LBT (Labour Based Technology) Guidelines · 1 LBT applies a labour/equipment mix that gives...
Transcript of LBT (Labour Based Technology) Guidelines · 1 LBT applies a labour/equipment mix that gives...
EID
JR
12-096
LBT (Labour Based Technology) Guidelines
Economic Infrastructure Department,
Japan International Cooperation Agency
March 2012
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Table of Contents
Preface ........................................................................................................................................... 1
1. Basic Concepts ...................................................................................................................... 3
1.1 Background .................................................................................................................... 3
1.2 Objectives of the Guidelines .......................................................................................... 3
1.3 Definition ....................................................................................................................... 3
1.4 Basic Policy ................................................................................................................... 4
1.5 Target Users ................................................................................................................... 4
1.6 Target Projects ................................................................................................................ 4
1.7 Targeted Fields and Types of Works .............................................................................. 5
1.9 Structure and Content of LBT Guidelines ................................................................... 10
2. Planning LBT Projects (Component 1) ............................................................................... 13
2.1 Clarifying Preconditions .............................................................................................. 13
2.2 LBT Planning ............................................................................................................... 14
2.3 Check previous LBT Achievements and Capabilities of the Target Country ............... 14
2.4 Evaluation of LBT Applicability (Technical Potential, Social Effects, Financial
Viability) ................................................................................................................................. 16
2.5 Collection of Other Basic Information ......................................................................... 19
3. Consensus-Building for LBT Projects (Component 2) ........................................................ 21
3.1 Basic Perspectives on Consensus Building .................................................................. 21
3.2 Consensus Building at Each Phase of the Project ........................................................ 21
3.3 Points to Bear in Mind about Consensus Building ...................................................... 23
4. LBT Project Contracts and Procurement (Component 3) .................................................... 27
4.1 The Scope of LBT Project Contracts and Procurement ............................................... 27
4.2 Formulating the LBT Implementation System ............................................................ 27
4.3 Project Plan Development ............................................................................................ 31
4.4 Project Plan Approval .................................................................................................. 38
4.5 Work Design ................................................................................................................ 38
4.6 Preparing Work Contract Documents .......................................................................... 39
4.7 Work Contract .............................................................................................................. 44
5. LBT Construction Management (Component 4) ................................................................. 46
5.1 Construction Implementation System .......................................................................... 46
5.2 Labour Management .................................................................................................... 47
5.3 Health and Safety Management ................................................................................... 49
5.4 Quality Control ............................................................................................................ 50
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5.5 Other Matters Related to Construction Management ................................................... 50
6. LBT Project Evaluation (Component 5) .............................................................................. 52
6.1 Project Evaluation Timing ........................................................................................... 52
6.2 Pre-Construction Evaluation (Preparation Phase) ........................................................ 52
6.3 Construction Evaluation (Project Implementation Phase) ........................................... 53
6.4 Post-Construction Evaluation (Post-Construction Phase) ............................................ 53
7. Towards the Further Application of LBT ............................................................................ 55
References ................................................................................................................................... 56
Appendix: Materials .................................................................................................................... 57
Appendix 1: Implementation Status of LBT in Developing Countries Taken from Literature
Research .................................................................................................................................. 57
Appendix 2: Comparison of LBT Implementation Methods .................................................. 76
Appendix 3: A Sample of a Project Outline Sheet .................................................................. 79
Appendix 4: Example Maintenance Plan Format .................................................................... 80
Appendix 5: Contents of LBT-Related Manuals ..................................................................... 81
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Tables and Figures
Table 1.1. Japan’s ODA Project Structure and Potential for Introducing LBT ............................. 5
Table 1.2. Examples of LBT Effects Noted from Previous Studies .............................................. 7
Table 1.3. Effects of LBT Experienced by Stakeholders (For Road Works) ................................ 8
Table 2.1. LBT and EBT Characteristics .................................................................................... 13
Table 2.2. Information Checklist for Introducing LBT in Target Countries ............................... 15
Table 2.3. Points for Evaluating LBT Technical Potential.......................................................... 17
Table 2.4. Comprehensive Evaluation Points Relating to Social Effects of LBT ....................... 18
Table 4.1. LBT Implementation System Categories ................................................................... 27
Table 4.2. Roles of Various Players Involved in LBT Works ..................................................... 29
Table 4.3. Baseline Survey: Survey Item Examples ................................................................... 32
Table 4.4. Standard Alignment Conditions for Planned Roads .................................................. 33
Table 4.5. Standard Road Widths for Planned Roads ................................................................. 33
Table 4.6. Standard Structure of Road Gutters (Drainage Canals) ............................................. 34
Table 4.7. Types of Pavement Applied, According to a Planned Road’s Planning/Work
Conditions ........................................................................................................................... 34
Table 4.8. Major Types of LBT Works and Related Reference Literature.................................. 35
Table 4.9. LBT Project Planning Report Structure ..................................................................... 36
Table 4.10. Operation and Maintenance Plan Structure ............................................................. 36
Table 4.11. Task Rate Examples ................................................................................................. 39
Table 4.12. Types of Work Contracts .......................................................................................... 40
Table 4.13. Contract Methods in LBT Projects .......................................................................... 40
Table 4.14. Conditions Applied to LBT Work Contracts ............................................................ 42
Table 5.1. Wage Payment Methods ............................................................................................ 48
Table 5.2. Construction Management Reference Material and Sections .................................... 50
Figure 1.1. Basic Guideline Structure ......................................................................................... 10 Figure 1.2. Relationship between Project Workflow in the PDCA Cycle and the Guidelines .... 11 Figure 2.1. Process Flow for Evaluations and Decision-Making in Applying LBT to Target
Projects ............................................................................................................................... 14 Figure 2.2. Cost of LBT and EBT Road Maintenance Projects, Per 1 km ................................. 19 Figure 3.1. Forms of Consensus Required for Each Phase of an LBT Project ........................... 22 Figure 4.1. Agency Method “A” (Basic Type) Implementation System Diagram....................... 29 Figure 4.2. Agency Method “B” (Utilizing Local Consultants) Implementation System
Diagram .............................................................................................................................. 30
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Figure 5.1. Project Management Team Structure (In Cases Using Agency Method “B”) .......... 46 Figure 5.2. Project Supervision Team Structure ......................................................................... 47 Figure 5.3. Example of Work Team Structure (Work Organization) .......................................... 48
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ABBREVIATIONS and ACRONYMS
(As used in the main text.)
ATTI Appropriate Technology Training Institute
BQ Bill of Quantity
CDC Community Development Committee (Council)
DANIDA Danish International Development Agency
DBST Double Bituminous Surface Treatment
D/D Detailed Design
EBT Equipment Based Technology
EIA Environmental Impact Assessment
F/S Feasible Study
IEE Initial Environmental Examination
ILO International Labour Organization
JICA Japan International Cooperation Agency
JOCV Japan Overseas Cooperation Volunteers
LBT Labour Based Technology
LGTP Local Government Transport Program, Tanzania
NGO Non-Governmental Organization
NORAD Norwegian Agency for Development Cooperation
ODA Official Development Assistance
OJT On the Job Training
PP Pilot Project
SHM Stakeholder Meeting
SME Small and Medium-sized Enterprises
UN-HABITAT United Nations Human Settlements Programme
WB World Bank
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Preface
Labour intensive construction methodology using local labour has been adopted in various
regions in Japan since early times, as seen in the existence of terms such as michibushin (road
maintenance by the community), and it contributed to the creation of jobs in the post-war
period through “the make work road repair program” of relief measures for the unemployed.
Since the late 1960s, Labour Based Technology (LBT) has attracted attention as a technology
for infrastructure construction in developing countries, with research and pilot projects
conducted by the World Bank (WB). Research conducted up to the early 1970s led to the
recognition that many LBT projects were comparatively more advantageous than Equipment
Based Technology (EBT), both technologically and economically. Subsequently, LBT was
gradually introduced in developing countries, and many LBT technical manuals and
handbooks have been prepared by the International Labour Organization (ILO), other
international institutions and government agencies in order to summarize successful LBT
case studies.
Conventional researches have shown the conditions required for LBT to be feasible in the
case of developing countries that require infrastructure upgrading, have a pool of unemployed
labourers and a lack of foreign capital/investment for procuring construction equipment.
Therefore, major impacts of LBT highlight its effectiveness in infrastructure development
and job creation, and if these demands can be satisfied, it will contribute to poverty reduction.
On the other hand, Japan’s Medium Term Policy on Official Development Assistance (see
reference [i]) pursuant to the ODA Charter focuses on human security. As an approach to
assistance that brings about human security, the Japanese government focuses on the dignity
of people, and on assistance that is sure to reach the people, activating the local community,
to strengthen the skills of the local people and benefit people who are facing security threats.
LBT is a project implementation method that emphasizes the participation of community
development. Therefore, it can correspond to the Human Security perspective taken up in the
mid-term policy. In addition, it is particularly effective in re-establishing and promoting safe
communities in post-conflict countries. These LBT guidelines are compiled as an LBT
operational handbook for making use of previous experience through Japan International
Cooperation Agency (JICA) projects. Basically, these guidelines are targeted for JICA staff
and consultants who participate in planning, supervising and managing LBT projects on-site.
To develop these guidelines, in December 2009, JICA’s Economic Infrastructure
Department requested the participation of Associate Professor Shinya Hanaoka, the Graduate
School of Science and Engineering, Tokyo Institute of Technology, and Associate Professor
Hironori Kato, the Graduate School of Civil Engineering, University of Tokyo, as advisors of
worhshop committee. This workshop committee also included Eight-Japan Engineering
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Consultants, Inc. (EJEC) and the Infrastructure Development Institute-Japan (IDI), to conduct
a study into the effective application of LBT for JICA projects. These guidelines are based on
an analysis of the existing literature and discussions that were included in the committee’s
four meetings.
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1. Basic Concepts
1.1 Background
Today in developing countries, such as those in many regions of Africa, Labour Based
Technology (LBT) is the focus of attention as an infrastructure construction method used in
community development. LBT is a community-participation project implementation method
used in areas featuring underdeveloped infrastructure. It is considered to be an effective
method, particularly in bringing recovery and stability to post-conflict countries.
JICA has implemented many community-development projects through community
participation, and some have made use of LBT methods. However, LBT projects have not
been systematically analysed in terms of the feasibility of their project objectives, expected
outcomes and implementation methods. Therefore, to introduce LBT projects effectively,
there is a need to analyse and coordinate a standard process for applying and implementing
LBT in future projects.
In line with the recent increase in community-development projects in post-conflict
countries such as Afghanistan, an empirical examination is required with regard to suitable
means of introducing LBT methods that contribute to both infrastructure development and
local community development.
1.2 Objectives of the Guidelines
With the final goal being to outline LBT implementation methods and matters that require
attention in operating LBT projects for making a contribution to infrastructure development
in post-conflict countries, the guidelines set forth: (1) a standard project process; (2)
implementation and contract systems; and (3) appropriate means of consensus-building.
1.3 Definition
Definitions of the words used in these guidelines are provided in the section below.
LBT, according to the definition provided by the International Labour Organization (ILO),
is method of construction work where the main power source is human labourers. Light
equipment such as agricultural tractors is also used to enhance labour productivity.1
As used in these guidelines, the term LBT assumes the commonly used definition
described above with the addition of the concept of community participation as a
characteristic. In other words, LBT is defined as a labour based construction method
that maximizes labour input with the use of light equipment, and also features the
1 LBT applies a labour/equipment mix that gives priority to labour, but supplements it with light equipment wherever
necessary to boost work quality or mitigate cost (see reference [1]). Some terms similar to LBT are “labour intensive works”, “labour based works”, “labour based appropriate technology”, and “labour based methods”. However, these terms are not strictly differentiated and are more likely to be used with similar implications.
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participation of the local community.
Further to section 1.2 above, these LBT guidelines define guiding principles and basic
policies with regard to the application of LBT in projects and technical cooperation
carried out by JICA.
Consensus building is a system for reaching agreement among related government
institutions and members of the community of interest, in determining the particulars of
project plans and their implementation.
A post-conflict country is a country in which conflict and armed confrontation still exist
internally or with another country, or a country where such kinds of conflict have ended
recently, and thus the country is still affected by conflict, often in terms of social,
economic, or cultural confusion.2
Community development can be described as process of handling various issues related
to economic and social development in developing countries, often at the level of a
specific area or district and its community (e.g., an organization of local people, such as
a village or settlement), and carrying out development projects.
1.4 Basic Policy
Many technology manuals and studies have been released by the ILO and other
international organizations. These guidelines refer to these technology manuals and studies,
in order to summarize the methods they use and to identify points that need to be considered
when applying LBT in JICA projects.
1.5 Target Users
The target users of these guidelines are JICA staff members who plan and manage LBT
projects designed by JICA, experts participating in technical cooperation and consultants in
charge of project supervision/management.
1.6 Target Projects
Japan’s ODA project structure and potential projects for applying LBT are listed in Table
1.1.
2The four post-conflict countries cited as case studies in these guidelines are Afghanistan, Timor-Leste, Sierra Leone and Uganda (i.e., northern districts such as Acholi).
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Table 1.1. Japan’s ODA Project Structure and Potential for Introducing LBT
Technical Cooperation
Pilot projects (PPs) carried out in Master Plan/Feasibility Study type technical cooperation that focus on emergency reconstruction studies are targeted subjects for these guidelines.
Of the technical cooperation projects, PPs carried out as a part of technical type cooperation are targeted as guideline subjects.
Grant Aid
For construction in which equipment and materials are procured locally, or where constructors employ local contractors or labourers (including labourers hired indirectly), these guidelines can be applied to building consensus among local people and to outline points relating to employment.
Loan Assistance
The loan-financed projects that comprise the majority of construction projects are not covered by these guidelines. However, these guidelines can be applied to local consensus building and to outline points relating to employment.
When providing sector loans through local governments (e.g., two-step loans), these guidelines can be applied, in that community involvement becomes a significant factor in consensus building and construction.
With Table 1.1 in mind, the model projects in these guidelines are essentially those carried
out as pilot projects and which feature technical cooperation.
1.7 Targeted Fields and Types of Works
According to the study conducted to develop these guidelines, the targeted types of works
in which LBT has been applied previously can be grouped into nine categories: gravel roads,
soft-ground stabilization, small-scale bridges, bank protection, agricultural facilities, road
surfacing works, urban streets/sidewalks, water supply and drainage/sewage. The majority of
LBT targeted projects are categorized into road rehabilitation and maintenance works
(particularly rural roads, and especially feeder or community access roads). Some documents
define LBT as being community-level access road works, as cited in the paper “Effectiveness
of LBT as a Road Construction Methodology in Developing Countries” (see reference [ii]).
With regard to specific fields addressed in these guidelines, the LBT project process is
organized mainly with a focus on regional road works. LBT projects in other areas share
many characteristics of project implementation and contract formation with regional road
works and the lessons learned and expertise gained in these areas are also reflected in these
guidelines.
