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Earth Clinic Review: 2011 Final and 2012 Progress Reports April 23, 2013 PROGRESS REPORTS – 2012 Awards Addressing Seismic Risks to Socio-economic Development in Myanmar Name(s) of PI(s): John Mutter and Sonali Deraniyagala Conflict-sensitive Conservation and Livelihoods Generation in the Haramba Queros and Proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions of Peru Name(s) of PI(s): Joshua Fisher Title of Project: Real-time Access and Utilization of Children’s Learning Data Name(s) of PI(s): Radhika Iyengar

Earth Clinic – Progress Report, April 12, 2013 (max 3 pages) Title of Project: Conflict-sensitive Conservation and Livelihoods Generation in the Haramba Queros and Proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions of Peru Name(s) of PI(s): Joshua Fisher Team Members: Peter Coleman (Columbia University), Hannah Stutzman, Ronald Catpo, and Frank Ochoa (Amazon Conservation Association) Funding start and end dates: Nov 27 2012 – Dec 13 2013 (starting at the point IRB approval was received/funds were released, running through project end date stipulated in award letter) Amount awarded: $29,841

Amount remaining: $18,130.56

1. Describe the long-term goals of the Project and the short-term goals laid out in the last progress report (~Remainder of page 1) This Earth Clinic project is designed with the long-term goals of improving forest management and governance capacity of Concession managers, improving the reach and effectiveness of alternative livelihoods generation programs and reducing levels of social conflict related to resource extraction around protected areas in the Peruvian Amazon Forest by implementing the Conflict Sensitive Conservation methodology. This methodology is designed to improve the ability of conservation organizations to identify, analyze, and productively manage conflicts associated with conservation and livelihoods programs. Additionally, this project seeks to provide research opportunities to Columbia University students. If successful, this project will be scaled-up to additional protected areas and conservation organizations operating in the region. In order to achieve these goals, the project has the short-term objectives of 1) conducting conflict analysis workshops with affected stakeholders in the project area to identify active and latent conflicts, 2) integrating information on the concerns of affected stakeholders into protected area management plans, and 3) conducting conflict-sensitivity trainings with resource managers and livelihoods program staff. The project is structured with an applied component as well as an empirical one. The applied component described above is designed to take place in situ, and as such most project related activities take place in biological research stations in the Amazon, or in the headquarters of the project partner organization, The Amazon Conservation Association. The empirical component of the project is designed to measure the effectiveness of the methodology at accomplishing the goals and objectives described above. As such, the necessary first step in the project involves colleting relevant baseline data that can serve as a comparison across time. 2. Describe the accomplishments since initial allocation (~1/2 page) Since the funds for the project were released on November 27 2012 the project has achieved several important milestones. Two student research assistants are employed to work on the project. Pia Zevallos is a Master student in the Climate and Society program at the Earth Institute, and is being funded through the programs workstudy fund. Michelle Leppert is a student in the Negotiation and Conflict Resolution department at the School for Continuing Education, and is being funded by the project directly under a graduate research assistantship.


In terms of the applied component discussed previously, the project team has conducted 1 preliminary conflict analysis workshop and 2 conflict sensitivity training workshops in Peru with Conservation Concession managers and enforcement and livelihoods programming staff from the project partner organization, and with affected stakeholders from other organizations. Further, the project team was approached by the managers of Machu Picchu and Manu National Park to assist both protected areas in identifying and developing strategies to mitigate the various conflicts they face. In terms of the empirical component of the project, the project team is currently engaged in collecting the baseline data and producing a scoping report that will be used to measure project impact at the end of the project. This work is ongoing, and thus thus far yielded baseline data on the perceptions of protected area managers and conservation staff. Additionally, the project funds and performance to date have been leveraged to apply for $1.2 million (USD) in additional funding from USAID to extend the project goals and methodologies to other protected areas in the Peruvian Amazon. If these funds are awarded, the project team and project partner organization will for a 3-year partnership to address conservation conflicts resulting from illegal gold mining, illegal logging, and hydrocarbon exploration. A decision from USAID on the application is expected in May 2013. The project was initially proposed for the Santa Rosa de Huacaria/Palotoa and Queros Conservation Concessions. In late 2012 the indigenous groups who manage these land parcels voted to end their bids for conservation concessions and instead are pursuing alternative arrangements with the Peruvian state. In response, the project team identified an adjacent Conservation Concession called Los Amigos that fit the criteria for the proposed project, and successfully developed a relationship with the managers such that the project shifted the project site to Los Amigos. 3. Describe the goals for the time period between now and the end of the project (~1/2 page) The next phase of the project will consist of conducting conflict sensitivity trainings and conflict-sensitive engagement workshops with 6 communities surrounding the Los Amigos Conservation Concession. This phase will also collect empirical data on key stakeholder perceptions about the current impacts of the conservation concession on these communities. This phase is expected to be completed between May 2013 – July 2013. Following this stakeholder engagement phase, the project will conduct follow-up monitoring and evaluation to assess the institutional uptake of conflict-sensitive conservation principles and strategies, and to investigate how these strategies are being implemented in conservation and livelihoods programming. This monitoring and evaluation phase will consist of key stakeholder interviews and a final evaluation workshop and conflict sensitivity refresher training in the headquarters office of the project partner organization in Puerto Maldonado, Peru.

4. Briefly describe obstacles and how you intend to overcome them (~1/2 page) There are 2 foreseeable challenges to implementing the project and accomplishing the project goals described above. The first challenge relates to the logistical challenges associated with conducting fieldwork in remote areas of the Peruvian Amazon. The climate is dominated by a rainy and a dry season, making the area inaccessible for the months of October-February. Ideally the project would conduct final evaluation in November-December 2013. However, due to the inaccessibility of the project area during this time, the final evaluation will need to be conducted before or after the rainy season. Conducting the


evaluation prior to the rainy season will likely not allow for enough time to pass between implementing the conflict sensitive conservation methodology and measuring the impact. Thus the project will request an extension of the account end date until June 2014 and will conduct the final evaluation between March-April 2014. The second logistical challenge relates to the workload of the project partner organization. The Amazon Conservation Association (ACA) has a diverse portfolio of conservation programs, protected areas, and livelihoods development activities. Due to the associated workload and timing of related projects the project team from CU has to coordinate project activities to correspond to the availability of project partners from the ACA. The collaboration between CU and ACA is paramount for project success because ACAs local presence is required for entry into communities surrounding the Los Amigos Conservation Concession. To overcome the challenges associated with coordinating the schedules of multiple project personnel from CU and ACA, the project will request the account extension described above. The additional time will provide greater flexibility to the project team. 5. Briefly describe any need for change and how you will address these needed changes (~1/2 page) The only change required in the project as outlined in the Earth Clinic proposal is the change of project site from the proposed Santa Rosa de Huacaria/Palotao and Queros Concessions to the Los Amigos Conservation Concession. As described above, in late 2012 the communities included in the original proposal opted to forgo the Conservation Concessions that they had applied for, and instead chose to pursue full land tenure of these areas with the Peruvian state. As such these sites were no longer suited for the proposed methodology. In response, the project team identified a suitable alternative site and established a working partnership with the managers of the Los Amigos Concession. No further changes to the original project design are foreseeable. 6. Provide a revised account end date and rationale, if necessary: As described in Section 4 of this report, the project requests an extension of the original account expiration date until June 2014, due primarily to the inaccessibility of the project area during the months October – February. This extension was anticipated during the project design phase and was initially requested on page 5 of the original Earth Clinic proposal in the graphic that describes the project timeline. This extension will enable the project sufficient time to conduct a final evaluation in the project area after sufficient time has passed from project implementation to potential results generation.


