focus group responses; Develops the briefing on the main findings for Region and State Hluttaw counterparts; Drafts the draft and final situation analysis report; 8

9 Parliamentary Specialist: Provides technical expertise on parliamentary governance and constituency work; Contributes to the progress report of the assignment; Provides technical inputs into the design process of questionnaires and materials for qualitative interviews and focus group discussions from a parliamentary practice perspective; Contributes to interviews and focus group discussions with Hluttaw counterparts; Contributes to research documentation, including note-taking during interviews and focus group discussions; Note-taker and Transcriber Takes notes/transcribes interviews/fgds UNDP: Approve all deliverables; Contribute to identification of counterparts and organization of interviews; Provide interpretation and translation of documents; Translate into English interview and focus group discussion transcripts; Provide logistics support; DELIVERABLES OF THE ASSIGNMENT The Team Leader, as part of the research team, will be responsible for delivering: a. A report of preliminary findings, which identifies existing knowledge regarding the internal functioning of the Region and State Hluttaws, based on a desk review and analysis of existing survey data and information held by UNDP; b. A research methodology and research questions for the in-depth-interviews and the focus group discussions outlines; c. A research schedule identifying also the counterparts to be interviewed; d. Notes from interviews and focus group discussions; e. A progress report of no more than 3 pages after completion of in-country research, summarizing the research process and identifying challenges; f. A briefing note summarizing the main findings and recommendations from the situation analysis; g. A detailed presentation of the briefing note to the Region and State Hluttaws, summarizing the main findings and recommendations from the situation analysis; 9

10 Deliverables Estimated Duration to Complete Signing of the contract 09 October 2017 After the 1 st Mission the consultant will be responsible for delivering: a. report on preliminary findings b. research methodology and research questions; c. research schedule of the assignment; d. notes from interviews and focus group discussions; e. briefing note for Region and State Hluttaws; f. final report on the assignment; 24 November 2017 Target Due Dates 10% to cover costs of deployment Payment 70% The consultant will be responsible for delivering g. Presentation of findings of situation analysis to Region and State Hluttaws; 15 December 2017 Payment 20% ADMINISTRATIVE AND LOGISTICAL ARRANGEMENTS UNDP Myanmar will pay the consultant one fee for their services in two tranches in line with the above delivery schedule. The consultant fee will include the costs of airfare for 1 trip from the place of residence to Yangon, Daily Subsistence Allowance (DSA) to cover the cost of accommodation and meals during missions, and transport in Yangon. UNDP will provide transportation to and in all locations in Myanmar, except Yangon. Field research will be 40 days, of which 30 will be working days. The consultant will spend 7 days in Tanintharyi, 6 days in Mon, 9 days in Shan, 7 days in Mandalay, 3 days in Nay Pyi Taw, and 8 days in Yangon. Other working days will be home-based. RISKS AND CONTINGENCIES Myanmar is in the middle of transformation and reform processes. The country is developing in a challenging and multifaceted context both politically, ethnically and religiously. Some of these challenges might cause unforeseen problems which will influence the implementation of the activities of the programme and ultimately the deliverables of the consultant. In such unforeseen cases the deliverables of the consultant will have to be adjusted and if necessary changed. There is also the possibility that responsibilities could be changed to work on activities related to the Union Parliament in such cases. INSTITUTIONAL ARRANGEMENT The consultant will be reporting to the Programme Specialist Sub-national Parliament who will be responsible for approving the deliverables. Administrative support and interpretation will be provided by UNDP. DURATION OF THE WORK AND DUTY STATION 10

11 The duration of the assignment shall be 09 October 15 December The number of working days will be 45 days. The consultant will spend 7 days in Tanintharyi, 6 days in Mon, 9 days in Shan, 7 days in Mandalay, 2 days in Nay Pyi Taw, 5 days in Yangon and the rest home-based. REVIEW TIME REQUIRED Payment can be released after the submission and approval of the deliverables as listed above. The review time will be 10 working days. COMPETENCIES Core Competencies: Demonstrates integrity by modeling the UN s values and ethical standards; Displays cultural, gender, religion, race, nationality and age sensitivity and adaptability; Promotes the vision, mission, and strategic goals of UNDP Developing People/Coaching and Mentoring & Fostering Innovation and Empowerment; Self-Management/Emotional Intelligence; Effective Communication skills; Appropriate and Transparent Decision Making Analytical and Strategic Thinking and Results Orientation/Commitment to Excellence; Knowledge Sharing/Continuous Learning. QUALIFICATIONS AND EXPERIENCE Advanced university degree in law, social sciences, international development, economics, or human rights; 20 points Experience in conducting research in the field of governance or law; 25 points Experience working with senior public officials; 20 points Experience in parliamentary strengthening in Myanmar; 15 points Experience in policy or advocacy in Myanmar; 10 points Experience in local governance, community rights or peace-building in Myanmar 10 points SELECTION CRITERIA The consultant will be selected through a competitive process based on the qualifications and the competitiveness of the financial proposal. Offers will be evaluated based on the combined scoring methods, whereby the qualifications of the applicants will be weighted 70% and the financial proposal will be weighted 30%: The formula for scoring will be as follows. The contract price is a fixed output-based price regardless of extension of the herein specific duration. Payments will be made upon delivery of outputs in accordance with the delivery and payment schedule. 11

12 Rating the Technical Proposal (TP): TP Rating = (Total Score Obtained by the Offer / Max. Obtainable Score for qualifications) x 100 Rating the Financial Proposal (FP): FP Rating = (Lowest Priced Offer / Price of the Offer Being Reviewed) x 100 Total Combined Score: (Qualifications Rating) x (Weight of Qualifications, 70%) + (FP Rating) x (Weight of FP, 30%) Total Combined and Final Rating of the Proposal PRESENTATION OF OFFER The following should be included in the offer; a) Letter of Confirmation of Interest and Availability using the template provided by UNDP; b) Personal CV or P11, indicating all past experience from similar projects, as well as the contact details ( and telephone number) of the Candidate c) Financial Proposal broken down by daily professional fee, daily subsistence allowance, airfare, insurance visa and other associated costs. 12