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Column 1. International LBT Conferences Organized by the ILO
To promote LBT, the ILO holds an international conference, “The ILO Regional Seminar for
Labour-Based Practitioners”, every other year in Africa. The conferences are structured as meetings
where participants from all around the world report the status of their LBT projects. The 14th Conference, in
2011, was held September 5th to 9th in Accra, the capital city of Ghana, and was attended by 360
participants from 29 countries. Its theme was “Public Works for Decent Jobs and Poverty Reduction:
Policies and Practices”. Participants actively discussed measures for poverty reduction through
infrastructure improvement and the maintenance of rural roads, and there were also opportunities for field
observation.
Meeting Field observation trip
Presentations covered a wide range of social issues. The topics included LBT for poverty reduction,
measures for infrastructure improvement, the introduction of appropriate technology and engineering
methods (e.g., simple pavement, “Do-nou” technology” utilizing soil bag engineering and so on), project
impact assessments and crosscutting issues such as gender and environmental concerns. The
conference not only serves as an event but also provides opportunities for practitioners (including the
private sector and governing officials responsible for decision-making) facing similar issues with rural road
works to meet and exchange views. Additionally, the conference plays as a role as a mechanism for
standardizing technologies by allowing insights into stakeholders’ LBT-related common ground. The 2011
conference included the following two JICA-related presentations: (1) Impact Assessment of LBT
Participation on Local People in Tanzania; and (2) Spot Improvement with “Do-nou” Technology using Soil
Bags.
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1.8 Project Outcomes in Focus
According to the LBT study, the objectives of LBT projects are categorized into four
distinct areas: (1) infrastructure development (such as public access improvements); (2)
economic development (helping to lower costs, reduce poverty and activate the local
economy); (3) technology transfer (training engineers for national and local governments and
in small and medium-sized enterprises [SMEs]); and (4) community development
(improving governance skills and encouraging community ownership).
Examples of outcomes related to these objectives are provided in Table 1.2. Note that the
last two lower objectives are characteristic effects of only LBT.
Table 1.2. Examples of LBT Effects Noted from Previous Studies
Objective Examples of effects Infrastructure Development
Enables smooth traffic. Improves access to markets.
Economic Development Effects on the local economy. Increased business in roadside shops after completion of road construction. Stable supply of agricultural products and improvements in wholesale purchase prices.
Technology Transfer Improved supervisory and construction capacity of central and local governments and small-scale contractors. Acquisition of construction technology and skills by local people participating in the works.
Community Development Creates jobs. Supports women’s social participation. Promotes settlement along roads and streets Upgrades the community with ownership and maintenance skills related to road management. Formation of cooperation awareness, recovery of confidence and consensus building.
Sources: [4], [7], and field surveys conducted for the development of the guidelines.
LBT is an infrastructure development method in which the greatest focus is on directly
and positively affecting infrastructure development itself. The direct outcome of LBT on road
development projects would be smooth traffic and improved access to markets. Indirect
outcomes would include the realization of economic benefits at the local level. Effects of
road construction are seen in improved product sales in shops along the road and in a stable
supply of agricultural products.
Furthermore, improvements in the operation and management capability of central and
local governments and small-scale contractors lead to economic development, technology
transfer, human resources development, job creation, settlement alongside the road and
improvements in ownership, all of which can be collectively termed a “community
development effect”, which is another important outcome of LBT.
Another related effect based on an LBT project is the activity arising through the
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application of LBT as a national infrastructure development policy. In this manner, LBT also
has a significant impact on improving policy planning and on the project supervision skills of
the individuals involved.
The characteristic effects of LBT are twofold: technology transfer and community
development. Technology transfer effects in community training and participation are not
seen in EBT, but are characteristic of LBT. The levels and features of LBT outcomes
experienced by different stakeholders are summarized in Table 1.3.
Table 1.3. Effects of LBT Experienced by Stakeholders (For Road Works)
Implementing
Agency
Contractor Community Country
Effects characteristic of LBT
・Acquisition of basic skills by small contractors (+)
・Upgrading of ownership (+)
・Technology acquisition (+)
・Gender effect (+)
・Savings in foreign currency expenditures (+) ・Delay of work
period (–) Effects not characteristic of LBT but comparatively larger than EBT
・Project cost reduction (+)
・Familiarization with procedures for consensus building for projects (+)
・Improved work supervision skills (+)
・Increased work opportunities for small contractors (+)
・Decreased work opportunities for large scale companies (–)
・Job creation for community people (+)
・Effective use of local resources (+)
・Smaller environmental load (+)
・Improved policy-making capability (+)
Effects not characteristic of LBT, and smaller than or equivalent to EBT
・Reduced transportation time (+)
・Ensured safety (+)
・Access improvement (+)
Source: Partial edition of [2].
The guidelines mainly target community development initiatives that exhibit LBT effects,
as well as projects with the objective of transferring technology to communities participating
in the project.
Organization Level and features of effect
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Column 2. History and Stages of Participatory Development
Development theory in the 1950s and 1960s was a top-down modernization approach, based on the
concept that achieving economic growth would contribute to the overall development of a country. In the
1970s, people began to see the importance of social fairness and quality of life, and thus more attention
came to be paid to who benefits from what kind of development. It was understood that communities
should be more actively involved in the planning and implementation of development projects, which led to
public participation in development. In the 1980s, participation was also regarded as one of the
foundations of poverty reduction and improvement measures. From the late 1980s through the 1990s, the
process of empowerment caught the public’s attention and the concept of participatory development
entered the mainstream among international organizations.
There are said to be seven stages of public participation in projects. Stage 1 involves passive
participation, where the public joins a project only to receive reports. Stage 2 involves participation where
the public gives information, and community members provide responses for surveys although they have
no requirements in or access to the project implementation process. Stage 3 involves consultative
participation, where community members talk with outside specialists about their opinions. Stage 4
involves participation motivated by profit, in which community members provide their labour in order to
earn material profits, but their participation is not sustainable, as they tend to terminate their work when
they lose their motivation. Stage 5 involves functional participation, where community members take part
in a project implementation process after finalization of a master plan has been made. Stage 6 involves
mutual/interactive participation, where community members make concrete decisions on project
implementation and are engaged in project management. Stage 7 involves autonomous/leading
participation, in which community members are independent of outside resources and manage only their
own initiatives. In recent years, as community participation has become a common characteristic of
projects, community participation at higher stages is increasingly required in project implementation.
Source: “A Consideration of Participatory Human Settlement Development in Asia: A Case Study of
the Activities of United Nations–HABITAT”, Yoriyasu Noda, Director-in-General, UN–HABITAT Regional
Office for Asia and the Pacific–Fukuoka Region.
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1.9 Structure and Content of LBT Guidelines
These guidelines are structured according to project stages within the five components
described below. The consensus building described in Component 2 (Chapter 3) relates to all
project stages but it is summarized as a single component for ease of reference.
Figure 1.1. Basic Structure of the Guidelines
Component 1(Chapter 2)
Planning
LBT Projects
Component 2(Chapter 3)
Consensus Building for
LBT Projects
Component 5(Chapter 6)
Evaluation of
LBT Projects
Component 4(Chapter 5)
Supervision of
LBT Projects
5.1 Construction Implementation System 5.2 Labour Management 5.3 Health and Safety Management 5.4 Quality Control 5.5 Other Matters Related to Construction Management 6.1 Project Evaluation Timing
6.2 Pre-Construction Evaluation
(Preparation Phase)
6.3 Construction Evaluation
(Project Implementation Phase)
6.4 Post-Construction Evaluation (Post-Construction
Phase)
Component 3(Chapter 4)
Contract and
Procurement
for
LBT Projects
4.1 The Scope of LBT Project Contracts and Procurement
4.2 Deciding on the LBT Implementation System
4.3 Project Plan Creation 4.4 Project Plan Approval 4.5 Work Design 4.6 Creating Work Contract Documents 4.7 Works Contract
2.1 Clarifying Preconditions
2.2 LBT Planning
2.3 Check LBT Achievements and Abilities of
the Target Country
2.4 Evaluation of LBT Applicability
2.5 Collection of Other Basic Information
3.1 Basic Perspectives
on Consensus
Building
3.2 Consensus Building at
Each Phase of the
Project
3.3 Points to Remember
about Consensus
Building
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There are various kinds of workflow employed with LBT projects from planning to
implementation. This variation is due to the national policy of the country where the project
is implemented, geographic and environmental features, and the community of labourers
involved. However, some standards for the flow of LBT projects from planning to
implementation can be set out. They can be organized and managed in line with the major
project concept of the Plan-Do-Check-Act (PDCA) cycle. Figure 1.2 shows the relationship
between project flow in the PDCA cycle and these guidelines.
Figure 1.2. Relationship between Project Workflow in the PDCA Cycle and the Guidelines
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Column 3. Cooperation in Community Maintenance Work
Since the 1980s, the northern area of Uganda had been overcome by a severe conflict with the Lord’s
Resistance Army (LRA), an anti-government organization. Following the restoration process in 2006, the
return and resettlement of internally displaced residents and the reconstruction of the region has been
under way, to make possible the Peace, Recovery, and Development Plan (PRDP) established in October
2007, and the District Development Plan (DDP) for the northern area.
Meanwhile, the Ugandan government has called for a Community Access Roads (CARs) policy
whereby local people themselves take responsibility for grass cutting and cleaning the side ditches of
community access roads to hospitals and schools, as well as minor repairs of the roads for maintenance
works. These roads are thus maintained and repaired by community initiatives in the northern region, with
the local council chairperson (the head of a ward comprising approximately 500 people) at the helm. The
work requires unanimous participation in principle, and the people themselves have set up a system to
penalize those who do not participate in the works, by making them pay in crops. In reality, however, the
lack of knowledge and experience among the community in road maintenance works combined with the
damage of work tools have kept the work from making as much progress as had been initially projected.
In order to enhance community maintenance capabilities, JICA launched pilot projects as part of the
Project for Rural Road Network Development in the Acholi sub-region of northern Uganda. Through this
LBT road project, in 2011 community members completed 6 km of routine maintenance and 13 km of
periodic maintenance. Because the work was carried out before the Christmas period, community
members looked forward to earning a proper wage that they could spend on clothes or food. The
chairpersons played crucial roles in the pilot project work, as coordinators of working conditions and as
task leaders. It is anticipated that periodic maintenance will be continued in the future, under the
leadership of the chairperson and using work tools donated to the sub-counties (e.g., shovels, hoes,
hand-rammers, and so on).
Community members being briefed on pilot project work; scenes from road maintenance work.
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2. Planning LBT Projects (Component 1)
2.1 Clarifying Preconditions
As a prerequisite to LBT project planning, the two points outlined below must be clarified.
(1) Project Objectives
These guidelines apply to LBT projects carried out as part of community participation
community development projects. Therefore, in a case of planning an LBT project, it is
essential to confirm that the project objective aligns with the purpose of the guidelines.
(2) Application of works (LBT or EBT)
LBT or EBT works can be applied for infrastructure development. To select LBT or EBT,
an understanding of the characteristics of both works is required. Table 2.1 lists the
fundamental characteristics of LBT and EBT, and these should be considered during the
decision-making process. A further evaluation of the applicability of LBT to a targeted
project is described in section 2.2.
Table 2.1. LBT and EBT Characteristics
LBT EBT
Technical
Potential
・Small-scale works, such as feeder roads in
farming villages, and living environment
improvements in urban slums.
・Abundant labour required.
・Work schedule not strictly required to be
completed within a designed period.
・Works do not necessarily require a high
quality standard.
・Useful with difficult project sites, requiring
high technology such as stabilizing soft
ground areas, and large-scale public works.
・Used when it is difficult to procure labour or
when labour cost is high.
・Work schedule needs to be completed within a
designed period (ensuring efficiency).
・Work needs to be high-quality (ensuring
quality).
Social
Effects
・Projects aiming for socioeconomic
development through the construction,
maintenance and repair of facilities
(activating community through poverty
reduction, job creation, training local
contractors and generating cash income).
・Projects aiming for socioeconomic effects
(benefits) from the provided facility or roads.
Financial
Feasibility
Useful when a project budget is limited and
application of EBT is difficult (maximized
use of labour).
Used when the project budget is sufficient for
EBT (efficiency with machinery application).
Sources: based on [4] and [10].
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2.2 LBT Planning
The process flow for evaluations and decision-making in applying LBT is shown in Figure
2.1. The contents of each stage are described starting in section 2.3.
Figure 2.1. Process Flow for Evaluations and Decision-Making in Applying LBT to Target Projects
2.3 Check previous LBT Achievements and Capabilities of the Target Country
The first step in developing plans for LBT projects is to collect information regarding the
target country’s previous achievements and its capability to implement LBT. Such
information makes it possible to determine whether the target country has a sufficient
understanding of LBT and the capability to implement it. The literature (Appendix 1) shows
the status of applications of LBT in developing countries as reviewed from existing
documents.
Document reviews provide important information for baseline research used in detailed
LBT project contract and procurement planning and design (Component 3). Table 2.2
summarizes the points to verify in determining a target country’s achievements and its
capability to implement LBT projects. Not surprisingly, many developing countries,
2.3 Check previous LBT projects and capabilities of the
target country
(1) Policy of LBT
(2) LBT achievements
(3) Capability to implement LBT
2.4 Evaluation of LBT applicability
(1) Technical potential (evaluation of related items)
Do
no
t app
ly LB
T
2.4 Evaluation of LBT applicability
(3) Financial viability (comparison of costs for LBT and
EBT)
Apply LBT
2.4 Evaluation of LBT applicability
(2) Social effects (comprehensive evaluation)
Step to collect information and
confirm capability
Check the LBT
achievements and work
capabilities of the target
country.
Step to evaluate applicability
Evaluate and judge
applicability of LBT to the
target project.
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particularly post-conflict countries, have insufficient legal frameworks and lack financial
resources to carry out new projects. For this reason, the review process is undertaken for the
verification of project priorities before carrying out new projects. Information concerning a
target community is an important factor in project feasibility decision-making. Detailed
analyses are also required in evaluating the applicability of LBT (i.e., social development
effects).
Table 2.2. Information Checklist for Introducing LBT in Target Countries
Perspective Check items Points to be checked Methods for evaluating information
and determining the project
(1) Political positioning of LBT, etc.
Nationwide infrastructure master plan, existing related program
Is the application of LBT clearly recognized in upper-level planning, such as in a nationwide infrastructure master plan or construction industry promotion policies?
It is easier to move forward with a project when LBT is positioned in government policy. If it is not, there is a need to obtain approval from the road administrator prior to construction.
Road administration
Which agency has jurisdiction over administration of the target road?
Design and work must be in compliance with the road standards for the targeted construction project.
Budgeting Is the budget for the target road construction project provided by the national or local government?
Is the budget for construction and maintenance of regional and community roads endorsed?
Understanding by government
Does the road administrator understand LBT?
If the government does not sufficiently understand LBT, there is a need to provide information or training to remedy this.
Training institutes and facilities
Status of training institutes and facilities for LBT technology transfer.
If there are no training institutes, international agencies, such as the ILO, or consultants and NGO support is required to provide LBT training.
Licensing system Status of licensing system for LBT skill recognition.