Earth Clinic New Project Proposal Coversheet This is a proposal for a project that will begin on July 1, 2012 and will conclude by December 31, 2013. If this project is funded, all activities and spending will be complete by December 31, 2013. The final report for the project will be submitted by January 31, 2014. Please provide the following contact information: Name: Christianna Gozzi; Joshua Fisher, PhD Title: Assistant Director; Postdoctoral Fellow (respectively) Organization/Department: Advanced Consortium on Cooperation, Conflict and Complexity (AC4); The Earth Institute; Columbia University Work Phone: (212) 870-2771 Mobile Phone: (203) 314-1127 FAX: (212) 851-1780 E-mail:; Enter the title of your project in the space provided below: “Conflict-sensitive Conservation and Livelihoods Generation in the Haramba Queros and proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions of Peru”

Enter a short title for your project (maximum 20 characters, for use as an account name): “CSC and LG Peru AC4”

Enter the total budget amount of the project in the space provided below: $ 29,841

Earth Clinic Proposal - CSC and LG Peru AC4


Title: Conflict-sensitive Conservation and Livelihoods Generation in the Haramba Queros and proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions of Peru Introduction to the Problem The Andes-Amazon interface holds some of the world’s most biologically important forests that provide essential ecosystem services on local, regional and global scales.1 In 2001 the Peruvian government legally established an innovative forest governance mechanism called conservation concessions to manage these landscapes.2 These concessions are contractual partnerships between the Peruvian state and non-governmental organizations wherein a civil society partner manages state-owned lands for biodiversity and ecosystem conservation. Concessions have proven to be an effective model for managing what would otherwise be de facto open-access forests. However, these areas exist at the intersection of multiple competing pressures, with local communities struggling to meet subsistence and livelihoods needs3, oil and gas exploitation for national economic growth4, rising global demand for timber and gold5, and increasing recognition of the threat of climate change.6 As these pressures continue to grow, access to forest resources is increasingly a source of low-level conflict in the Peruvian Amazon.7 Such conflict simultaneously erodes conservation gains, inhibits economic development, and reinforces social practices that marginalize ecosystem functioning.8 There is thus an urgent need to implement conflict-sensitive conservation in concession management to mitigate the negative impacts of conflict on conservation and economic development in the area.9 Scope of Project Developed by IISD and Wildlife Conservation Society, conflict-sensitive conservation is a framework that enables natural resource managers to design conservation strategies that account for the drivers of conflict in order to minimize conflict risk and maximize peace-building opportunities.10 The proposed project will pilot this approach in Peru with the aim of improving the effectiveness of conservation management and livelihoods programming, and enhancing social stability in the Haramba Queros Wachiperi and proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions. Through conflict analysis workshops the project will identify the drivers of conflict in the communities neighboring these concessions and assess the impacts of conservation programming on social stability and local economies. Knowledge generated during these workshops will be used to design training clinics for concession managers and field personnel in order to improve their ability to interface with stakeholders on contentious issues and to recognize opportunities to improve the effectiveness of their livelihoods programming. Further, knowledge generated during the workshops and training clinics will inform the design of concession management plans, enabling greater returns on conservation investment. This project will test whether and which conflict-sensitive conservation strategies encourage voluntary compliance of local stakeholders with concession management plans, thereby enhancing the effectiveness of resource management. The project will also explore the effectiveness of conflict analysis workshops at facilitating dialogue among diverse stakeholders, and thus reducing conflict. Additionally, the project will test whether conflict sensitivity increases the effectiveness and reach of alternative livelihoods programs in the area. Finally, this project will assess the potential to scale conflict-sensitive resource management to other concessions across the Peru and to disseminate lessons learned and best practices to other organizations in Peru and in neighboring countries. Knowledge generated though this process will be vetted in peer-reviewed journals, and will be leveraged by the project team to pursue funding for further research as well as for funding to expand applied conservation programming.

Earth Clinic Proposal - CSC and LG Peru AC4


Methodology The proposed project consists of two components. The first component is practiceoriented applied research designed to increase the effectiveness of ongoing conservation efforts and livelihoods generation strategies in the Haramba Queros Wachiperi and the proposed Santa Rosa de Huacaria/Palotoa Conservation Concessions. The applied research design will employ the methodology designed by the International Institute for Sustainable Development and described in the Conflict-Sensitive Conservation Practitioners’ Manual11 to identify the drivers of conflict in and around the protected areas and build institutional capacity among managers and field staff to address those drivers through conflict-sensitive conservation programming. The framework for this first component consists of 4 elements: 1. Scoping: A preliminary scoping phase in which undergraduate researchers will conduct a desk study consisting of literature review, open-ended key informant interviews with field staff, and document review to identify: stakeholders in the area, key contentious issues, and current management strategies that exacerbate and/or mitigate conflict in the project area. This desk study will be used to produce a scoping report that will guide the design and structure of field study. 2. Conflict Analysis Workshop: The scoping phase will be followed by field-based conflict analysis workshops with all relevant stakeholders in the area to identify the drivers of conflict, prioritize contentious issues, and identify points of entry for conservation and livelihoods programs to mitigate conflict drivers. 3. Conflict Sensitivity Capacity Building: Based on data collected through scoping and through the conflict analysis workshops, training clinics will be designed and delivered by the PI and co-PIs to protected area managers and field staff. These clinics will include classroom sessions and focus group facilitation tailored to assist conservationists in recognizing opportunities for expanding their activities to better meet the needs of stakeholders, interfacing with stakeholders on contentious issues to manage conflict, and identifying the unintended effects of conservation on social tensions and local economies in the project area. 4. Conflict-sensitive Conservation Programming: After analyzing the drivers of conflict in the project area and building local capacity to manage conflict, the PI and co-PIs will work with concession managers and conservation staff to design programmatic interventions and concession management plans to mitigate the negative impacts of conservation on social stability and economic development, and expand conservation and livelihoods gains in the project area. The second component of the proposed project is empirical research that will analyze the effectiveness of the applied component in realizing project goals. This component will employ both quantitative and qualitative methods to test the following 4 hypotheses: H1: Conflict-sensitive conservation programming and management increases voluntary compliance with protected area rules and laws among stakeholders. Qualitative data will be collected by the PI and undergraduate researchers to test this hypothesis by conducting semi-structured interviews with forest monitoring and enforcement staff in three iterations: first in a baseline field assessment conducted prior to training clinics, again in a midterm desk assessment at 6 months after implementation of applied research, and finally in a final field assessment at 12 months after implementing the applied research. These