If there is such a system, a pool of high-quality LBT contractors can be ensured. If there is not, LBT contractor quality cannot be secured, and there may be wide differences in the skill sets of the operators.
(2) LBT achievements
LBT project achievements (previous and current)
Target country’s LBT achievements, and process flow and methods employed by development partners or technical assistance institutions.
Countries with more achievements tend to possess higher-level skills. When a country has few achievements, LBT contractors most likely have lower-level skills, which indicates the need for further training.
(3) Capability to implement LBT
Status of LBT contractors
Status of LBT project contractors: are they large-scale or small-scale contractors?
Project procurement is easier with large-scale contractors but tends to be costly. Small-scale contractors are not used to the work of
16
2.4 Evaluation of LBT Applicability (Technical Potential, Social Effects, Financial Viability)
Following from the review of a target country’s achievements and its capability to
implement LBT projects, as set out in section 2.2, an evaluation is made regarding the
applicability of LBT in the region.3 The evaluation of LBT applicability is made from three
perspectives: (1) technical potential, (2) social development effects, and (3) financial viability.
Let us look at each of these in detail.
(1) Technical Potential (Evaluation of Related Items)
The technical points that need to be evaluated relate to conditions that must be met, which
are outlined in Table 2.3.
3 “Applicability” refers to the meaning and effectiveness of the project; it is determined by comparing the effects and risks of the project. For example, the merits and demerits of a project are considered, and if the positive impact outweighs the negative impact, the meaning and effectiveness of the project are recognized.
contracting documentation and will spend time on it, but the costs would be lower than those of large-scale contractors.
LBT technology training group
Status of international institutions and NGOs that provide LBT road construction technology.
If there are technical training organizations, technical cooperation can be obtained for construction works. If there are not, there is the possibility that such cooperation would need to be procured from other countries or regions.
Light Equipment Possibility of procuring light equipment used in LBT projects (rental companies, or the possibility of rental from large-scale contractors).
If machinery is available, work will be easier. If it is not available, machinery must be procured from other countries or regions.
17
Table 2.3. Points for Evaluating LBT Technical Potential
Evaluation points Evaluation methods
Climate ・For LBT works, the climate must allow for days of work over an
extended period (i.e., temperatures lower than 35°C are
preferable). The cooler the climate, the greater the work efficiency.
Precipitation ・For gravel work, annual precipitation should not be too high
(approximately 1,500 mm per year). If annual precipitation is
higher, the project should be planned with sufficient consideration
given to maintenance works after project completion.
Soil conditions, large-scale
construction works/structures
・Large-scale earth works, such as those for which EBT is employed,
should not be required. Large-scale structures/bridges should not
be included in the site, although LBT can be applied to small-scale
structures, such as culvert or drift works.
Terrain ・The road gradient should not be steep, and it should be easy for
manual labour to handle. The slope gradient should be less than
8%.
Traffic volume ・For gravel works, the traffic volume should be 50 or fewer cars per
day (CPU).4 If the traffic volume is higher, roads will incur
significant damage.
Project period ・There should be sufficient time allowed for project. If the project
period is strictly constrained, EBT may be preferable for keeping
efficiency.
Technology ・ Is there a contractor familiar with LBT or a local consultant with
the capability to provide LBT training in the area of the project
site? If such a company is nearby, the work can be performed
comparatively easily. In the absence of such a company, this
expertise would need to be procured in from other resources.
Labour ・ There should be sufficient labour available in the area. There
should be at least 20 labourers, but the total number would depend
on the type/scale of project. If the numbers are insufficient,
labourers must be brought in from outside, which is not desirable
from the perspective of community development.
Sources: [4], [7], [8] and field surveys conducted for the development of the guidelines. (2) Social Development Effects (Comprehensive Evaluation)
The points to be evaluated with regard to social development effects are presented in Table
2.4. The social effects of a construction project that contribute to community development
should be considered, and a final judgement should be made from a comprehensive
perspective.
As outlined in Table 2.4, expansions in beneficial farmland, increases in potential business,
increases in various social services (education facilities such as schools, medical facilities and
access to markets, etc.) due to improved access are excluded from the points related to the
social development effect of general road traffic projects. Details on these points are provided
in reference [4], inter alia.
4 The relationship between traffic volume and road specifications in terms of the type of pavement is described in Component
3 (LBT Project Contracts and Procurement).
18
Table 2.4. Comprehensive Evaluation Points Relating to Social Effects of LBT
Evaluation points Evaluation methods
Formation of community
consciousness
・Does it benefit community awareness among community
members?
Community members
(Risk checkpoints)
・Are there any obstacles that would cause conflict among
community members?
・Will project implementation trigger conflict among communities?
Encouraging ownership ・Are there previous projects in which expense responsibility was
shared by the community? If not, does the community have a
background that would allow it to accept such responsibility?
Technology transfer ・Will the participating community members acquire technology and
skills that will lead to an increase in job opportunities?
Improved community and residential
environment
・Will improved access lead to a better community and residential
environment?
Summarized based on reference [4].
(3) Financial Viability (Comparison of Costs for LBT and EBT)
A point to be evaluated in terms of financial viability is the relative valuation in
comparison to EBT. When facilities are rehabilitated as JICA projects, the financial effect
needs to be evaluated. On the other hand, roads to be rehabilitated via LBT are often located
in under-developed areas, making it difficult to estimate Cost–Benefit (B/C) performance.
Otherwise, there is a possibility that the value of the LBT effect ratings would be below the
standard index (1.0) using conventional evaluation approaches. Therefore, when LBT
projects are to be implemented, cost-effectiveness needs to be considered from a variety of
perspectives with respect to their benefits.
Although the financial effect of a project may not be high, in areas where construction
equipment cannot be obtained or the procurement of construction materials is difficult or
costly, LBT may be recognized as a more preferable alternative to EBT. In other words, cost
reduction effects compared with EBT can be identified as financially viability for LBT
potential.
The guidelines target items specific to the impact of LBT, and so items that help to
determine the financial viability of road traffic projects—such as reduced mileage, road
maintenance costs, traffic accidents and local economic effects—are excluded from Table 2.4.
Details are found in reference [4], inter alia.
As an example of a cost comparison, the project costs associated with 1 km of
rehabilitation works performed by means of LBT or EBT are shown in Figure 2.2. LBT
shows a 20% lower cost than EBT, and while labour accounts for only 7% of the EBT total, it
is over 60% for LBT.
19
Figure 2.2. Cost of LBT and EBT Road Maintenance Projects, Per 1 km
Source: reference [v].
2.5 Collection of Other Basic Information
Additional information regarding employment issues is useful for reference in planning
LBT projects.
Minimum age of labourers, as stipulated by law.
Measures and systems related to the promotion of youth employment.
Traditions/customs (religious restrictions, etc.), policies and undertakings related to
women in the labour force.
(80%)11,320
(31%)3,836
(7%)1,040
(57%)7,142
(13%)1,786
(12%)1,428
0 2,000 4,000 6,000 8,000 10,000 12,000 14,000 16,000
Equipment Base
Labour Base
(Thousand Tshs/km)
Cost Comparison(1km,Rehabilitation)
Eqipment Labour Matr.Others
20
Column 4. Traditional Community Engagement in Infrastructure Improvement: Ashar
In Afghanistan, there is a traditional custom within local groups of volunteering for works to improve
infrastructure (ashar). Community infrastructure facilities such as rural roads, irrigation, waterways and so
on have been maintained through the utilization of LBT in the concept of self-help and by making the most
of local resources. In the 1980s, before the region was ravaged by war, there used to be a system in
which the government (Village Development Bureau) would make plans to keep in close contact with
villagers and support communities by providing technology and materials under this traditional custom. For
their part, the villagers would undertake the maintenance of local infrastructure by recruiting volunteers,
providing local materials and making arrangements with regard to the distribution of food or cash to the
works.
There were three forms of employment in this arrangement: actual volunteers, who were not paid;
those who received food for work (i.e., provision of food in exchange for labour); and those who received
payment of a small amount of cash (up to 20% of normal market value for their labour) in addition to food.
In any case, the labour compensation was always far lower than commercial labour wages, and the
system essentially functioned on a volunteer basis. The motivation behind ashar-based road maintenance
was the economic gain made possible by the fact that their villages were connected to a nationwide
network of roads. It was the farmers who worked on these roads, and they were well aware of the
transaction cost from their farms, the price at the town market, the price in the capital city of the province
and the price on the national market. They were also well aware of the fact that transportation fees,
brokerage costs, and margins accounted for the low retailing price of their farm produce.
In addition, when two or more villages were involved in the works, those involved in ashar had a
system of determining the burden-sharing ratio depending on the scale of merit to be gained based on the
location of the road, or on its maintenance works. When a bridge was being built across a river, for
example, the villagers who were not able to work in their village, because of it being a far distance from the
bridge-building site, would participate by offering food or cash to those who lived closer to the river and
were therefore able to volunteer. When there were differences in the degree of incentives among the
villages, they sometimes applied all three of the aforementioned types of labour compensation to a single
project.
Source: “Employment-Intensive Infrastructure Programmes: Labour Policies and Practices” (ILO).
21
3. Consensus-Building for LBT Projects (Component 2)
3.1 Basic Perspectives on Consensus Building
In order to have an accurate understanding of consensus building for LBT projects, the
four points described in this section need to be fully recognized.
a) Individuality of Consensus Building
The approach employed for consensus building should be determined on a case-by-case
basis. Because there is not a specific approach, it is not possible to establish a manual for this
task. One must have a full understanding of all the issues at hand when considering
consensus-building activities in order to select the best option for the given situation.
b) Importance of Setting an Agenda
The most important step in consensus building is setting an agenda, which is a framework
for determining what actions need to be taken, the timing of these actions and the targeted
stakeholders. A decision on the order of procedures best suited to the situation is also
required.
c) Consensus Building for LBT
A significant feature of LBT is the participation of the local community in the construction
of community property. For this reason, community members are involved in the project
from two separate standpoints: as recipients of the benefit of facility construction, and as
labourers involved in the construction. This feature therefore requires a more thorough form
of consensus building compared to other community development projects.
3.2 Consensus Building at Each Phase of the Project
In carrying out the project, community consensus must be required for each phase of the
project, beginning at the planning stage. The consensus action required for each phase is
noted in Figure 3.1.
The community is voluntarily involved in the project from beginning to end, with a
community committee to represent it. A community group established as a liaison with those
responsible for carrying out the project (called a Community Development Committee, or
CDC) will have meetings that serve as a forum for the exchange of opinions. The activities of
those groups will thus be characteristic of LBT consensus building.
The period of time required for each phase will depend on the levels of regional tension
and community stability and so a longer time may need to be allotted for consensus building
depending on the features of the targeted country or region. The schedule must be carefully
adjusted in accordance with on-going consensus building, to prevent friction among
stakeholders.
22
Figure 3.1. Consensus Building Actions Required for Each Phase of an LBT Project
(Underlined sections: consensus-building actions specific to LBT.)
Sources: [4], [7], [8], [13] and field surveys conducted for the development of the guidelines.
Planning Stage
Promote Community
Participation
Project Selection and
Planning
Start Project
Project Phase Consensus-Building (Actions)
• Advance explanation to senior members or leaders of the community (focus group meeting)
• Explanations to the entire community at stakeholder meetings (SHMs)
• Collect data to measure impact of the project (baseline study)
• Approval from related government agencies (kickoff meeting with government agencies)
• Select NGO in charge of consensus building (project notice, bidding and drawing up contract)
• NGO and field staff training (hiring, training and on-the-job training)
• Explain project objectives and environmental considerations to the community (SHMs)
• Develop and prioritize a project candidate list with community participation Feasible Study (F/S)
• Approval of project implementation plan (including establishing CDC)
• Decide on community liaison and CDC representative
Project Preparation
Project Execution
Completion, Hand-over
Implementation Stage
Project Phase
• Explain project implementation approach to interested parties (community committee)
• Discuss project implementation approach with those carrying out the project (CDC Operating Committee)
• Agree on roles of community and those carrying out the project (government agencies, CDC Operating
Committee)
• Select and train project participants from the community (CDC Operating Committee)
• Agree on project plans, procedures, participants and community responsibility (CDC Operating Committee)
Consensus Building (Actions)
• Orientation for community labourers participating in the project (classroom training)
• Practical training for community labourers (on-site training)
• Regular reporting of the project status to the community (project progress reporting session)
• Approval for project completion (final inspection, issuance of project completion document)
• Handover of project (handover of facility, project completion reporting session)
• Check and evaluate results (monitoring, and submit evaluation report)
23
Column 5. Consensus Building in Three Steps
In Afghanistan, the process of consensus building in implementing a project can be divided into three
steps: (1) election of a community representative by voting; (2) selection of plans and projects; and (3)
work implementation. Consensus must be reached for each step: consensus in Step 1 is a prerequisite for
Step 2, and that in Step 2 is a prerequisite for Step 3. In this country, where the government has been
rendered malfunctioning by a long period of warfare, attempts are being made to establish new
community development support organizations on a national scale, such as the National Solidarity
Program (NSP) and the Kabul Solidarity Program (KSP), by which a trickle-down process can be
facilitated to build consensus in order to implement projects, thus
reviving community-level solidarity and the governance system.
The first female community representative elected in Kabul said
that, “In building consensus for land acquisitions or a setback,
wherein a certain group of people would be placed at a
disadvantage, a representative chosen in an election could step in
to mediate the issues and work for the benefit of the entire
community.”
3.3 Points to Bear in Mind about Consensus Building
There are three other points to bear in mind in consensus building: (1) spatial concepts;
(2) decision-making mechanisms within an organization; and (3) mechanisms that facilitate
coordination among organizations.
(1) Spatial Concepts
Some developing countries often lack sufficient community-level unity, or community
groups do not necessarily align with administrative areas. This can result in unclear spatial
lines and a range of jurisdictions (e.g., region, state, prefecture, municipality, settlement).
LBT is a construction method that targets small-scale regional roads and is very rarely
used for projects that extend over wide areas. In view of issues related to the employment of
local people, projects that extend across more than one community may present project
management problems.
Studies related to these guidelines show that the travel distance for labourers in one project
should be about 5 km, and so it is desirable that the spatial scale of a single project be no
larger than one settlement.
(2) Decision-Making Mechanisms within an Organization
1) Decision-Making Processes
Basically, in post-conflict countries, community based approaches prevail while
government initiative effects are rather small. Decision-making processes within these
Scene of community meeting
24
countries tend to be dispersed and complicated.
In the case of Afghanistan, for example, there are two paths to community participation
and consensus building. The first is a decision-making system headed by community elders,
in an organization called a Shura. The traditional Islamic custom of improving infrastructure
on a voluntary basis through cooperation among local people is a system known as ashar.
The second path has been newly established by the community organizations called CDCs,
which are being established in communities through the support of international aid
organizations. Today, CDCs have largely spread into all cities and their surrounding areas.
Community participation and consensus building for LBT projects are gained through the
direct or indirect use of CDCs.