Earth Clinic Proposal - CSC and LG Peru AC4


interviews will collect data on the frequency of illegal activities inside the concessions and enable comparison against a baseline to monitor changes in stakeholder behavior over time. H2: Administering conflict-sensitive training reduces the frequency of verbal and physical confrontations among conservationists and other stakeholders. Quantitative data will be collected by the PI and undergraduate researchers to test this hypothesis by conducting semi-structured interviews with field staff and protected area managers in three iterations: first in a baseline field assessment conducted prior to trainings, again in a midterm desk assessment at 6 months after implementation, and finally at 12 months after implementing the applied research component. These interviews will collect quantitative data on the frequency of verbal and physical conflicts that respondents either had participated in or had knowledge of occurring inside and around the concession. Small sample statistical analysis of these data will enable comparison of conflict frequency against baseline data across time and seasons. Data will be analyzed using standard ANOVA and regression. H3:: Conflict-sensitive conservation programming increases the reach and effectiveness of livelihood generation efforts. Undergraduate researchers will collect pre-intervention quantitative data from conservation staff through records reviews and key informant interviews on multiple aspects of livelihoods programming including: number of participants involved in livelihood generation projects; the household economy of participants; rate of participation inside communities; rate of attrition among participants; conservation funding allocated to livelihoods projects; and number of staff employed in livelihoods projects. Post-intervention data will be collected again at 12 months after implementation of the applied research component to measure changes these indicators. Data will be analyzed using standard ANOVA and regression techniques. H4: Incorporating conflict sensitivity into conservation programming can mitigate the negative impacts of conservation on local stakeholders in and around concessions. Qualitative data will be collected to test this hypothesis by conducting focus group dialogues and semi-structured interviews at 12 months after implementation. These dialogues will identify the post-intervention drivers of conflict as well as various stakeholders’ positions and attitudes on contentious issues. The dialogues and interviews will also explore stakeholders’ perceptions of changes in concession management and their experiences interfacing with conservation staff. Data collected in this final evaluation will be used to conduct a comparative analysis of drivers of conflict and stakeholder positioning pre- and post-intervention. Finally, qualitative data will be collected to test this hypothesis by conducting semistructured interviews with protected area managers and conservation staff at 12 months after implementation of the applied research component to identify assess levels of implementation of conflict-sensitive conservation techniques, and to generate lessons learned and best practices in applying conflict-sensitive conservation in protected area management in Peru. Fieldwork Site, Project Client, and Partners The project clients are concession managers and the indigenous communities of Haramba Queros, Santa Rosa de Huacaria, and Palotoa. Project partners include conservation practitioners from the U.S. based Amazon Conservation Association (ACA) and its Peruvian counterpart Asociación para la Conservación de la Cuenca Amazónica (ACCA).

Earth Clinic Proposal - CSC and LG Peru AC4


In 2008 the Haramba Queros Wachiperi Conservation Concession was established as the world’s first conservation concession to be managed by an indigenous group12. This concession protects approximately 8000 hectares of highly diverse montane rainforest, and provides an important buffer zone for Manu National Park in the Peruvian Amazon. Both ACA and ACCA provided technical support to the Wachiperi indigenous group throughout the process of applying for the concession, designing a management plan, and implementing conservation programming that includes livelihoods generating activities in local communities. Based on successes realized through that process, the communities of Santa Rosa de Huacaria and Palotoa, with technical support from ACA and ACCA, are in the process of applying for legal establishment of the proposed Santa Rosa de Huacaria Conservation Concession. The new concession will protect approximately 36,800 hectares of intact montane rainforest, and will provide an important buffer to Manu National Park. The new concession will also provide an essential buffer for uncontacted Matsigenka tribes and other indigenous groups in voluntary isolation in the Amazon. Currently, the regional government is evaluating the potential of expanding the proposed concession to create a Huacaria/Palotoa Regional Conservation Area (RCA). The proposed project seeks to generate lessons learned on best practices in conservation concession management and alternative livelihoods programming. Those lessons will be used to design targeted programmatic modifications in and around the Haramba Queros Wachiperi Concession to mitigate the drivers of conflict, and will likewise be used to introduce conflictsensitive conservation into the design of the proposed Santa Rosa de Huacaria Concession or Huacaria/Palotoa RCA management plan and livelihoods programming. Direct beneficiaries include the members of the Haramba Queros, Santa Rosa de Huacaria, and the Palotoa communities. The project will have downstream benefits in the form of improved buffers for groups in voluntary isolation, as well as economic and conservation benefits for other concessions and stakeholders as the project is scaled to other protected areas in the region. Project Timeline FY 2012 - 2013



Date 29 Jun 2012 1 Sep 2012 15 Jan 2013


FY 2013 - 2014






Goals Met

Award notification Scoping phase begins Scoping phase complete

Institutional Review approved Undergrad researchers hired Scoping report delivered to clients; workshop & training design initiated 10 - 30 May 2013 Initial conflict workshop, interviews & Baseline data collected; trainings training clinic conducted; interventions designed 1 - 31 Oct 2013 Midterm evaluation & interviews Midterm data collected 10 - 30 May 2014 Final field workshops & interviews Final data collected 28 Jun 2014 Project closes Final project report delivered Note: The project team requests one 6-month extension (as per page 5 of the Earth Clinic RFP) to accommodate field logistics. The field site is inaccessible from November - April due to road closures during the rainy season. As such, fieldwork must be conducted from May - October.

Required Equipment and Approval Prior to fieldwork the project will require Institutional Review Board approval.

Earth Clinic Proposal - CSC and LG Peru AC4


Names, Titles, and Roles of Contributors Joshua Fisher, PhD., PI, Earth Fellow with AC4 at Columbia University (9/1/2012 - 8/31/2014): Duties: Manage the financial and technical project aspects and report to the Program Manager. Peter Coleman, PhD., co-PI, Associate Professor of Psychology and Education and Director of AC4: Dr. Coleman will assume responsibility of the project if Dr. Fisher leaves Columbia University prior to project completion. Undergraduate Research Assistants: 2 undergraduate research assistants will be recruited to assist with data collection, provide logistical field support, and serve as workshop rapporteurs. Nicole Goodrich, Independent Consultant: Duties: Conduct primary facilitation of workshops during fieldwork. She will also assist in delivering trainings to project clients. Hannah Stutzman, Associate Director of Programs at ACA: Duties: Facilitate data sharing and collection. She also will liaise between project team and clients and stakeholders. Ronald Catpo, Director of Conservation Areas and Institutional Strengthening at ACCA: Duties: Liaise between the project team and clients, government, and other stakeholders. Conflicts of Interest There are no foreseen conflicts of interest. Itemized Budget

FY 2013 - 2014

FY 2012 - 2013


Item Research station accommodation Transportation to research station Workshop participant transportation Airline tickets DC&NY - Peru Workshop materials Undergraduate research assistants Independent consultant Airline ticket HI - Peru ACCA consultant salary Cuzco room and board Indirect costs FY 2012-2013 Total Research station accommodation Transportation to research station Transportation to Queros & Huacaria Airline tickets DC&NY - Peru Research Assistants ACCA consultant salary Cuzco room and board Train ticket DC - NY Washington DC hotel Indirect costs FY 2013-2014 PROJECT TOTAL

Unit Cost $$ 28/day 250/each way 500 1500/each 300 15/hour 350/day 2500 156/day 100/day 5%

No. 55 2 1 3 1 240 6 1 5 8

Net Cost 1540 500 500 4500 300 3600 2100 2500 780 800 856

28/day 250/each way 500 1500/each 15/hour 156 100 150 250/night 5%

15 2 1 3 240 5 6 1 1

420 500 500 4500 3600 780 600 150 250 565

Earth Clinic Proposal - CSC and LG Peru AC4

Total 1540 2040 2540 7040 7340 10940 13040 15540 16320 17120 17976 17976 420 920 1420 5920 9520 10300 10900 11050 11300 11865 11865 29841 6

References 1

Foley, J.A., Asner, G.P., Costa, M.H., Coe, M.T., DeFries, R., Gibbs, H.K., Howard, E.A., Olson, S., Patz, J., Ramankutty, N., and Snyder, P. (2007) Amazonia revealed: forest degradation and loss of ecosystem goods and services in the Amazon Basin. Frontiers in Ecology and the Environment 5: 25-32.