Government decision-making is basically centred in the CDC, the Shura, or the Malik
(village chief), according to traditional settlement patterns. At times, decision-making is
carried out according to the traditional system, while at other times it goes beyond the
traditional system using selected representatives. Today, some cases even involve the
participation of women in government decisions.
Moreover, even within a small settlement, there are different social strata among
community members, including individuals, large landowners with power, unemployed
people, poor people and women. There still exists a traditional system of consensus building
through which beneficiaries and participants (i.e., labourers) remain separate, and the CDCs
and their sub-committees have the responsibility of allocating and adjusting benefits. This
also varies widely by region. As such, the decision-making mechanism can be complicated
and requires careful consideration when proceeding with a project.
2) Leadership within an Organization
Decision-making within an organization is, of course, significantly affected by individuals
with leadership power. For example, in the case of Sierra Leone, the leadership of assembly
members was necessary for smooth project management. There have been reports of
assembly members making adjustments with the Malik, holding meetings, and providing
information to build consensus among community members. This then ultimately leads to
volunteer activities. In a pilot project, there were some complaints from youths involved in
the work, but in projects where the assembly member and Malik were involved, there were
no such problems.
25
Column 6. Kabul Solidarity Program
Funded by the Japanese government, a people-driven, LBT-oriented urban life environment
improvement project called the Kabul Solidarity Program is currently under way in the Kabul metropolitan
area with the joint support of UN-HABITAT and the city government of Kabul. Pilot projects, supervised
under the program, were carried out in 2011 including activities for the election of the first female
community representative in Kabul city, as well as the rehabilitation of more than 54 km of city streets,
57,000 m2 of sidewalks, 86,000 m of drains, 75 culverts and so on.
To implement projects, community members took centre stage by electing a community
representative for business planning, selecting the types or locations of projects to be implemented,
prioritizing projects and undertaking unanimous consensus building. UN-HABITAT delivered technical
training to government personnel and local engineers.
Full participation and the thorough delegation of authority enhanced both the motivation of the
community to take part in the program and their sense of ownership. This is reflected in the fact that an
average of 34% (US$ 2.15 million) of the total budget for the pilot projects (US$ 6.2 million) has been
financed by the local people themselves. Community
members made contributions to the projects in various
ways, such as volunteering to invest according to their
assets and capacity.
Jan Turkstra, an urban development advisor at the
UN-HABITAT Afghanistan office, commented on the
projects: “The KSP is not a mere urban infrastructure
maintenance project. It aims to establish local governance
by means of elections, provide technology transfer through
the implementation of projects, and develop communities
by building their capacity. What weighs most is that we
intend to achieve the goals.”
(3) Relationships among Organizations
In both developing countries and post-conflict countries where no local government has
been introduced yet, there is no system or network that links local government entities with
other organizations, including donor countries and institutions. Such a situation should also
be given full attention. The case of a project in Timor-Leste indicates that the points noted
below should be considered whenever outsiders try to contact local communities and gain the
involvement of local people.
People in post-conflict countries are often sensitive to their environment and this may
become conspicuous as social unrest whenever disputes arise. Even small quarrels or
conflicts have the potential to spark significant displays of social unrest and as a rule
outsiders or development partners should not get involved in them or go near them.
When there is a problem among community members, time should be set aside to wait
A KSP district office From the right: UN-HABITAT, district
engineers, and city government district office director
26
for the local people to adjust and resolve their own troubles on their own.
Transparency is the most important factor in gaining community understanding, and
any sense of unfairness will worsen problems.
The biggest cause of dissatisfaction among community members is a delay in work
payments, so it is essential to pay labourers promptly.
Implementation of consecutive projects leads to a relationship of mutual understanding
between the community and those who implement the projects. For this reason,
depending on the LBT objective, projects should extend over several years rather than a
single year.
Column 7. Community Complexity:
The Co-existence of Traditional and New Communities
To implement LBT projects, it is important to raise awareness in the local community so as to
encourage community participation in the projects and to build consensus for public awareness activities.
In Sierra Leone, in most cases, a project is first discussed and prepared for implementation in the Local
Councils, the administrative organ of a district, with the involvement of each Councillor (the chairperson of
the Ward Committee). Meanwhile, coordination must be arranged by the Paramount Chiefs (the supreme
authority of the Chiefdoms, which are traditional community organizations in rural areas) and with Section
Chiefs (who are ranked below Paramount Chiefs). These actors work together to select the communities
in which projects will be implemented.
Moreover, it is imperative that actors make contact with and talk to the Chiefs when a problem arises,
and so the approach to consensus building and project implementation in conjunction with infrastructure
maintenance projects in rural areas is very complicated. In order to build consensus smoothly in a country
where new communities have not yet become solidly established, it is essential to move towards
implementation by taking account of the fact that there are intricate co-existence relationships between
traditional groups and relatively new administrative organizations.
At left, stakeholders and the project implementation agency in the community involved in consensus
building, and, at right, the reporting relationships in the community at the time of implementation (2009–
12) of a JICA regional development and empowerment project in the Kambia District (CDCD project).
Each Sector
Local Council
Stakeholders
Paramount Chief
Section Chief
Village headman
Councilors (Ward Committee)
Community Chief
Work groups ・Youth group ・Elder group ・Women’s group
Local Councils (Each Sector)
Project Management Committee (PMC) member(CDCD project)
Implementation Agency
27
4. LBT Project Contracts and Procurement (Component 3)
4.1 The Scope of LBT Project Contracts and Procurement
The scope of LBT project contracts and procurement (Component 3) includes the
following activities, which take place after project planning: (1) formulating the project
implementation system; (2) project plan development; (3) project plan authorization; (4)
work design; (5) contract document preparation; and (6) contract agreement
4.2 Formulating the LBT Implementation System
(1) LBT Implementation System Categories
LBT implementation systems fall into three categories, which include a total of seven
methods.
Table 4.1. LBT Implementation System Categories
Major category Sub-category Method Force Account/Direct Labour A public agency carries out all construction works
in-house, directly supervising and managing its light equipment and labour.
Contracting Conventional An employer makes a unit rate contract directly with a large-scale contractor to carry out works using LBT.
Subcontract An employer signs a contract with a relatively big contractor to carry out works, and the contractor then subcontracts the labour based portion of the works to smaller firms.
Government-Run An employer, mainly a government road agency, makes a direct contract with small-scale contractors to carry out works, but retains the responsibility of the employer for supervision of the works.
Agency An employer hires an “agency” to manage small contracts and train small-scale contractors. The agency then makes contracts directly with small-scale contractors to carry out works.
Development Team
An employer assigns different functional responsibilities to different actors: the work is contracted out to a small-scale contractor, while procurement management is contracted out on a fee basis to a material manager and construction management is contracted out on a fee basis to a construction manager.
Community Contract A community contract is an agreement between a community and a contracting authority, whereby the community (or a section of the community) is responsible for the implementation of the works and therefore functions as the contractor.
Sources: references [5] and [6].
Except for the Force Account Method, all the methods described in Table 4.1 demand the
use of contracts. Among these, the Agency Method can be applied to JICA projects, and it
28
will be selected as the LBT implementation approach covered in these guidelines. The
characteristics of each method and how to evaluate them with regard to JICA projects are
provided in the References section (refer to Appendix 2: Comparison of LBT
Implementation Methods).
The Agency Method can be further categorized into two additional types according to the
differences in contractor capabilities.
Agency method “A”: Refers to cases in which the organization conducting the project
(i.e., JICA) places orders to contractors through a consultant by subcontracting locally.
(There is an assumption that the regional community has experience with LBT or with
participatory-type community development projects, and that the contractor capability
is relatively high. This type allows for works with consultant supervision only.)
Agency method “B”: Refers to cases in which the organization conducting the project
(i.e., JICA) places orders to both the local consultant and contractors by subcontracting
locally.
(There is an assumption that the regional community has no experience with LBT or
similar projects, and that the contractor capability is low. Thus, it is suitable to
undertake supervision of the works through the support of entities such as local
consultants who understand local issues well, including Non-Government Organization
(NGOs) and the local offices of international organizations.)
In recent years, for projects that involve major technical cooperation, there have been
cases in which the JICA office has acted as the employer with contractors. However, even in
such cases, the agency method will be applied, because the consultant is supervising the
project implementation.
(2) LBT Work Players and Their Roles
The basic roles of various players involved in LBT works are shown in Table 4.2. Specific
roles are provided and noted for each implementation system.
29
Table 4.2. Roles of Various Players Involved in LBT Works
Entity Role Organization conducting the project (JICA, Consultant)
・Contract work. ・Supervises results of contractor work. ・Approves the results (outputs) and payments. ・Manages project implementation. ・Conducts inspection after work completion.
Government organizations ・Receives equipment and services its maintenance. ・Performs introduction and promotional activities regarding LBT work
methods and projects. Contractor ・Perform works according to the contract Local consultant ・Conducts consensus building in the local community.
・Develops project plan based on coordination among the organizations conducting the project and the community.
・Provides support to the organization conducting the project with regard to contracts.
・Manages the entire project. ・Supervises the works. ・Conducts supplementary projects (community empowerment, etc.), if
applicable. Community ・Gives opinions regarding project plans to a project implementation
organization. ・Monitors works from the community’s standpoint. ・Participates in cooperation with works. ・Supervises work safety. ・Participates in works as labourers. ・Participates in equipment operation and maintenance.
Source: partial amendment/addition to reference [6].
(3) Application of the Implementation System
1) Agency Method “A” (Basic Type)
Utilized when contractors experienced in LBT works are available.
Utilizes an agency as a consultant to ease the burden on the organization that is
conducting the project. The consultant will perform all operations to carry out the work.
The consultant will subcontract LBT works to a contractor and also conduct activities
related to coordination with local governments and consensus building.
Contractors will also conduct training of foremen and labourers, as part of the works.
Figure 4.1. Agency Method “A” (Basic Type) Implementation System Diagram
Consultant
Organization conducting the
project (JICA)
Contractor
Labour
Community
Contract
Contract
Participation promotion
Implementation support
Hiring
30
2) Agency Method “B” (Using Local Consultants)
Utilized when contractors experienced in LBT works are not available.
The consultant will subcontract LBT works to a contractor. The consultant will also
subcontract the delivery of instructions to contractors and management support with
regard to LBT works to a local consultant who has knowledge of local issues (e.g.,
consultants, NGOs, international organizations). The consultant will also conduct
activities related to coordination with local governments and consensus building.
The local consultant will provide training for contractors and foremen related to LBT
implementation. The local consultant will also plan community coordination for areas
related to carrying out the work.
The contractor will conduct work according to directions and instructions from the local
consultant.
Figure 4.2. Agency Method “B” (Utilizing Local Consultants) Implementation System Diagram
(4) Implementation Method for Conflict-Affected Countries
Agency Method “B” (utilizing local consultants) will be the standard for
conflict-affected countries.
If the focus is on the effectiveness of community development, then the use of a
community contract is effective. In most conflict-affected countries, the capacity of
communities may be insufficient, so agency method “B” will be applied as the
implementation method (refer to Appendix 2 for a community contract outline).
The consultant will contract with the contractor and local consultant and take
comprehensive control of the project.
Since there are some safety risks at project sites, the consultant will subcontract matters
including the following to the local consultant: training and technology instruction;
community development; and work instruction and management. Thus, local
consultants in conflict-affected countries play a more important role than they do in
other developing countries.
Consultant
Organization conducting the
project (JICA)
Contractor Local consultant
Labourers
Community
Contract
Contract Contract
Participation promotion
Implementation support
Technical InstructionHiring
31
Column 8. Appropriate Role-Sharing
In Timor-Leste, the LBT project “Our Roads, Our Future” (OROF) is being carried out with funds from
the ADB/JFPR. In this LBT project, 11 staff members are elected from 33 communities (Aldeia) covering
two prefectures, to form a work group called “the crew” and to take leadership in maintaining community
roads through the use of LBT.
The operational mechanism of the project is illustrated below. The ADB, the sponsor of project, pays
wages to the crew via the Ministry of Infrastructure (MOI). With respect to project management, the project
management unit (PMU), a group of consultants, directs overall project management, while another
consultant is in charge of carrying out specific activities (e.g., technological training, work supervision). The
system is run by a consultant and a local consultant.
While a project was being run through the use of this system, a number of issues arose.
For the procurement of equipment and tools, the PMU determined which equipment or tools to buy, placed orders with vendors, and then made the payment. However, the delivery of the products was often late, or the amount of products delivered did not correspond to the required quantity, and so on.
The PMU paid crew wages based on the Muster Roll, but payments often fell into arrears due to clerical procedures on the ADB side.
As a result, the system has been reviewed and modified. For equipment and tools procurement, the
local consultant makes decisions about which equipment or tools are required and in what volumes,
places orders, inspects delivered goods, and pays the labourers. This case exemplifies the fact that it is
necessary to share roles in an appropriate manner when two consultants—namely, a consultant and a
local consultant—are deployed.
4.3 Project Plan Development
(1) Conducting Basic Surveys
The two studies described in this section—namely, a baseline survey and a natural
condition survey—should be conducted. Their results will be utilized as basic data for the
project plan compiled by consultants.
MOI
Consultant
Worker Group
(Crew) Technical training, work supervision
PMU
ADB
Capital Contract Contract support
Local administrative
organs, Community
Consultation
Contract
Activity support
32
1) Baseline Survey
A baseline survey is conducted to understand the current conditions of the subject
community and to understand the community members’ lifestyles, activities and actions
before the LBT project is conducted. The survey is conducted using a random sampling of
the subject community and its contents detail the following four items: (1) household
characteristics; (2) individual characteristics of heads of households; (3) community
activities; and (4) travel behaviour. If there are any other complimentary components—such
as promotion and empowerment activities—they are added to the survey items, in order to
better understand their effectiveness. Baseline survey items for LBT projects are shown in
Table 4.3.
Table 4.3. Baseline Survey: Survey Item Examples
Survey item Survey content Household characteristics Number of persons in the household, years living in
household, household income. Individual characteristics of heads of households
Individual characteristics
Sex, age, ethnic group, religion.
Occupation Occupation (self-employed vs. employee). Income Source and amount of main income.
Source and amount of side income. Agricultural off-season (for agricultural income). Income source during agricultural off-season.
Community activities Participation Participation in community activities in the past one year (meetings, assemblies). Participation in community activities in the past one year (other activities).
Role Role in community activities (staff member, etc.). Other Requests for community support.
Travel behaviour Commute Workplace/office location. Transportation mode to workplace. Commute time to workplace.
School attendance
Number of children attending school. School location. Transportation mode to school. Commute time to school.
Shopping Main shopping destination. Shopping frequency. Transportation mode to go shopping. Travel time to shopping place.
Medical facility
Location of nearest medical facility. Frequency medical facility use. Transportation mode for going to medical facility. Travel time to medical facility.
Other Other ideas and problem issues relating to road development.
Sources: [4], [7], [13] and field surveys conducted for the development of the guidelines.
33
2) Natural Condition Survey
Profile and cross-sectioning surveys are conducted, and their results are used as basic data
in planning and designing/drawing roads necessary for improvements. In the case of road
conditions with low volume earth/gravel roads or where a change of alignment is not
necessary, this survey process might be omitted.