Hardner, J. and Rice, R. (2002) Rethinking Green Consumerism. Scientific American 286(5): 88-95.


Naghton-Treves, L., Alvarez-Berrios, N., Brandon, K., Bruner, A., Holland, M.B., Ponce, C., Saenz, M., Suarez, L., and Treves, A. (2006). Expanding protected areas and incorporating human resource use: a study of 15 forest parks in Ecuador and Peru. Sustainability: Science, Practice, & Policy 2(2): 3244.


Haselip, J. (2011). Transparency, consultation and conflict: Assessing the micro-level risks surrounding the drive to develop Peru’s Amazonian oil and gas resources. Natural Resources Forum 35:283-292.


Swenson, J.J., Carter, C.E., Domec, J.C., and Delgado, C.I. (2011). Gold Mining in the Peruvian Amazon: Global Prices, Deforestation, and Mercury Imports. _PLoS ONE 6(4): e18875. Doi: 10.1371/journal.pone.0018875.


Malhi, Y., Roberts, J.T., Betts, R.A., Killen, T.J., Li, W., and Nobre, C.A. (2008). Climate Change, Deforestation, and the Fate of the Amazon. Science 319(5860): 169-172.


Bebbington, A. (2009). The New Extraction: Rewriting the Political Ecology of the Andes. NACLA Report on the Americas. September/October. Accessed online on 22 April 2012 at:


Shambaugh, J., J. Oglethorpe, and R. Ham (with contributions from Sylvia Tognetti). (2001). The Trampled Grass: Mitigating the impacts of armed conflict on the environment. Washington, DC, USA: Biodiversity Support Program.


Ruckstuhl, S. (2009) Renewable Natural Resources: Practical Lessons for Conflict‐Sensitive Development. Social Development Department, Sustainable Development Network. Washington, DC. The World Bank Group.


Kujirakwinja, D., Shamavu, P., Hammill, A., Crawford, A., Bamba A. & Plumptre, A.J. 2010. Healing the Rift: Peacebuilding in and around protected areas in the Democratic Republic of Congo’s Albertine Rift. Unpublished Report to USAID.


Hammill, A., Crawford, A., Craig, R., Malpas, R., and Matthew, R. (2009). Conflict-Sensitive Conservation: Practitioners’ Manual. Winnipeg, Manitoba, Canada. International Institute for Sustainable Development.

Earth Clinic Proposal - CSC and LG Peru AC4


Earth Clinic – Progress Report, April 12, 2013 (max 3 pages) Title of Project: Real-time Access and Utilization of Children’s Learning Data Name(s) of PI(s): Radhika Iyengar Team Members: Sarah Muffly, Prabhas Pokharel, Eva Quintana Funding start and end dates: July 1, 2012 – June 30, 2013 Amount awarded:


Amount remaining:

1. Describe the long-term goals of the Project and the short-term goals laid out in the last progress report (~Remainder of page 1)

The main long-term goal of the project is to provide a model for implementing the learning assessment method (of administering tests and collecting and disseminating results) used in this study for other Millennium Villages on a larger scale. Specifically, the study intends to use technology to get rapid feedback on children’s learning levels. By reducing the amount of time it takes to process assessment results, any efforts to improve learning can be directly addressed to the students who participate in the assessment. Concerning short-term goals, the principal objective is to test the process of using automated electronic report cards to organize and disseminate data on children’s literacy. Another goal is to do a trial of a remedial learning intervention aimed at improving reading in 5 of the 10 schools selected for the study.

2. Describe the accomplishments since initial allocation (~1/2 page)

Since the beginning of the study, the team has successfully piloted the data collection and report card generation process by administering tests to children in the SADA Millennium Village. This was completed in November, 2012, and since then, the site of the study has moved to the Bonsaaso Millennium Village. The move was 1

necessary due to a lack of adequately staffed schools needed for the study. At the beginning of the study, many of the teachers working in SADA were employed by the NGO World Vision. A few months ago, World Vision withdrew funding from the site; consequently, teachers ceased receiving payment and left their posts. As a result, many schools in SADA have mixed-grade classes. Since the study involves assessing children in the 3rd and 4th years of primary school, it requires single grade classes, at least for these two grades. In Bonsaaso, we have successfully identified 10 adequately staffed schools to participate in the next steps of the study. We have already done extensive planning with the Bonsaaso site team. Co-investigator Sarah Muffly traveled to the site in late January to train enumerators in administering the literacy tests and to visit schools and talk with headmasters about the purposes of the study. Additionally, the team has secured IRB approval from Columbia University.

3. Describe the goals for the time period between now and the end of the project (~1/2 page)

Future steps include conducting research on phonics instruction and incorporating best practices in this field in order to create a manual for community education workers (CEWs) to use as part of the remediation activities. Furthermore, Sarah will travel to Bonsaaso shortly to participate in training CEWs in implementing these activities. Next, the team will do a first round of data collection—in the form of administering short reading tests—to children at the end of May. After the initial round of testing, CEWs will work with children in the treatment schools (5 out of the 10) in the hopes of improving reading skills. At the end of the Ghanaian school year, in July, another round of tests will be administered to see the effects of the intervention.


4. Briefly describe obstacles and how you intend to overcome them (~1/2 page)

One obstacle we are facing is getting IRB approval from a Ghanaian university, which is taking longer than the Columbia process took. Without internal IRB approval, we cannot collect data. Our team in Bonsaaso is working with a university and having meetings with their administrators in order to speed up the process. Also, as stated previously, we changed the site of the study from SADA to Bonsaaso. Because the change of location resulted in losing time, we are compensating by training CEWs before we do data collection, so that they will be ready to work with children immediately following the first round of testing. Furthermore, since we cannot do testing before receiving IRB approval, training CEWs is a way to accomplish goals of the study in a timely manner. 5. Briefly describe any need for change and how you will address these needed changes (~1/2 page)

The research team does not foresee any change other than the delay in implementing the study, as previously explained. The study implementation is now contingent upon the approval of Ghana local IRB. The Bonsaaso team leader and the Education Coordinator are taking all the necessary steps to ensure that the team gets the IRB approval as soon as possible.