(2) Determining Details of the Works
The literature that deals with LBT maintenance works methods is plentiful, and so this
section will first provide the main points used to determine details of the works then
reference methods in the literature.
1) Alignment Conditions
Standard alignment conditions for planned roads are shown in Table 4.4. Even in cases of
roads that are currently being improved or cases in which the planned alignment agrees with
the current alignment, it is desirable to use the alignment conditions listed in the table.
Table 4.4. Standard Alignment Conditions for Planned Roads
Topography Mountain areas (Steep slopes)
Hilly areas (Gentle slopes)
Flat terrain
Horizontal alignment
Longitudinal alignment
Min. R = 50 m or more
(15 m)
Minimum grade: 2%
Maximum grade: 10%
(12%)
( ): if unavoidable
Min. R = 100 m or more
(40 m)
Minimum grade: 2%
Maximum grade: 8%
(10%)
( ): if unavoidable
Min. R = 100 m or more
(40 m)
Minimum grade: 2%
Maximum grade: 8%
(10%)
( ): if unavoidable
Source: reference [8].
2) Road Width
The relationship between the planned road’s traffic volume and its required width is shown
in Table 4.5. Pavement/surface dressing work such as Double Bituminous Surface Treatment
(DBST) instead of gravel is desirable for roads that handle more than 500 vehicles per day.
Table 4.5. Standard Road Widths for Planned Roads
Traffic volume (vehicles/day) 0–20 20–50 50–200 200–500 Road width 4.50 m 4.50 m 5.50 m 6.50 m Pavement width 3.50 m 4.50 m 5.50 m 6.50 m
Source: reference [8].
3) Types of Drainage Canals
The standard structure of road gutters (i.e., drainage canals) installed along planned roads
is shown in Table 4.6. Concrete or stone pitching is used in urban areas (commercial,
residential, industrial areas), while taking the site’s constraints and ease of cleaning into
consideration.
34
Table 4.6. Standard Structure of Road Gutters (Drainage Canals)
Area classification Commercial, residential, industrial areas Agricultural, forest areas, etc. Type of drainage canal Concrete or stone pitching Uncovered open ditch
4) Types of Pavement
The type of pavement to be used depends on the planned road’s planning conditions,
works conditions (service period), traffic volume, grade, the contractor’s capabilities and
maintenance capabilities (Table 4.7). The area of the table within the red line indicates
pavement types that can be applied in LBT works.
Table 4.7. Types of Pavement Applied, According to a Planned Road’s Planning/Work Conditions
Item Degree Gravel
Sand seal
Slurry seal
SBT DBST Cape seal
Single Otta seal
Double Otta seal
Asphalt concrete
Service period
Short duration
Medium duration
Long duration
Traffic volume
Low Moderate High
Grade Easy slope
Average Steep slope
Contractor capability
Low Average High
Easier maintenance
Low Average High
Legend: Recommended If unavoidable Not applicable
Source: reference [9].
5) Reference Literature
References from the following materials on work methods for major types of works are
listed in Table 4.8.
“Appropriate Technology Training Institute (ATTI) Training Manual: ATTI Manual”
(reference [8])
“Building Rural Roads”: ILO Manual (reference [4])
35
Table 4.8. Major Types of LBT Works and Related Reference Literature
Reference item Important items Reference ・Surveying, alignment
setting ・Alignment setting that minimizes obstructions
and the amount of earth work (mainly widening of current roads).
・ATTI Manual 4 ・ILO Manual 2
・Light equipment, hand tools
・Use of durable hand tools (maintaining product quality).
・Selection of construction machinery according to the scale of the work (material handling distance for earth work, etc.).
・ATTI Manual 3, 5 ・ILO Manual 3.1
・Site preparatory work (levelling the ground, etc.)
・Earth work ・Soil Mechanics ・Compaction
・Thorough removal of obstructions (trees, grass, boulders, etc.).
・Confirmation of light equipment suppliers, choosing appropriate earth materials, conducting proper earth material testing.
・Compaction using pedestrian roller and compaction using appropriate hand tools.
・ATTI Manual 5 ・ILO Manual 4, 5
・Gabion work ・Drainage work ・Culvert work ・Concrete work
・Ensuring gabion quality. ・Work area (land usage), establishment of
drainage structure system while taking into consideration the operation and maintenance system. (Gutter type: concrete, stone pitching, uncovered ditch.) (Cross drainage canal type: pipe culvert, drift, submerged bridge.) (Ensuring prevention measures: securing drainage slope [road surface], gabion [riverbed, slopes], ground still work [gutter].)
・Appropriate culvert positioning, appropriate treatment of tap and outfall.
・Conducting appropriate concrete testing.
・ATTI Manual 10, 11 ・ILO Manual 7, 8
・Pavement Work ・Establishing pavement types that take the following factors into consideration: traffic volume, weather conditions, pavement materials, ease/difficulty of acquiring pavement/roadbed material, operation and maintenance system. (Pavement types that can be handled through LBT works: gravel, low-cost pavement, stone pitch pavement, block pavement.)
・ILO Manual 9
Sources: [4], [8]
(3) Formulating Project Planning Report
A project planning report can be formulated to include the items shown in Table 4.9.
36
Table 4.9. LBT Project Planning Report Structure
Item Details Goals to achieve Upper-level goals that should be achieved through project implementation. Project objectives Project implementation objectives. Project outline Position diagram/road network map, standard cross-section.
Length, area. Estimate project costs.
Implementation system Project implementing organization. work schedule Processes starting with stage of project preparation, research,
contract/procurement and works, up to the time of inspection.
Sources: [4], [7], [8], [13]
(4) Drafting the Operation and Maintenance Planning Report
The completed facility’s operation and its maintenance works will be handled by the local
government and community. To ensure project sustainability, it is indispensable to formulate
the operation and maintenance plan beforehand, together with examining the post-handover
operation and maintenance work system and its policies. This is particularly important for
LBT projects, where members of the community that participated in the work will also
participate in operation and maintenance. Local people who participated in the work are
encouraged to be able to perform maintenance works efficiently, as they will have learned
work-related technology to some extent. One of the goals of LBT is to grow the community’s
ownership of public goods, and operation and maintenance are important project activities in
achieving this goal. For example, ATTI’s LBT technical manual for Tanzania is called
“Labour-Based Road Rehabilitation and Maintenance Training Manual” (reference [8]). This
manual places great importance on operation and maintenance, with half of the manual
actually being devoted to these issues.
Elements of the operation and maintenance plan structure are shown in Table 4.10.
Table 4.10. Operation and Maintenance Plan Structure
Item Details Organizational system Organizational structure and outline for other groups and
communities related to facility operation and maintenance. Operation and maintenance cost and budget
Budget, subsidies and donor funding.
Operation and maintenance method Work method (LBT versus EBT). Type of works (routine maintenance, spot improvement or periodic maintenance).
Operation and maintenance processes and annual schedule
Processes starting with project studies, contracts with contractors, procurement (as needed) and works, right up to the time of inspection. Determining the frequency of implementation of various operation and maintenance works and their annual schedule.
Sources: [4], [7], [8], [13]
37
Column 9. Improving Roads with “Do-nou” (Soil Bag) Technology5
“Do-nou” technology is part of a small-scale infrastructure maintenance method in developing
countries advocated by Professor Makoto Kimura (Chairman of the Board of the NPO Community Road
Empowerment) of Kyoto University’s Graduate School of Engineering. The technology is mainly applied to
the repair and maintenance of community roads that have a direct influence on the lives of villagers, and it
has been attracting attention as a technology that takes advantage of a conventional engineering method
used in Japan.
Professor Kimura, a geotechnical engineering researcher, was dispatched to the African Institute for
Capacity Development (AICAD) in Kenya around 2000 as a JICA expert. While searching for “an
economical and simple technology with local resources,” he noticed the load-resisting power of soil bags
(25 tons load-carrying capacity in the vertical, based on a formula developed by emeritus Professor
Hajime Matsuoka of the Nagoya Institute of Technology), and tried to use them as site material for
maintenance of unpaved roads that become muddy in the rainy season. A bag cost ¥25, resulting in a
cost of about ¥500 to repair 1 m of road, which was only one-twentieth the cost of asphalt pavement.
“Do-nou” technology is superior not only in terms of cost effectiveness but also in the compressive
strength of the soil bags. It also enables community members to maintain the roads by themselves without
difficulty. It is now widely utilized in 12 Asian and African countries.
In JICA-related projects, “do-nou” technology has been applied to the Smallholder Horticulture
Empowerment Project in Kenya (SHEP) (2006–09, pictured below6) and the Smallholder Horticulture
Empowerment and Promotion Unit Project in Kenya (SHEPUP) (2010–15). It has also spread to a host of
other projects and surveys including: the Development Study for the Urban Rehabilitation Plan in
Kinshasa, Congo (2008–10); the Coordination Project for Community-Based Road Implementation in
Timor-Leste, by ADB/JFPR (2011–13); the Project for Rural Road Network Development in the Acholi
Sub-Region in Northern Uganda (2011–12); the Preparatory Study of Rural Area Development and
Maintenance Cooperation with “Do-nou” Technology for Base of the Pyramid (BOP) Business
Coordination and Promotion in Ghana; and activities spearheaded by the Japan Overseas Cooperation
Volunteers in countries such as Uganda, and so on.
Muddy road before work Working with “do-nou” technology Completed road on the same site
5 Asahi Shimbun, April 29, 2011, “Lifeline road repaired by April 29.” 6 SHEP brochure: Better Rural Access Roads, Better Life!
38
4.4 Project Plan Approval
(1) Discussions with Related Organizations
Submit planning reports to road management administrators and community
representative organizations, then discuss and confirm the feasibility of project plans.
Present necessary items related to community participation (labourer selection, etc.) and
gain cooperation.
Verify issues and risks with regard to work.
Present the planning reports to the counterpart organizations, then discuss and receive
approval for the plan.
Receive work permission (i.e., site possession).
Request necessary assistance related to traffic regulations, etc.
(2) Finalize the Project Plan (Project Approval)
Finalize the project plan upon discussions with community representative organizations
and counterpart organizations.
4.5 Work Design
(1) Basic Approach Regarding Design
As a principle, for Japan’s ODA projects, design is conducted in all projects. However,
when designing for small-scale works or where the provision of technical training is the main
objective, there are cases of works without Detailed Design (D/D) Study. Details of design
works are provided in the literature (reference [4]).
(2) Project Costs
The budget is estimated using material quantities or Bill of Quantity (BQ) and task rates
derived from the design plan. The “task rate” refers to the amount/volume of work done in a
day per activity performed by one person. This concept, the reverse of a cost estimation
method using productivity, applies to many LBT projects and is shown as the following the
formula.
Unit Cost = Unit Quantity ÷ Task Rate × Payment Rate per Day.
Work efficiency examples are provided in the following documents:
“Building Rural Roads” (reference [4]); and
“Manual for Supervision of Labour-Based Road Rehabilitation Works” (reference [7]).
As a reference, task rate examples according to “Labour-Based Road Rehabilitation and
Maintenance Training Manual” (reference [8]) are shown in Table 4.11.
39
Table 4.11. Task Rate Examples
Activity Task rate Remarks Bush-clearing 300–1,000 m3/md Quantity according to the nature of the bush and foreman
experience. Stripping and grubbing 200 m2/md Where bare ground exists, the task rate should be
increased. Excavation to level 3–4 m3/md For curls less than 0.5 m high: 20 m done by labourers.
For curls more than 0.5 m high: depends on soil type. Ditching 3–4 m3/md 3–4 m3, depending on soil type. Spreading 25 m3/md Sloping 3.5–4.6 m3/md Depends on soil type. Back-sloping 3.5–4.6 m3/md Depends on height of cut and soil type. Camber Formation 30 m
Source: excerpt from reference [8].
The range of task rates varies by country, region, climate and weather conditions. In many
cases, they are unique to a country or region. Accordingly, instead of indicating only the
examples in Table 4.11, it is necessary to confirm whether there is a task rate being applied
that is near to the subject site conditions. Over one-half of the cost of LBT works is occupied
by labour costs, making precise estimations of project costs difficult. Therefore, estimating
the project cost by using the task rate, the work amount per day, is a popular calculation
method for LBT projects.
4.6 Preparing Work Contract Documents
(1) Types of Contract Documents
For LBT work contracts, the following contract documents—like those used in typical
works projects—must be prepared:
a) Form of Contract;
b) General Conditions;
c) Technical Specifications;
d) Bill of Quantity; and
e) Drawings.
(2) Contract Methods
Similar to typical civil engineering works, when drawing up work contracts, there are
several contract methods available (Table 4.12) that take into account the project scale,
employer and contractor capabilities, and information held by the contractor.
40
Table 4.12. Types of Work Contracts
1. Lump-sum price A lump-sum offer in a case without any attached document contract. This would be used for very minor works where amendments are not anticipated and the works will be completed within a short period, thus requiring only a single payment to the contractor.
2. Lump-sum price with schedule rate
A lump-sum offer attached to rate schedules prepared by the tendered. This would be used for a larger contract where amendments and multiple payments would be required. If the employer does not have the resources to prepare his own bill of quantities, then this option would be applicable.
3. Lump-sum price with Bill of Quantity
A lump-sum offer based on a bill of quantity prepared by the employer. This would be the same as with the previous type, but there the employer has the resources to prepare his own bill of quantities. A better contract would result from the use of an employer’s bill of quantity.
4. Re-measurement with Bill of Quantity
A sum subject to re-measurement at the rates offered by the tenderer in the bill of quantity prepared by the employer. This would be the same as with the previous type, but would suit a contract where many amendments are expected to the work specifications after the contract has been awarded.
5. Cost reimbursable An estimate prepared by the tenderer that will be replaced by the actual cost of the works, calculated in accordance with the terms set by the employer. This would suit a project where the extent of the works cannot be ascertained before the contract is implemented. An example of this would be an emergency reconstruction of a building damaged by fire or natural disasters.
Sources: references [7], [13].
One of the characteristics of LBT projects is that estimates are based on a BQ and task rate.
As such, work supervision based on the BQ and the task rate is a fundamental factor. Also,
incentives/bonuses relating to contractor costs are large for lump-sum contracts, and low for
cost reimbursable contracts (that is, the cost over-run risk is higher with cost reimbursable
contracts). Conversely, incentives relating to quality are large for cost reimbursable contracts,
and low for lump-sum contracts (that is, the risk of low quality is higher for lump sum
contracts). Taking this into consideration, either a lump-sum contract based on the BQ or a
cost reimbursable contract based on the BQ will be used as the LBT contract method.
Table 4.13. Contract Methods in LBT Projects
Contract method Possibility of implementation in Japan’s ODA Lump-sum price with BQ If design specifications can be finalized in detail, then it is desirable to use
this contract method. It should be borne in mind that it is suitable when the project implementation body conducting the project or the contractors used have extensive LBT experience, but there may be risks if they have little experience.
Re-measurement with BQ Applicable for projects where design specifications cannot be finalized in detail or for those that include trial works. It is suitable when the project implementation body conducting the project and the contractors have little LBT experience. Also, in many cases the financing of works is difficult for small and midsize contractors. It is then effective if multi-payments are made according to their work progress (i.e., output).
Source: reference material [7].
41
(3) Preparing Contract Documents
LBT is used for infrastructure development projects. Commonly, documents used in a
given country’s public works programs are used, but in some countries where legal systems
have not been fully functioning (e.g., conflict-affected countries), a developed country’s
documents or formats are applied. Thus, there are situations where neither systematization
nor document conformance have been accomplished. For this reason, the ILO and other
international organizations have used and recommend their own existing contract documents
for LBT projects. As such, if systematized and standardized contract documents are not being
widely used in a country yet, then those existing documents and formats shall be introduced
and applied instead.
When contracting with local contractors for JICA projects, adherence to JICA’s local
procurement guidelines is the standard procedure. However, it is necessary to check the
widely applied local format and conform to it. Also, small-scale contractors who conduct
LBT projects may not be familiar with contract documents, and so a thorough explanation of
their contents is necessary.
(4) Contents of Contract Documents
1) General Conditions
Table 4.14 shows the various approaches appearing in LBT works with regard to contract
conditions, as stipulated under “General Conditions” of contract documents. Because LBT
works mainly involve small-scale contractors, there may be obstacles to applying a
loan/credit for projects. Additionally, features such as performance security/bonds by bank
surety may not be available. Contracts should be made while taking this point into
consideration, and in drawing them up, the conditionality involved should set up flexible
payment and affordable requirements in line with the contractor’s capabilities.
42
Table 4.14. Conditions Applied to LBT Work Contracts
Contract condition Typical projects LBT Advance payment
Advance payment of approximately 10–40%.
It is desirable to pay in advance an amount slightly higher than with conventional projects. In LBT, light equipment and materials are often provided by or hired from the project implementation body. In such cases, the amount of the contract can be reduced.
Performance security
A fixed percentage of the total contract amount will be used as performance security.
It is desirable to deposit security, the same as for a conventional project. Small and midsize contractors may not be able to obtain security due to financial balance evaluations. Thus, it is possible to refrain from obtaining security taking into consideration a project’s scale, the expected quality of the facility and the contractor’s capabilities.
Advance payment security
Security in the same amount as the advance payment.
It is desirable to deposit security, the same as for a conventional project. If the contractor’s conditions are not satisfied, it is possible that security will not be required.
Progress payment
Generally refers to approximately two interim payments (30% or 20% amount of the total cost).
Specifying earlier pay periods and more payment times are desired.
Warranty against defect liability period
Establish a warranty against defect liability period of one year (ordinarily).
It is principally desirable to allocate a warranty against defect liability period after completion of works. However, in pilot projects conducted by the ILO or other international organizations treated as LBT training, there are cases where warranty against defect liability has not been established. For this condition also, it is possible to consider the project’s scale, expected quality of the facility, and contractor capabilities, and to refrain from obtaining security.
Liquidated damage
Generally liquidated damage is 0.25–0.5%, and an upper limit should be established.
In principle, the liquidated damage should be set to be the same amount as for general projects.
Insurance
Principally applies to insurance for equipment and materials, loss of property, injury to labourers, and damage to third parties.
Applies injury insurance for labourers and external liability insurance for safety management, the same as for conventional projects. The fulfilment of these conditions may sometimes be difficult, depending on the situation, and cost concerns may also arise. In such cases, an option is to request a separate bidding document for cost estimation and evaluate the financial proposal separately.
Sources: [2], [4] and working group surveys conducted for the development of the guidelines.
In cases where no performance security or advance payment security is required, a
consultant in charge of the subcontract will need to bear the risks incurred by the contractor,
so it will be important to further discuss risk-transfer methods with the project
implementation body.
For example, many JICA projects are implemented mainly as part of community
development and technical cooperation for counterparts. Therefore, in order to decrease these
alternative risks, projects can be implemented by asking counterpart agencies, such as central
43
or local governments, instead of banks or insurance companies to secure the performance of
construction works and to have their responsibilities warranted in construction contracts and
so on. Alternatively, in the event of construction works being implemented by small or
medium-sized contractors, it is effective to reduce the burden on builders by lending the
equipment to be used or by budgeting mobilization fees. In each case, there is a need to
consider ways of ensuring compliance with JICA procurement guidelines.
2) Technical Specifications
Contract conditions for technical specifications exclusive to LBT are outlined below.
a) Employment Relationship
As part of the LBT implementation system, the hiring of labourers is done by the
contractors, not by the project implementation organization or managing consultants.
The technical specifications should clarify the following items relating to hiring labourers,
such as requests to utilize labourers from the community, and will also transfer the
responsibility regarding hiring to the contractor.7
Casual labourers are to be hired from areas around the works (e.g., within 5 km of the
work location).
The labourer selection process is to be transparent.
Goals are to be set regarding the percentage of women to be hired (e.g., 50% or more).
Hiring underage labourers is prohibited as stipulated by the country’s laws.
If a country’s policy has stipulations regarding promoting youth employment, hire more
than the specified proportion of young people.8
Employment discrimination based on ethnic group, religion, political beliefs or social
status is prohibited.
Local government or consultants will advise contractors verbally if the use of labourers
from the community in LBT projects is a precondition, but in many cases it is not stipulated
in contract documents or via special notes or the like. Accordingly, as conducted in
Afghanistan’s Dehsabz Region Development Project (for example), the terms of employment
need to be clarified using special notes, a written agreement or written consent, in order to
prevent problems (refer to Column 10).
In addition to the aforementioned points, international organizations such as the ILO have
provided the following considerations regarding employment to avoid dissatisfaction in the
community.
7 The literature (reference [7]) shows the standard specifications. It mentions the prohibition of employment discrimination based on ethnicity, religion, political beliefs and gender. It also mentions hiring from surrounding areas and transparent labourer selection, and prohibits the hiring of persons less than 16 years of age. 8 For Timor-Leaste’s TIM Works, the proportion of labourers aged 15–29 was 50%, which is in accordance with the country’s employment policy.
44
Discussion with the community shall be conducted regarding employee selection, and
then selection will be conducted openly by lottery.
To expand employment opportunities, one person per household will be selected, the
hiring period will be three months, and then they will alternate.
b) Training
Projects in which LBT is newly implemented include cases where the LBT project itself is
conducted as a training project for technical training to increase familiarity with specific
technologies. This training will basically take place as on the job training (OJT), but if the
contractor is in charge of this training, then the contractor is paid for expenses such as
instructor training fees. Training instructors are expected to have expertise. Also, conducting
training during work (which is busy in itself) can be a large obligation, and thus there have
been many cases in which experts from development partners and consultants play the role of
instructors, rather than the contractors themselves.
With international organizations such as the ILO, many LBT projects are identified as
training programs. In such cases, the foreman participates in the project in order to learn the
technology, and the payment of funds is treated as the payment of training costs. For example,
for LBT training in Tanzania’s Local Government Transport Program (LGTP), a
collaboration with Norwegian Agency for Development Cooperation (NORAD) and Danish
International Development Assistance Agency (DANIDA) project work orders issued as trial
contracts were placed for rehabilitation work in 1-km2 lengths (in addition to classroom and
field training) to each trainee (contractor). This project was done in order to improve the
capacity of contractors who participated in the training.
4.7 Work Contract
(1) Contracting Procedure
The procedure for LBT contracts is the same as that for conventional projects. The
contractor’s LBT capabilities and experience are indispensable factors for the success of LBT
works, and the contractor’s current LBT project records should be attached to proposals for
tendering documents.
(2) Evaluating Contractor Capabilities
In evaluating a contractor, the considerations used to distinguish capabilities are as
follows.
Contractor registrations or classification certificates authorized by governmental bodies
(public offices, associations, etc.).
Capital at the contractor’s disposal.
Number of engineers involved in projects.
Current LBT project records.
45
Column 10. Payment Method 1 (Timor-Leste)
The LBT projects implemented in Timor-Leste from 2010 to 2012 are represented by the Our Roads,
Our Future (OROF) project, sponsored with ADB/JFPR funds and the TIM Works project, carried out by
the ILO and financed by agencies including the EU, Norway, AusAID and IrishAid. With OROF, works are
assigned to a unit that includes 11 crew members, and the unit is managed as a single work group to
which payment is made for work done each day. On the other hand, with TIM Works, labourers are
managed and paid according to a task-work system, where labourers are paid individually each day, as
they finish their assigned workload for the day.
Scene from an OROF project: a rope is used to indicate the workload for a crew to finish for the day.
Scene from the TIM Works project: the day’s assignment is indicated with a rope for individual labourers.
The aforementioned worker management styles are introduced in order to prevent LBT projects from
falling behind schedule, as well as to provide worker incentives.
Column 11. Payment Method 2 (Afghanistan)
The karez repair project is a pilot project of the Dehsabz Region Rehabilitation Subproject, carried out
from 2011 to 2012 in the Kabul Metropolitan area. In this project, traditional small-scale underground
waterways have been reconstructed, and task-work payments were applied to agents on completion of
their Bill of Quantity (BOQ), while labourers were paid by contractors (Agents) on the basis of their daily
work.
This approach assists in monitoring work productivity and providing incentives needed to boost
productivity, by pushing the Agents to accept the risk inherent in labourer productivity. The productivity
seen in the karez repair project varies significantly from one site to the next: the depth of wells can range
from about 20 m to sometimes more than 50 m, and productivity plummets by half or more if they hit
bedrock. Under such circumstances, it is essential that flexibility be built into the work schedule, and it is
difficult to uniformly define standards that pertain to
productivity or yields. Instead, as mentioned, an effective
scheme is to allocate appropriate incentives or assign risks, or
thoroughly monitor risks.
Agents have access to a more varied range of information
than most governmental implementation bodies (“principals”).
Agents were proactive in undertaking the Phase II project,
despite their concerns that they would go into the red. Karez repair work
46
5. LBT Construction Management (Component 4)
Construction management covered by Component 4 consists of:
a) A construction implementation system;
b) Labour management;
c) Health and safety management;
d) Quality control; and
e) Other matters related to construction management.
Let us look at each of these items in greater detail.
5.1 Construction Implementation System
(1) Project Management Team
The project implementation body will establish a project management team after the
contract has been signed.
a) Members
Project manager: Head of the project implementation body.
Consultant engineer: Chief consultant.
Contractor representative: Contractor manager.
b) Responsibilities
The project management team is responsible for planning and implementing construction
and project management.
Source: reference [7].
Figure 5.1. Project Management Team Structure (In Cases Using Agency Method “B”)
Sources: references [7] and [8].
Project Management Team
Head of the project
Consultant Person in charge
Local consultant Site manager
Local consultant Person in charge
Contractor Site manager
Contractor Person in charge
47
(2) Project Supervision Team
The consultant responsible for project supervision will establish a project supervision team
that corresponds to the size of the project. Figure 5.2 outlines an example structure of a
project supervision team, but individuals may fill multiple roles, depending on the size of the
project.
Figure 5.2. Project Supervision Team Structure
Source: reference [8].
5.2 Labour Management
(1) LBT Labour Management: Items Requiring Special Consideration
In LBT projects, labour management (i.e., employment and operations management, and
payment of wages) is extremely important compared to the case of EBT, as LBT employs a
greater number of labourers. Labour management must be conducted while duly
understanding and considering the characteristics of the community and regional society.
Therefore, project implementation bodies and consultants are not to manage and instruct
labourers directly, but rather through utilizing assigned local contractors or consultants to
avoid unnecessary misunderstandings.
(2) Labour Conditions, Recruitment and Employment
Labour management items concerning labour-related regulations, recruitment and
payment of labourers are outlined in the “Contractor’s Handbook, Labour-Based Works”
(reference [11]). Please refer to the Handbook for more details.
(3) Work Team Structure
Work team formation (gang size)
One foreman is to manage 60–80 labourers. These labourers will be divided into groups of
15–25 people, with each group to be led by a headperson (gang leader), thereby enabling
operations to be carried out effectively.
Source: reference [8].
Supervision director
Community engineer
Materials engineer
Survey & measurement
Structural engineer
48
Figure 5.3. Example of Work Team Structure (Work Organization)
Source: reference [4].
(4) Labour Management
Methods of labour management and wage payment are outlined in Table 5.1. In principle,
contractors with LBT construction expertise will be instructed to follow the task work
method, but contractors without adequate expertise will be instructed to follow the Daily Paid
Work method.
Table 5.1. Wage Payment Methods
Methods Details
Daily payment
(Daily Paid Work) Wages are paid based on daily working time, regardless of the working
performance. To be used with unskilled labourers and in the beginning stages of
works.
Contract
(Task Work)
Wages are paid based on daily working performance because it provides an
incentive for labourers. Enables progress management to be achieved as
scheduled.
Group contract
(Group Work) Working performance is applied to the group scale. To be used when labourers
are arranged into small group works where they can be easily managed.
Partial contract
(Piece Work) Where workloads of one to three days are contracted as a single unit of works.
Supervising and management of work performance can be difficult.
Sources: [4], [7], [13] and field surveys conducted for the development of the guidelines.
Site manager
Work site B
Supervisor,
Earthwork
Culverts, Bridges,
Drifts, Retaining
Walls
Work site A
Supervisor,
Earthwork
Supervisor,
Structures Site support
Work site C
Supervisor,
Earthwork
Storekeeper,
Mechanics
Guard, etc.
Gang A
Setting out
Gang B
Clearing
Gang C
Earthwork
Gang C
Compaction
49
Column 12. Use of Contractors for Communication with Communities
The karez (i.e., traditional small-scale underground waterways) repair project, a pilot project of the
Dehsabz Region Rehabilitation Subproject (2010–12) implemented by JICA, was undertaken with the use
of LBT. The project progressed on schedule and without major problems, as it had been assigned to
experienced contractors and construction agents in Afghanistan.
Members of the local community were mobilized for repair works. A contractor who knows
Afghanistan background well said, “To employ labourers from outside the region is inefficient, not just in
terms of time required for traveling, but it also risks inciting antipathy among the people in the region. The
villagers know about the locations of karezes, water volume, the depths involved, and so on, better than
anybody, and communication with the villagers is critical to implementing the work smoothly.” The
contractors would not have been able to complete the project if it were not for the cooperation of the
community or their advice on the location of karezes and the surrounding terrain. It is understood that the
community’s involvement and participation have been indispensable to the success of projects.
Furthermore, a Malik who signed an agreement with a contractor and selected labourers and set
wages as a community leader commented: “We collaborated with the contractor based on the agreement
and chose labourers from among the poorest in our village. The labourers were satisfied that they had
been able to contribute to their community and get paid, too.”