6. Provide a revised account end date and rationale, if necessary:

The initial proposal listed the end date of the study as June 2013, but considering that the Ghanaian school year ends in late July, we would like to extend the end date to July 31, 2013, to compensate for time lost as a result of changing the location of the study. If, however, we are unable to obtain Ghanaian IRB approval in time to do two rounds of data collection, we would like the option to extend the study into the following 3

academic year. Given the changes regarding the site and the unanticipated time it has taken for the local IRB process, the field-based data collection will take more time than anticipated. Due to these changes there have been additional travels to support the study. The study may need an additional site visit to make the “treatment”—remedial education intervention—stronger to be able to see some positive results. For these purposes, an additional $3000 may be required which was not accounted for in the original budget. Please advise if this is possible.



Earth Clinic 2012-13 Practical Solutions Grants New Project Proposal Coversheet

This is a proposal for a project that will begin on July 1, 2012 and will conclude by June 31, 2013. If this project is funded, all activities and spending will be complete by December 31, 2013. The final report for the project will be submitted by January 31, 2014. Please provide the following contact information, for the person who will be responsible for the project: Name: Radhika Iyengar Title: Director of Education, Millennium Villages Project and the Scale-up Operations, Earth Institute, Columbia University Organization/Department: Work Phone: (none) Mobile Phone: 646-701-1920 FAX: E-mail: Enter the title of your project in the space provided below (maximum 120 characters): Real-time Access and Utilization of Children’s Learning Data in the Tamale region of Northern Ghana.

Enter a short title for your project (maximum 20 characters, for use as an account name): learningassessments Enter the total requested budget amount of the project in the space provided below: $19, 950

2 Real-time Access and Utilization of Children’s Learning Data Scope of Project Until recently, large–scale assessments of learning levels of children in schools or community was considered either a very expensive proposition or too vague for any kind of community engagement or policy intervention. When such assessments are administered, it can take many months, if not years, to process the data. This limits the frequency with which assessment reports may be generated. Thus the assessment data is not readily available to policymakers, the government, or to the community or the schools where immediate remediation action is needed the most. This real-time use of data is critical to the learning development of the children before they further lag behind in academic performance or drop out of school without any remedial help. The Earth Institute believes in providing integrated, innovative and scalable solutions to the challenges of rural development. This study is able to speak to the mission by using cutting-edge technical solutions to measure and improve literacy rates among 6 to 16 year olds in the Millennium Villages (MV). This applied education monitoring program will provide information on the levels of literacy and numeracy in the region, paired with spatial data to identify priority areas for ongoing education programs and necessary interventions. This study includes the design of a tool that facilitates real-time data collection and Report Card generation on learning assessments. An integral part of this study is the design of rapid literacy and numeracy assessments specifically tailored to the Ghana context that will provide real-time feedback of data in the form of Community-based Report Cards. There are three components to this study: first, adapting the ASER/Uwezo test and conducting the learning assessment in the Northern Ghana Millennium Village Project site1. Second, the use of Android phone technology to reduce the time delay between assessing children and providing community-based learning Report Cards, which now can be done on the same day. The third component comprises the education response teams as a part of the MVP, who help to plan and prioritize education interventions such as remedial education, teacher assistance and supervision, among other critical interventions, based on learning results and available data. Essentially, the study will be able to test the assumption that realtime data collection leads to real-time data use to design appropriate education interventions. This study is an improvement over the existing approaches in many ways. First, using technology for large-scale recording and analyzing test scores with immediate report card generation and dissemination in the communities will improve data utilization. Second, this study showcases how low-cost technology combined with educational testing could help in large-scale community mobilization, improving accountability measures, plan remediation and improving learning levels. Third, it will be integrated within a larger education program within the Tamale regional operations to apply findings to direct interventions in partnership with the Ghana Ministry of Education and local Parent Teacher Associations. The information will be distributed through the local authorities, education outreach agents and school administrators. Methodology There has been a consistent shift of the global discourse on education from prioritizing school access to prioritizing student learning (The World Bank, 2011). Popular large-scale assessments such as TIMSS, PISA, and SACMEQ are able to assess student learning in multiple dimensions. However, the 1

Earth Institute, supported by DFID, is implementing the a new Millennium Village site to accelerate progress towards achieving the Millennium Development Goals in the West Mamprusi and Builsa districts of northern Ghana. The project is for five years from 2011 to 2016. The site consists of 35 villages with a population of 26,500 people. This study will be implemented as a pilot in one village, and scaled up throughout the other districts based on the results of the initial pilot study.

3 main drawbacks of such assessments are that they are expensive to conduct, require complex analysis before dissemination, are school-based and lack community participation, and are meant for crossnational and national policymakers rather than the teachers and community members. ASER in India and Uwezo in Kenya, Tanzania and Uganda are successful in eliminating many of these drawbacks. In these assessments community volunteers in each of the districts administer a simple test. The test includes alphabets, words, simple sentences and a paragraph to test literacy (Emmanuel, 2009). For numeracy skills, the test includes number recognition and word problems with simple subtraction, addition and division problems. These tests are structured to take no longer than 10 minutes per child to administer. This simple test is effective in terms of assessing the child’s literacy and numeracy skills, as well as in involving the community in observing the testing procedure and knowing how many children in their schools or community are able to read and do basic mathematics. In rural districts in India, the test results are easily understood by all parents, many of who have now partnered with CBOs such as the Parent Teacher Associations, Local Councils, School Based Management Committees and local leaders to improve learning levels in their district. Despite major successes, much is desired in terms of data turnaround time. Making sure clean data is processed in the communities as rapidly as possible is as critical as gathering the assessment data from the communities. To ensure that this activity is not yet another collection activity in the district, the same surveyor or enumerator needs to disseminate the data collected to the community members. Thus community-based report card generation and discussion around the status of education and learning in the community would lead to better utilization of data and planning at the local level. Another critical component of this activity is the frequency with which it is done. Giving the community time to plan school- and community-based remediation interventions and administering the second round of assessments in the same academic year will be able to concretely show the progress of the learning levels. The adaptation of this model through the pilot study in Northern Ghana will therefore create a tool to reduce the time between data collection, processing, and dissemination, as noted above. The findings of this study will be linked with ongoing field programs to increase strategic targets and areas for concentrated activities to improve the quality of primary education and the community’s involvement in this work. The data collection process will also be replicated twice in the same academic year. The reasoning behind frequent assessment of children is to give the community a sense of their children’s progress as well as the ability to put a remediation strategy in place before an academic year is over and the children have moved on to another set of teachers or to a different school (primary school to lower secondary school). Frequent measuring of learning levels also ensures that the community is able to see measureable impact of their efforts. The use of Report Cards is not a new concept in education, as tools such as the “District Report Cards” or “Citizen’s Report Cards” are being used in other countries such as India for the purpose of building awareness and accountability in the community (DISE, 2012). The Report Cards are often used as discussion points in the community to track children’s educational progress and to increase demand in the community for concrete interventions as suggested by the results of the Report Cards. These steps may include hiring more teachers, building more classrooms, improving enrollment numbers, or other critical interventions. For this project in Northern Ghana, the Report Cards will be discussed in community-led meetings in order to involve the communities in every step of the education process. The unique aspect of this study is the use of technology to enhance near real-time feedback to communities. By conducting data collection on Android phones, we can allow for rapid summaries to be generated based on collected data. This will be done using formhub, a platform created by the Technology team at the Earth Institute. These summaries are then taken back to communities where data

4 was collected in order to facilitate community-led action based on the information. This real-time feedback to the community will allow community members to respond in near real-time to the literacy and numeracy status of children within the community. The Earth Institute will provide technical support for this study, including programming the survey template on Android phones, providing the necessary phones, training the field staff on the use of the phones, data storage, and back-end data processing (including automated data cleaning, report card generation and storage). At the end of the study an assessment will be done with partners at the Earth Institute as well as with partners on the ground, to determine what aspects of the project are scalable to other communities and districts within Ghana as well as within other Earth Institute project sites. The results of this assessment will inform the next phase of the project, and allow the Earth Institute to adapt the tool as needed first for usability, and then for effectiveness in other project sites. Fieldwork Site and Project Client/Project Partners Project Timeline The proposed timeline for this project is one year, from July 1, 2012- June 30, 2013. Required equipment and approvals 5 Android Phones for data collection. IRB will be required and the team is currently writing the protocol for this study and will submit to the IRB by the end of May 2012.