However, it was difficult to identify the labourers who actually worked in the project. In some donor
reports, there were quite a number of cases where the labourers who actually worked on the site differed
from those registered in the book, or labourers had been paid twice. Furthermore, the factor that causes
the most work delays is the difference in perceptions of productivity between contractors and labourers. In
karez rehabilitation, whenever the actual work fell far behind the task rate (which was estimated based on
other countries’ projects) a work delay was affected. The contractors blamed labourers for being unhurried,
while the labourers countered that the initial task rate hadn’t been realistic. These problems can be
precluded if contractors and communities understand both conditions and reach an agreement before the
project gets started, and if a sense of responsibility can be implanted in the minds of the local people, as
the parties most concerned about the community.
The warfare in Afghanistan lasted for 30 years, and left huge
scars in communities and devastated their property. In anticipation of
the project’s benefits in the region, the Malik added, “Many karezes
were so badly damaged during the war that we couldn’t use them at
all, but the villagers were unable to fix them by themselves. Now, the
repair works are under way, with JICA’s support. The volume of water
has now increased by 50%. It will have increased 75–100% by the
time the work is completed.”
5.3 Health and Safety Management
Health and safety management items concerning traffic control and safety, on-site health
and safety issues are outlined in the “Contractor’s Handbook, Labour-Based Works”
(reference [11]). Please refer to the Handbook for more details.
Karez repair work
50
5.4 Quality Control
Quality control standards to be used in construction projects employing LBT are stated in
“Increased Application of Labour-Based Methods through Appropriate Engineering
Standards, Guidelines for Quality Assurance Procedure and Specification for Labour-Based
Road Works” (reference [11]).
The quality control standards for final inspection of LBT works are stated in “Final
Inspection Standards and Summary of Findings”, an annex of the “Manual for Supervision of
Labour-Based Road Rehabilitation Works” (reference [7]).
5.5 Other Matters Related to Construction Management
A number of publications discuss matters related to construction management. Table 5.2
references appropriate sections of two of the most frequently referenced publications:
“Building Rural Roads” (reference [4]) and the ATTI Training Manual (reference [8]).
Table 5.2. Construction Management Reference Material and Sections
Topics Building Rural Roads ATTI Training Manual
Set-up and management of construction
site
Chapter 13 Topic 7
Operation organization and structure Chapter 14 Topic 7
Reporting and management Chapter 15 Topic13, Appendices
Road maintenance - Topic 6
Sources: [4], [8]
Column 13. Perspectives on Gender Considerations
According to a survey in Tanzania, women are given preference over men in LBT projects in an
attempt to promote women’s participation in society. In the case of one project, female labourers (mainly
housewives) constituted 60% of the workforce. Similarly, women in Kenya reportedly constitute a certain
percentage (i.e., 30 to 40%) of the workforce. There was no discrepancy in the daily wage ($2.60 to $3.00)
between men and women in either of these countries.
Because there is a perception that many men spend all their money on drinking after work and that
women take money home to their families, women’s participation in the workforce has been closely
followed in light of its ultimate potential benefits for the
household. When men were asked whether they were
dissatisfied with the fact that men and women were employed
according to the same wage system, they answered that they
did not have any complaints. The reason was that men and
woman would not be assigned to the same type of work:
women would be assigned to work according to their
capacities.
Female labourers in Ghana
51
Column 14. Community Maintenance Training
In Sierra Leone, roads that connect rural communities are known as feeder roads. According to
the decentralization policy set after the civil war ended in 2003, the Road Authority (the central
government level) has jurisdiction over the first road rehabilitation, while the Local Councils (the
district level) take charge of maintenance works after the handover by the Road Authority. As the
majority of feeder roads are paved with gravel and earth (laterite), maintenance is crucial to road
operation. The maintenance budget is allocated by the Ministry of Finance to each district. Full-scale
maintenance works are scheduled to start in 2012 with technological cooperation from the Road
Authority. However, because the labour and capacities provided at the Local Council level are
limited, the technical matters of how to deal on-site works are looming large as an issue. As for the
Regional Development and Empowerment Project currently under way in Kambia District, as part of
JICA’s technological cooperation project (2009–14) for improving the capability of district officers
and engineers from the Road Authority, a pilot project for establishing a road maintenance system in
the district is being implemented
The Feeder Road Policy enacted in 2011 calls for the active employment of community
members and the adoption of LBT technology based on which local people are to be employed to
establish the maintenance system. For instance, the Local Councils make a contract with a
Community-Based Contractor (CBC) for a 5–7-km length of rehabilitated roads. The CBC consists
of a group of three local people and is chosen by the Road Authority and the Local Councils under
the recommendation of members of the community. Because the CBC members are people living in
villages along side roads, most of them do not have sufficient knowledge of maintenance works.
Since training including on-the-job training is crucial for CBC members, the training fees and the
provision of work tools are included in the road-rehabilitation contract. Under the contract, an agent
gives training seminars during the work period and for 10 days after the work has been completed.
After the work is finished, the trained CBCs carry out the routine maintenance along with local
people living in the villages along the roads. Because the Local Councils are the only organization
that can link the villagers with the technology, this method is accepted favourably by the District
Councils as a meaningful activity.
Community Maintenance Training Scene
52
6. LBT Project Evaluation (Component 5)
The evaluation methods for LBT projects are no different from those seen in conventional infrastructure development projects. Project evaluations are conducted in accordance with the New JICA Guidelines for Project Evaluation (reference [iii]). Evaluations are based on the PDCA cycle using the Development Assistance Committee’s (DAC’s) five criteria: relevance, efficiency, effectiveness, impact, and sustainability.
6.1 Project Evaluation Timing
LBT project evaluations are conducted in three phases:
a) Pre-construction evaluation (the preparation phase); b) Construction evaluation (the project implementation phase); and c) Post-construction evaluation (the post-construction phase).
Let us examine each of these evaluations in greater detail.
6.2 Pre-Construction Evaluation (Preparation Phase)
The pre-construction evaluation, which takes place during the preparation phase, will be substituted with baseline surveys (refer to section 4.3) designed to facilitate the formulation and design of the LBT project plan. Accurately measuring and recording the status of the community before the start of the LBT project is important in order to assess post-project effects (mainly project impact). If the project involves minor repair works on existing gravel roads, the impact on the environment is negligible. Therefore, many countries do not require such small-scale LBT projects to be subjected to an Environmental Impact Assessment (EIA). Nevertheless, if the projects are conducted under JICA, countermeasures to ease environmental impact and environmental monitoring plans must be examined as part of the application procedure after conducting an Initial Environmental Examination (IEE) from both environmental and social perspectives. For details of IEE, please refer to the literature (reference [iv]).
Column 15. Assessment of Community Training
There is no standard analytical method for evaluating the effects of community training. The
assessment is performed by comparing a community that has received training (the
experimental/pilot community) with those that have not (the comparison communities). One method
is to prepare questionnaires, and then apply statistical analysis by comparing or examining
statistical tests (the quantitative method). The other method is to call together people from the
experimental community and the comparative communities in meetings chaired by a specialist and
ask for their opinions on the effect of the measures or the factors involved with them in order to
compare the findings (the qualitative method).
A specialist in research and evaluation units in Afghanistan notes:
“Communicating with villagers is quite difficult. They begin to see the
intention of questions only after having had meetings several times. Only
then do they start to speak their minds. As for an evaluation of
communities’ sense of unity, a case study that would record the in-depth
qualitative assessment and all actual facts would be suitable.” Community scene
53
6.3 Construction Evaluation (Project Implementation Phase)
Evaluation during construction is conducted using simple methods. Field surveys and interviews are conducted to identify and evaluate the state of the construction schedule, costs, work quality, safety management, the community and other project risks. In principle, the evaluation method and sampling format are required to comply with the same ones utilized in the relevant country for works. However, if the methods and formats are inadequate or incomplete, please refer to the LBT project work management and monitoring guidelines that were developed by the ILO in conjunction with other organizations (references [4] and [7]).
6.4 Post-Construction Evaluation (Post-Construction Phase)
(1) Evaluation Procedures A post-construction evaluation is to be conducted between 6 to 12 months after the
completion of construction, at which point the six steps described below are carried out.
1) Examine differences and changes that have occurred since construction, using the same evaluation criteria for the baseline survey that were applied at the beginning stage of the project.
2) Based on the survey results, perform an analysis of the state of economic improvement, the vitality of community activity and the contributions to living standard upgrading.
3) In addition to the works evaluation, conduct interviews with community leaders regarding the state of community activity.
4) Conduct a field survey to confirm the current condition of roads including interviews with community and government representatives regarding road maintenance.
5) Compile the results and facts found from the survey as the project evaluation report. 6) Ensure that the compiled project findings and issues are disseminated so that they
can be utilized for new LBT project formulation.
(2) Post-Construction Evaluation Report The post-construction evaluation report will consist of:
1) A project outline report (road length, width, gradient, structures, construction period, total cost and number of labourers);
2) A project evaluation report (positive and negative effects); and 3) Recommendations and conclusions (feedback and project findings).
A sample of a Project Outline Sheet is shown in the appendix of documents (Appendix 3).
54
Column 16. “Shitomi Road”, the Community Road Improved by
Japan Overseas Cooperation Volunteers (JOCV)
Ms. Yoshie Shitomi, a member of the Japan Overseas Cooperation Volunteers (JOCV) (third
batch of FY2008, as Community Development), was sent to the Appropriate Technology Training
Institute (ATTI), an LBT Training Institute in Rungwa District, Tanzania. One day she was consulted
by the villagers of Ipagika, located near the ATTI, who said that they could not access markets for
their produce (mainly bananas) because the road was in too poor condition for trucks to pass. They
asked her to lend a helping hand in repairing the road. Shitomi immediately took action to help them.
She and the villagers negotiated with the ATTI on the condition that the village would be responsible
for the labour and materials, and successfully concluded a deal whereby the ATTI would offer
cooperation in terms of technical support and provide necessary work tools.
The work started during the farmers’ off-season. All villagers participated in road rehabilitation,
and in April 2010, after about two months’ work, repair of 730 m of road was completed. After the
road was improved, a wholesaler’s truck was able to access where villagers brought their bananas,
and the purchasing price rose by approximately 20%. The work had been hard, but their lives had
been vastly improved because of the good condition road. (The road along which bananas are
carried to market every day is now called “Barabara ya Shitomi” or the “Shitomi Road” by the
villagers.) Another request for cooperation then came from the people of a neighbouring village who
had heard about Ipagika village’s success story. Because supporting the works in the last project
had been a relative financial burden for the ATTI, materials and tools for new projects were partially
supported by JICA’s Tanzania office, and then another road was successfully repaired.
Although people want to repair roads so as to improve their communities, they just do not know
how to maintain them. When Shitomi saw how much the villagers celebrated to see the improved
road, she hoped that all the people of Tanzania could realize that they could maintain roads even by
themselves with the support of some basic technologies or funding.
Repair work on a community road, done by Ipagika villagers
55
7. Towards the Further Application of LBT
This chapter presents an outline of issues that need to be addressed to ensure the appropriate application of LBT in future JICA projects.
(1) Catering to a Variety of Objectives The guidelines were developed with a focus on the appropriate introduction of LBT
in community development projects. Therefore, discussions on the transfer of technology to government administrators to ensure continuous infrastructure development are only a supplementary factor. In developing countries, where LBT is relatively well known, the introduction of LBT for infrastructure development (including for regional roads) has been addressed in infrastructure policies. Thus, application of LBT in such infrastructure development projects should be investigated. It is necessary to develop another LBT application approach to achieve efficiency to meet a wide variety of objectives.
(2) Development of Risk Management Methods The main driving forces behind LBT projects tend to be small-scale contractors and
community members with limited equipment and experience. Thus, in comparison with EBT projects, LBT projects face greater risks, such as delays and non-fulfilment. The guidelines briefly address risk management. But to ensure that all related parties (such as implementation bodies, consultants and contractors) can introduce LBT with confidence, further determination of appropriate risk management methods is required together with a consideration of comprehensive risk management approaches.
(3) Accumulation of LBT-Implementation Case Studies As mentioned above, consensus building and construction management are essential
to the success of LBT projects. Therefore important lessons can be drawn from events occurring in the project process. To establish LBT implementation methods appropriate for JICA projects, it is necessary to collect and compile additional case studies of LBT projects undertaken by JICA. To do this, JICA needs to accumulate information pertaining to the tasks involved, implementation progress, implementation methods, problems encountered and lessons learned in various projects. This information must then be stored in a database that is regularly updated with reference to these guidelines to ensure that the information can be consulted when necessary.
56
References
[1] “Taking the use of Labour Based Technology to Scale, The Programme Document”, Ministry of Works, The United Republic of Tanzania, 2003.
[2] “Evaluation of Labor-Based Road Work Methods”, Satoshi Ogita, ADB, 2010.
[3] “Assessment of Feasibility of Labour-based Technology”, in Labour-based Construction Programs, WB, 1983.
[4] “Building Rural Roads”, Bjørn Johannessen, ILO, 2008 (ILO Manual).
[5] “Expanding Labour-based Methods for Road Works in Africa”, Elisabeth A. Stock and Jan de Veen, WB, 1996.
[6] “Community Contracts in Urban Infrastructure Works”, Jane Tournée and Wilma van Esch, ILO, 2001.
[7] “Manual for Supervision of Labour Based Road Rehabilitation Works”, Simon Tembo and Frans Blokhuis, ILO, 2004.
[8] “Labour Based Road Rehabilitation and Maintenance Training Manual”, ATTI (Appropriate Technology Training Institute), Ministry of Works, The United Republic of Tanzania, 2003.
[9] “Guideline Low-Volume Sealed Roads”, SATCC, 2003.
[10] “Local Resource-Based Approaches for Infrastructure Investment: Source Book”, ILO, 2010.
[11] “Contractor’s Handbook for Labour-Based Road Works”, Roads Department Training School, Roads Department, Ministry of Works and Supply, Republic of Zambia, 2004.
[12] “Increased Application of Labour-Based Methods through Appropriate Engineering Standards, Guideline for Quality Assurance Procedures and Specifications for Labour-Based Road Works”, ILO/TRL/DFID, 2005.
[13] “Labour Based Roadworks Technical Manual, Volume IV: Contract Forms”, Ministry of Works, The United Republic of Tanzania, 2007.
Japanese Documents
[i] “Medium Term Policy on Official Development Assistance” (February 2005).
[ii) “Effectiveness of Labour-Based Technology (LBT) as a Road Construction Methodology in Developing Countries”, S. Hanaoka, T. Tokunaga, T. Kawasaki (March 2010).
[iii] “New Guidelines for Evaluation of Projects”, JICA (June 2010).
[iv] “Guidelines for Environmental and Social Consideration”, JICA (April 2010).
[v] “The Project for Capacity Strengthening of Labour Based Technology (LBT) at ATTI, LBT Application Survey”, Ministry of Infrastructure Development, Appropriate Technology Training Institute, Japan Engineering Consultant Co., Ltd., JICA (March 2009).
57
Appendix: Materials
Appendix 1: Implementation Status of LBT in Developing Countries Taken from Literature Research
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Botswana ―
1999 Low-cost pavement with asphalt for 520 km.
NORAD / Technical verification and investigation by ILO.
2002 Socio-economic impact study. ―
1980s- 1995
Improvement and maintenance of provincial roads.