Names and titles of contributors and their roles Principal Investigator (PI) Amina Az-Zubair, Visiting Professor, School of International and Public Affairs (SIPA) Ms. Az-Zubair is a current Visiting Professor is the former Senior Special Assistant to the President of Nigeria, on the Millenium Development Goals (MDGs). She previously served as the National Coordinator of the Education for All (EFA) process in Nigeria. Some other positions she has held include: Co-founder and head of the Civil Society Action Coalition on Education for All (CSACEFA); Founding/Executive Partner Afri-Projects Consortium; and Associate Consultant for Norman & Dawbarn, United Kingdom. At the Earth Institute, Amina is currently teaching course at SIPA which provides practical and policy level insights on scaling up the MDG framework nation wide. Amina will be supervising the project. CO-PIs Earth Institute, Education Support Staff: Radhika Iyengar, Ph.D. Radhika Iyengar is the Director of Education, Millennium Villages Project and Scale-up Operations, Earth Institute, Columbia University. She will be coordinating the training on learning assessments, coordinating all field activities at the site. Earth Institute, Technology Support Staff: Matt Berg Matt Berg is a technology practitioner with over 10 years experience living and working in Africa. Matt currently serves as the ICT Coordinator for the Millennium Villages Project based out of the Earth Institute at Columbia University. He will be overseeing the technology side of the study from NY.


External Consultant Uwezo Assessment Consultant, Suleman Sumra Suleman Sumra has been the country coordinator of Uwezo Tanzania since its inception in August 2008. Uwezo has carried out assessment of learning outcomes in basic literacy and numeracy in 2010 and 2011In 2011 all the districts were covered and more than 120,000 were assessed. Suleman will be providing the technical expertise on adapting the assessment to the site context and will also be conducting the training on the assessments in Ghana. Conflicts of interest No conflict of interest Itemized Budget Budget Items EQUIPMENT Phones


5 phones


Travel Tanzania to Ghana Hotel and Food for a week Fees Student/ Researcher travel from US to Ghana (Education Coordinator) Airlines Accommodation and food expenses for 2 weeks TECHNOLOGY SUPPORT Researcher to Travel from US to Ghana Airlines Accommodation and food expenses for 2 weeks Local Programmer (one month support) IMPLEMENTATION COST Training expenses

500 1000 300


2 day training (meals, assessment form printing, stationery for the Education Coordinator and Community Education Workers)

3000 2000

3000 2000 4000


Survey work (One community pilot) Local travel (local programmer, Education Coordinator for 2 weeks)


SUB TOTAL Indirect Cost (@5%) TOTAL

19000 950 19950

6 REFERENCES ASER Centre. (2012, April 24). District Information System for Education (DISE). (2012, April 24). Emmanuel, M. (2009). Framework for development of Uwezo assessment tools. Retrieved from Modi Research Group. (2012, April 24). Uwezo. (2012, April 24). The World Bank. (2011). Learning for all: Investing in people’s knowledge and skills to promote development. Washington, DC: The World Bank.

Earth Clinic – Progress Report, April 12, 2013 (max 3 pages) Title of Project: Addressing Seismic Risks to Socio-economic Development in

Myanmar Name(s) of PI(s): John Mutter and Sonali Deraniyagala Team Members: Nano Seeber, Stephanie Lackner Others contacted and involved: Lex van Geen Lamont/EI Brian Tucker – Geohazards International. Tun Lwin, former Director-General, DMH; CEO, Myanmar Climate Change Watch. Soe Thura Tun, member of the Myanmar Geosciences Society, and the Myanmar Earthquake Committee, a task force formed of MGS and Myanmar Engineering Society. U Aye Lwin, Secretary General, Geo-science Society Myanmar Tim Htoo Naing Economics Department Yangon University Win Myo Thu, ECODEV Funding start and end dates: June 20, 2012 – June 2014 Amount awarded:


Amount remaining:

1. Describe the long-term goals of the Project and the short-term goals laid out in the last progress report (~Remainder of page 1)

This clinic will build capacity in earthquake risk assessment and management in Myanmar. It will combine geophysical and socioeconomic analysis to inform a set of activities that will both improve earthquake monitoring and place earthquake risk reduction on the development policy agenda in Myanmar.


2. Describe the accomplishments since initial allocation (~1/2 page)

We have been assembling a group of interested people and planning our trips to Myanmar. In the time since the award there has been mounting interest in Myanmar. Glenn Denning spent several weeks there and Lex Van Geen also visited for sometime. Glenn has been taking a leading role and has been interacting with David Phillips from the Institute for the Study of Human Rights who has been asked by President Bollinger to head up a coordination role. He and Glenn have met. Some quite high level visits to Columbia are in planning including possibly the Myanmar President, Thein Sein. Glenn and David are assembling a group of faculty and researchers with activities and plans on Myanmar. David has the lead for people working in the peace-building and human rights space. The tentative plan is for a delegation to go from Columbia in May/June. That delegation would include our project team as well as people involved in other Myanamar activities. This plan replaces the idea that we would attend a conference in late Fall of 2012. In the interim I have met interested seismologists at Lamont and see no problem in assembling a good group of people to work on the problem. Stephanie Lackner a student in the PhD in sustainable development took a seismology class at Lamont from Geoff Abers and used a case study of Myanmar seismicity for her class project, fulfilling one aim in the preparation for the work. 3. Describe the goals for the time period between now and the end of the project (~1/2 page)

Since we did not travel to Myanamar in the late Fall as we originally planned because it was considered more effective to coordinate our efforts with the broader university effort under Glenn Denning and David Phillips our objectives have not changed but are put back in time to achieve the needed collaborative developments within Columbia. 4. Briefly describe obstacles and how you intend to overcome them (~1/2 page) Communication with Myanmar, knowing who the right actors are and even who at Columbia is interested. But this is clearing 5. Briefly describe any need for change and how you will address these needed changes (~1/2 page) Only that it will be part of a broader university-wide effort with Myanamar which we read as a very good development. 6. Provide a revised account end date and rationale, if necessary:

I don’t remember what end date was but we do need until the end of CY 2014. 2

Building Capacity for assessing the Seismic Risks to Socio-economic Development in Myanmar Scope of the Project This clinic will build capacity in earthquake risk assessment and management in Myanmar. We will combine geophysical and socioeconomic analysis to inform a set of activities that will both improve earthquake monitoring and place earthquake risk reduction on the development policy agenda in Myanmar. While Myanmar lies in a tectonically very active region, the government has largely ignored earthquake risk. The authoritarian military regime isolated itself from the suffering caused by natural disasters. When Cyclone Nargis killed more than 140,000 people in May 2008 the government was scandalously slow to respond. Bureaucrats were even hesitant to inform the rulers of the cyclone’s severity because ‘You can’t give the Generals bad news.’ However now, with the rapid political and economic reforms in the country, there is an opening to address the urgency of earthquake risk reduction in Myanmar in the context of the rapid development that will take place there. The objectives of the clinic will be to a) help develop scientific understanding of seismicity in Myanmar and thereby highlight the high risk from earthquakes in the country, b) make earthquake risk reduction integral to emerging policies for economic development in Myanmar, and c) facilitate initial steps towards upgrading the country’s earthquake monitoring system. Our clients are policymakers, academics and civil society organizations in Myanmar who can work together to create effective Disaster Risk Reduction policy. We would add to that group US science and development experts who can interact with Myanmar colleagues and to form an expert network. The broader beneficiaries of the clinic will be communities in Myanmar whose lives and assets are at risk from natural disasters. We identified the urgent need for this clinic while researching the impact of corruption on socio-economic recovery in Myanmar following Cyclone Nargis under an Earth Institute CCI grant awarded in 2011. We spent two weeks in Myanmar in March 2012 and made connections with academics, local organizations and policymakers who are keen to partner with us in building capacity on earthquake risk assessment and management. Methodology 1) A Geophysical and Socio-economic Approach to Earthquake Risk: The Rationale The clinic will build expertise in earthquake risk assessment and management using a multidisciplinary approach that focuses on both geophysics and economics. This approach draws on our teaching and research on natural disasters. 1.1 Seismic Risk in Myanmar Myanmar lies in a tectonically active region that has experienced many large magnitude earthquakes i. Fifteen quakes exceeding magnitude 7.0 (the magnitude of the 2010 1

Haitian event) have occurred in the past 100 years, the largest of which in 1912 ii may have achieved 8.0. Records from as early as the 11th century can be interpreted to suggest that the country faces significant future earthquake risk iii. Myanmar is characterized by the densely populated central basin that is relatively aseismic with active regions to the west in the Indo-Burman Ranges and in the east associated with the Sagaing Fault iv that borders the Shan Plateau separating Myanmar from Thailand and China. This right-lateral strike-slip fault has produced the largest earthquakes in Myanmar, including the magnitude 8.0 event of 1912 and extends through almost the entire length of the country and into the Andaman Sea. v. The capital Yangon lies about 20 km west of the fault and the major city of Mandalay appears to lie exactly on the fault. The new administrative capital of Nay Pyi Taw also lies very near the fault. Monitoring of earthquake activity is extremely limited vi,vii. The Department of Meteorology and Hydrology (DMH) is responsible for earthquake monitoring and has established a very limited seismometer network of donated American, Japanese and Chinese instruments. There are fifteen various broad band and strong motion seismometers at eleven sites but Lin6 acknowledges that only the station at Yangon is presently operating. It is not clear how long any site operated or if data were preserved. This lack of monitoring means that a very limited understanding of earthquake risk is available that comes from evaluation of larger earthquakes at distant locations – teleseismic events. Observations of low magnitude but much more frequent earthquakes and the aftershocks of larger events are indispensible in assessing the rates of motions on active faults and in establishing the geography of risk in the region. With only larger earthquakes known from teleseismic recording made globally (available from the USGS viii) any assessment of risk is very crude. Even so it is possible to determine that the return period of earthquakes of magnitude 7.0 in the densely populated Yangon/Mandalay section of the Sagaing Fault is around 70 yearsiii. Hurawaka and Maung ix using relocated teleseismic data from 1918 to present identify a “seismic gap” in the central section of the fault that has potential for generating an earthquake close to magnitude 8.0 in the region of the new capital of Nay Pyi Daw. The Asian Disaster Preparedness Center (Bangkok) produced a report on the hazard profile of Myanmar in 2009 1 with crudely drawn seismic zonation maps, one done as a Masters project. 1.2 Earthquake Risk as a Challenge to Economic Development The clinic will also develop expertise in Myanmar on how socio-economic losses from large-magnitude earthquakes can negatively impact the country’s medium- term economic development. Emphasizing such potential losses at a time when economic growth and development is also a new policy concern in Myanmar is an useful strategy to ensure that key policymakers take earthquake risk seriously. During the past decades of military dictatorship Myanmar experienced economic stagnation. x. In recent months the government has undertaken several important



economic reforms, such as unifying the exchange rate, and economic growth is picking up modestly. The IMF Country Report (May 2012) estimates GDP growth to be 5.5 percent for the fiscal year 2011 -2012 xi. Trade and construction are two vibrant sectors of the economy. Both these activities are concentrated in the cities of Yangon and Mandalay, where earthquake risk is significant. Mandalay which lies on the Sagaing fault is the economic hub of the country and the destination of the large volume cross-border trade from China transported across the mountain ranges on the ‘Burma Road’. A large disaster striking this city that has no seismic building codes and minimal emergency services can have a catastrophic effect on lives and on the economy. Disasters in rapid urbanizing countries can be particularly costly as urban growth outstrips the capacity to regulate buildings xii. The 1999 Izmut earthquake in Turkey xiii and the Sichuan earthquake in China in 2008 may be typical. Limited available data on poverty show that poverty rates across Myanmar are very high xiv. In the country's poorest state, the Chin State, recently released government figures show that 75% of households live below the poverty line xv. The under-five child mortality rate in Myanmar is the second highest outside Africa (after Afghanistan). A European Commission report concluded that Myanmar is "severely off track to achieve any of the Millennium Development Goals by 2015� xvi. A large natural disaster will be hugely harmful to the poor, destroying their lives and livelihoods. We have already seen this with Cyclone Nargis. Four years after the cyclone, the survivors are yet to recover incomes and assets lost. One in two families now lives in worse housing conditions than they did before the cyclone. xvii . Currently, the Government of Myanmar is beginning to explicitly recognize reducing poverty and improving human development as development goals. A high-magnitude earthquake can destroy lives and livelihoods and significantly derail policy efforts aimed at poverty and welfare. Myanmar is also about to embark on a process of significantly increasing public investment in critical infrastructure required for development- bridges, hospitals, schools, roads. Historic first budget discussions are taking place in the new parliament on defining investment priorities. By boosting capacity in earthquake risk reduction this clinic can help ensure that risk reduction measures are considered seriously for these new infrastructural investments. 2) Proposed Activities of the Clinic This clinic will build capacity among local scientists, engineers and development policy makers in Myanmar to asses and manage earthquake risk. It will undertake the following activities.

2.1 Contribute to a technical expert workshop on seismic risk that is being planned in Myanmar for the end of 2012, or early 2013. Until now foreign experts have had considerable difficulty working in Myanmar while at the same time scientists from Myanmar have had very limited ability to interact with foreign experts. This workshop will be the first open meeting on seismic risk in which global experts will be asked to help guide Myanmar in its disaster planning. For the initial meeting Nano Seeber who has extensive global experience in earthquake risk assessment including recent work in nearby Bangladesh has agreed to participate together with the PIs. They will contribute 3

their experience to the building of local expertise among Myanmar scientists in seismic risk assessment and management. In preparation for the workshop we will prepare a background paper on Myanmar seismicity using available catalogues of teleseismically recorded events, satellite data and published materials. A student RA will prepare this assessment. The purpose is to determined seismic risk to the extent possible with existing information recorded outside Myanmar. We have allocated funds for use in Myanamar by local seismologists to participate in this effort. 2.2 Deraniyagala and Mutter will conduct a post-workshop short-course for local managers and policymakers based on their Disasters and Development courses (SDEV 3360 and 6260). The short-course will merge geophysical and socio-economic perspectives as we have done successfully in the Columbia courses and draw on relevant case studies. Several organizations and individuals in Myanmar who are involved in the technical workshop have requested us to conduct this course in order to build local capacity in disaster risk management. 2.3 Assist in evaluating and re-establishing the existing seismic instrument network. None of the instruments in their network are very unusual v and some could be returned to functionality while others may need to be replaced or re-located. We can train local staff in their maintenance and interact with them via internet or Skype when problems arise while they develop confidence in their own capacity. 2.4 Develop an on-going collaboration with scientists, economists and policymakers in Myanmar in the area of disaster risk reduction. The collaborators will be drawn from local non-governmental organizations, the Economics School at Yangon University, the Chamber of Commerce, the Ministry of Finance and the Ministry of Social Welfare. The objective is to develop capacity that can lead to effective policy actions directed at reducing earthquake risk. 2.5 At Columbia we will use this Clinic to develop a SIPA/EPD Workshop project that will focus on how earthquake risk could affect urban poverty in Mandalay. We will explore opportunities for participation by undergraduates in this program. The clinic’s initial activities will form the basis for developing a larger research/intervention project for which we will seek external funding (From the NSF, USAID or the Open Society Institute). Longer-term objectives include the establishment of an extensive monitoring network to create a permanent backbone of and observation system, the creation of a function within government that has the capacity to manage the network and utilize the data for risk assessment, and the establishment of a universitybased education system to train seismologists. Mutter has participated in the development of an Institute for Seismic Research in Gujarat following the 2001 Bhuj earthquake that had similar objectives. Funding for such an effort is well beyond the scope of the Earth Clinic. Fieldwork Site, Project Client and Partners. The focus area is the Sagiang fault and the major cities at risk that lie near or on the fault – Yangon, Nay Pyi Day, and Mandalay. 4

Our clients are the DMH, the Myanmar Earthquake Committee (, The Myanmar Geosciences Society, The Myanmar Engineering Society, Economics School Yangon University, Chamber of Commerce, ECODEV 2 (a civil society group). We met with all of them in Yangon in March and have subsequently discussed this clinic with them and they are extremely enthusiastic to collaborate. Supporting correspondence can be provided. Project Timeline We will begin in July 2012 by having graduate students research the seismic catalogues to establish what the teleseimically recorded earthquakes record that can tell us about the distribution of risks and to research the socio-economic status of places at risk from earthquakes. The project leaders plus Nano Seeber plan to go to Mynmarr in late Fall 2012 to attend the expert meeting and assess the upgrade needs of the instrument network. Names, Titles, Roles of Collaborators John C Mutter -Project Leader Sonali Deraniyagala – Project Leader Collaborators include – Nano Seeber – Lamont –Doherty Jim Gaherty – Lamont –Doherty Art Lerner-Lam – Lamont –Doherty Brian Tucker – Geohazards International. Tun Lwin, former Director-General, DMH; CEO, Myanmar Climate Change Watch. Soe Thura Tun, member of the Myanmar Geosciences Society, and the Myanmar Earthquake Committee, a task force formed of MGS and Myanmar Engineering Society. U Aye Lwin, Secretary General, Geo-science Society Myanmar Tim Htoo Naing Economics Department Yangon University Win Myo Thu, ECODEV Conflict of Interest Mutter is a member of the Earth Clinic Steering Committee Budget (all figures based on travel to and stay within Myanmar March 2012) International Travel to Myanmar from New York: 3 at $2000 per trip. $6,000 Internal travel within Myanmar, air fares and vehicle rental $1,000 Accommodation and subsistence in Myanamr $3,000 Student RA to research seismic catalogues $ 3,000 Support for Myanmar expert network development $ 2,000 Total $15,000 2

Economically progressive ecosystem development


Kundu , B and V.K. Gahalaut. Earthquake occurrence processes in the Indo-Burmese wedge and Sagaing fault region. Tectonophysics 524–525 (2012) 135–146, and references therein i

The Burma Earthquake of May 1912: J. Coggin Brown, Memoirs of the Geological Survey of India Volume XLII, Part I, 1917, page 1-147 [Only selected portion transcript] Gd4OjcxNzQxMmQ1ZDZhYTI5NzM ii

iii iv

Swe Tint Lwin.

Vigny, C, Anne Socquet, Claude Rangin, Nicolas Chamot-Rooke, Manuel Pubellier, Marie-Noe¨lle Bouin, Guillaume Bertrand, and M. Becker. Present-day crustal deformation around Sagaing fault, Myanmar. Journal of Geophysical Research, v 108, no B11, (2003 v

Vigny, C, Anne Socquet, Claude Rangin, Nicolas Chamot-Rooke, Manuel Pubellier, Marie-Noe¨lle Bouin, Guillaume Bertrand, and M. Becker. Present-day crustal deformation around Sagaing fault, Myanmar. Journal of Geophysical Research, v 108, no B11, (2003


Zaw, Min. Upgrading of seismic network and tsunami simulation for Myanmar region. Lin Kyaw Kyaw Seismic and Tsunami Activities in Myanmar vii

viii viii


Hurukawa, N, and Phyo Maung Maung. Two seismic gaps on the Sagaing Fault, Myanmar, derived from relocation of historical earthquakes since 1918. Geophysical Research Letters, Vol 38. 2011.


Sean Turnell (2009), Burma’s Economy 2008: Current Situation and Prospects for Reform, Burma Economic Watch/Economics Department Macquarie University, Sydney, Australia


Myanmar, IMF Country Report No 12, May 2012.

xii Kellenberg, D.K, and Mobarak, A.M. (2007) ‘Does rising income increase or decrease damage risk from natural disasters?’, J. Urban Econ., vol 63, no 3, pp788–802 xiii

Selcuk & Yeldan, On the macroeconomic impact of the August 1999 earthquake in Turkey: a first assessment, Applied Economics Letters, 2001, Ewing, Kruse & Ozdemir, Disaster Losses in the Developing World: Evidence from the August 1999 Earthquake in Turkey, Turkish Economic Association, 2004.


The World Bank does not publish poverty rates for Myanmar. The UNDP does not calculate a Human Development Index for the country. There is no information of inequality (Gini coefficient).



As yet unpublished figures we obtained during a research visit to Myanmar in March 2012.

The EC - Burma/Myanmar Strategy Paper 2007-2013. European Commission: Brussels. xvii

UNDP (2011) Post-Nargis Joint Assessment Report.


EC 2012 Progress Reports  
EC 2012 Progress Reports  

EC 2012 Progress Reports and Proposals