WB, NORAD, SIDA, etc. /Project management, implementation of training.
1999 Road improvement and maintenance.
NORAD / Advice for project management, technical verification, participation in the task force.
Burkina Faso
Special Public Works Programme
Early 1980s
― (No description) / Carried out LBT in rural and urban districts.
― 1990s
Carried out erosion prevention work, water discharge, market development and road paving work in the second city, Kaya, utilizing urban LBT.
WB / Developed “Go to Scale (application expansion)” programme.
Burundi ― 1980s Improvement and maintenance of community road for 200 km.
UNDP, Belgium, KfW / Provided crosscutting support to government.
Congo
― 1991
In “Feeder Roads Programme”, improved sand ground, provided gabion, training for community representatives and carried out pilot construction work of small bridge maintenance.
UNDP, WB / Technical guidance and dispatch of experts.
National Programme for the Re-launching of the Agriculture and Rural Sector
1997 Five-year plan aiming to secure food, reduce poverty, store food and promote settlement.
UNDP / Technical guidance (in cooperation with UNPOS and FAO).
58
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Cote d’Ivoire
― ―
Provided training for local governments and small-scale construction companies in accordance with the decentralization policy.
―
Democratic Republic of Congo
― 2005-2006
As an organization across ministries and agencies, supported newly established employment and investment policies.
UNDP, WB / As an organization across ministries and agencies, supported newly established employment and investment policies. Held training for small contractors and local training institutions.
― 1991
In “Feeder Roads Programme”, improved sand ground, provided gabion, training for community representatives and carried out pilot construction works for small bridge maintenance.
UNDP, WB / Technical guidance and dispatch of experts.
National Programme for Re-launching of the Agriculture and Rural Sector
1997 Five-year plan aiming to secure food, reduce poverty, store food and promote settlement.
UNDP / Technical guidance (in cooperation with UNPOS and FAO).
― ―
Support end road training school and carried out demonstration construction works in 3 provinces around the capital.
―
Ethiopia
― ― Put the effect of LBT on poverty reduction in statutory form.
―
Ten-year road sector development programme
― ― WB, DFID, EU /
― 1981-1987Supported the establishment of the LBT Rehabilitation Team.
WB Support /Technical guidance.
― 1997 Road improvement works in Tigray, South Wollo Zone.
Italian Government / Technical guidance, capacity development.
59
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Ethiopia
ERTTP (Ethiopian Rural Travel and Transport Programme)
2002 Implementation of test case at 8 locations nationwide.
UK, Ireland Aid / Developed ERTTP Manual and promoted ERTTP.
― 2002
Utilized LBT in urban infrastructure in Amhara province.
Amhara Region / Technical guidance.
― ―
Introduction of LBT on the curriculum of Addis Ababa University.
―
Ghana
― 1986
Planning/operation/manage-ment upgrading skilling programme for the Department of Feeder Roads.
―
Ten-year National Feeder Road Rehabilitation and Maintenance Programme
― ―
WB / Technical guidance, development of training programmes.
― 1992
Collaborative research with Kumasi Institute of Technology (including evaluation of LBT contractors, quality evaluation of construction sites and LBT training).
Guinea ―
1992 Implementation of rehabilitation of feeder roads for 2,000 km.
WB / Provided training for construction management personnel and small contractors through 160-km constructions. Dispatched 5 experts including Chief Training Advisers.
1995 Secured sustained employment through LBT.
European Development Fund/ Technical guidance, training.
1999
Continued the above-mentioned project (5 years)
EU / Technical guidance, training.
60
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Kenya
The Poverty Reduction Strategy Paper, Road 2000
Early 1990s
Classification of domestic roads considering economic efficiency, road maintenance and use of LBT.
DANIDA, France, SIDA, EU, ADB / Review of strategy, formulation of national strategy, etc.
Strategy for economic and social recovery
― Job creation by utilizing LBT in infrastructure projects.
UNDP, ASIST / Review and standardization of technical manuals, etc. towards “Roads 2000”.
Rural Access Roads Programme (RARP)
1974-1985 ― ―
Minor Roads Programme (MRP)
-1994 Continued the RARP programme.
National Forum Group on Rural Transport and Development (NFG)
― ― ―
― 1990s Established the LBT Training Course in Kisii Training Centre (KTC).
SDC, SIDA / Establishment of LBT Training Course (preparation of teaching materials, etc.).
― ― Application of LBT for the urban poor.
KTC and others / Training for construction administrators, etc.
Lesotho
― 2000-2002Application of LBT for the urban poor.
Grant assistance by Japan /Technical guidance (in cooperation with UNDP, etc.).
― 1977
Applied LBT as a measure to deal with a mine closure and returnees from South Africa.
Implementation of technical guidance by ILO.
― 1993 Technical training for small contractors.
WB, SIDA / Technical guidance.
Road Rehabilitation and Maintenance Project (RRMP)
1997
Improvement of road network by means of LBT and capacity-building programme for government officials.
IDA, EU, Irish Aid, KfW / Development of training materials, implementation of training, etc.
61
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Madagascar
― 1992 Implementation of LBT as a measure to recover from cyclone damage.
UNDP, UNICEF, WHO, EU/CARE, UNCDF / Training for small contractors and support of entry into the construction market.
― 1980s- -1999
Application of LBT in designated areas aiming for poverty reduction and job security.
UNDP/
― 1995-2003Improvement and maintenance of road in Anirabe province.
NORAD, EU, GTZ, WB / Provided training for small contractors and policy advisers. Maintenance of road by road users, preparation of training materials, research and report on the working environment, etc.
Malawi
― ― Implementation of training for small contractors.
WFP, EU, MASAF / Training for small contractors, support of ordering agencies.
― 1990s- Application of LBT for the improvement of local roads.
Cartography based on socio-economic survey results, organization of various issues, development of sustainable planning method, capacity building, development of integrated transport means, etc.
Mali ― 1990s-
Forestation project in Kita Province.
NORAD, UNDP / Capacity building.
― 1998 Phase 3 of the above-mentioned project.
―
Mozambique
― 1981-2002
Feeder Road Improvement Programme (improvement of access, improvement of capability to respond to decentralization as well as to policy planning/review and job security).
DANIDA, UK, NORAD, SIDA, UNCDF, UNDP, USAID, WFP/ Dispatch of 7 experts and 26 advisors to 9 to 10 provinces.
― 2003 Comparative study between human labour construction and mechanized construction.
―
62
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Namibia
― 1997-1999Support in policy planning related to the application of LBT.
1997 Green Paper, 1999 White Paper, Implementation of LBT Forum by NGO organization.
― 1992-1996
Application of LBT for road improvement to create employment after independence.
Carried out pilot construction work at two locations, training for contractors and experimental implementation of technical guidelines (plan).
― 1996
Namibia government implemented LBT project by using consultants. The government supported contactors to reduce the number of government officials.
―
― 1999 ― Technical assistance to establish an Employment Policy
Sierra Leone
― 1992-1995Improvement of feeder roads in Moyanba Province.
DANIDA, EU, Italy, UNCDF / Technical guidance for 200 km and training.
― 1992-1995
Continued the above-mentioned programme by expanding the application of LBT in Kambia, Port Loko and Tonkoli provinces.
Technical guidance for 360 km and training.
Agriculture Sector Support Programme (ASSP)
1997 ― WB (Agriculture Dept.) / Technical guidance
― 1998 12-month period emergency assistance for agriculture and local infrastructure sector.
WB / Handled “Spot Improvement of feeder roads and small bridges”.
South Africa
Expand Public Works Programme(EPWP)
2004
Infrastructure development in undeveloped areas, job creation through LBT and capacity-building programme.
Government of South Africa / Support to develop implementation strategies, technical guidance and network building among stakeholders.
63
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
South Africa
― 2001 Improvement and maintenance of gravel road in Gundo Lashu Province using LBT.
Government of South Africa, DFID / Technical guidance and training.
― ― Introduction of LBT course in collaboration with Natal University.
―
Sudan
― ―
Reconstruction of infrastructure by internally displaced people (IDPs) and peace-building support.
USAID / Development of LBT training programme, training for construction administrators.
― 1997 Road improvement by LBT in South Darfur Province.
UNCDF, UNDP / Technical guidance, implementation of training.
Tanzania
Taking Labour-Based Technology to Scale
2004 LBT application expansion programme.
ILO supported the development of the programme.
Integrated Roads Project (IRP)
1986-1991Road maintenance programme in Tanga and Mbeya provinces.
―
―
1992 Road maintenance programme in Kilimanjaro Province.
WB, UNDP, USAID / Implemented by NCC under the technical assistance of ILO.
1988-1994
Demonstration of LBT road maintenance with participation of community members in Rukwa Province.
NORAD /
Makete Integrated Rural Transport Project (MIRTP)
1993-1998LBT Promotion Project in Makete Province.
SIDA / Transport demand survey, evaluation of support field, improvement of feeder roads and construction of an equipment maintenance plant.
― 2004
Use of LBT and capacity development as employment promotion measures targeted to the urban poor, release of child labour and establishment of appropriate working environment.
Implementation of training for ordering parties (Dar es Salaam City, etc.) on the contracting methods with small contractors, monitoring and planning.
64
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Tanzania
― 1987-2000
LBT construction work with participation of community members in Hananasif, Dar es Salaam (unplanned residential district).
UNDP, Ford Foundation / Technical guidance.
― 1987-1999Irrigation project in Pemba Province.
EU
― 2004
Comparison between LBT and EBT with regard to completed or ongoing feeder roads.
―
― 2006-2011
Project to improve training capacity for ATTI, which is an LBT training institution.
Implemented by JICA / Co-sponsored by LBT Promotion Seminar.
Togo ― 1999-2001Urban facilities renewal project.
UNDP / Capacity building, implementation of training.
Uganda
― ― ―
Training for core human resources (such as people responsible for contract management).
― 1995 Feeder Roads Improvement Project.
WB, NORAD / Technical training for small contractors.
Support for the Labour-Based Policy Production Committee(LAPCOMM)
1997
Incorporated LBT into the national strategy using local resources for development planning.
DANIDA
Labour-Based Technology in Roadworks: The Macro- Economic Dimension (study)
1998 Comparative study of LBT and EBT focused on the economic efficiency of LBT.
Implemented by the ILO.
Masulita Development Plan
1993-1997Infrastructure development in urban areas.
DANIDA / Technical assistance.
65
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Zambia
― 1987-1994
Application of LBT aiming for job security in the northern area and the maintenance of feeder roads.
NORAD / LBT practical training in Kasama.
― 1991-1993
Improvement and maintenance of provincial roads in Lusaka Province.
Finland /
― 1960s Establishment of a road technical training institute.
―
― 1996-2001Feeder Roads Project in Eastern Province.
UNCDF, UNDP/
― 2004 Development of the contractor registration system.
―
Labour-Based Rural Rehabilitation and Maintenance Project
1998 Implementation of LBT in urban area (unplanned residential district).
UN / Guidance on waste disposal and water supply technologies (in cooperation with Ministry of Local Government and Housing [MLGH] and Lusaka City Council [LCC]).
― 1996-1997
Implementation of LBT in the unplanned residential districts in Livingstone and Copper belt provinces.
WFP /
Zimbabwe
― 1991
Application of LBT for promoting employment and outsourcing of government tasks.
DANIDA, SIDA / Technical guidance.
― 1995-1996 ― SIDA / Technical guidance.
― 1996 ― ―
Iraq
― 2004
International held conferences on the subject of employment, verification of the evaluation of re-construction and improvement work carried out by the UN.
―
― 2005
Workshops held on infrastructure investment and improvement of employment with participation of donors.
―
― 2005 Individual meetings of the UN and WB held in the above-mentioned workshop.
―
66
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Bangladesh
― Early 1990s
―
Technical guidance conducted jointly by Local Government Engineering Department (LGED) and the ILO.
― 2001 ―
ADB / Policy advisor for infrastructure development in rural areas.
― 2002 ―
DFID / Evaluation of employment promotion implementation programme.
Cambodia
― 1970- Introduction/promotion of irrigation-related LBT by the ILO.
― 1992-
Use of LBT to assist in the return of IDPs and to ensure access to the food supply point.
―
― 1998
Project aiming for capacity building to apply LBT as a means of regional development.
Developed and implemented at the initiative of the ILO (ILO Technical Assistance to the Labour Based Rural Infrastructure Works Programme).
―
2006
Implemented a project to demonstrate that LBT has a direct effect on poverty reduction, and about effective budget management under the policy of decentralization.
ADB’s Japan Fund for Poverty Reduction (JFPR) /
― ― Demonstration to verify the direct effect of LBT on poverty reduction.
ADB /
― ― Application of LBT in urban areas.
―
India
― 1981
Applied LBT as a measure to reduce poverty by ensuring employment in the field of infrastructure development of rural areas, water development, afforestation, soil improvement, irrigation, etc.
―
67
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
India
Centrally funded large scale country-wide programme (PMGSY)
―
An investigation conducted by the WB in 2002 reported that road maintenance was important, and in response to this capacity building and selection of measures for securing permanent employment, etc. were implemented.
WB, ADB, NABARD /
― ―
Implementation of training aiming for local development and governance in Orissa Province.
DFID / Implementation of training, development of manuals/guidelines.
― ―
Enacted a law that guaranteed employment of 100 days/year for households in rural areas and applied LBT accordingly.
Under the guidance of ILO, established a guideline to engage in water conservation and flood management.
― ―
Reflecting the past LBT efforts of the ILO, developed a road maintenance programme for the target year 2025.
―
Indonesia
― 1993
Expanded the application of LBT and local road maintenance project.
WB /
Integrated Rural Accessibility Planning (IRAP)
2001
Use of LBT proceeded, as job security had become a matter of urgency due to the influence of the Asian economic crisis.
Support of strategic planning for job security/poverty reduction by expanding application of LBT, support of rural infrastructure development in collaboration with Gadjah Mada University against the background of the decentralization policy, holding workshops, etc.
The Advisory Support, Information Services and Training Programme Asia-Pacific (ASIST-AP)
2001 Held workshops. Rural Infrastructure Coordination Forum held by ASIST-AP.
68
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Indonesia
― 2002 Held workshops. Rural Infrastructure Coordination Forum held by ASIST-AP.
― ― Prepared for a workshop scheduled to be held in 2008 on national strategic planning.
Conducted a comprehensive survey for the optimal efficiency of IRAP in rural infrastructure improvement in three provinces: Maluku, Papua and NTT.
Laos
― Early 1980s
― ILO started providing assistance to Laos.
Shifting Cultivation Stabilization Pilot Project (SCSPP)
― Pilot construction work of two routes in Houaphanh Province.
ADB / Technology research and design, supervision/guidance of road construction contract, and capacity building and technical training for the local government through ASIST-AP.
Integrated Rural Accessibility Planning (IRAP)
1997 Implemented IRAP aimed at the development of local access.
UNDP, SIDA / Training of government officials, update of database/map information, built a system for local community participation and a framework for local road maintenance.
― ― ―
Developed comprehensive strategic plan regarding road maintenance and improvement in Savannakhet and Oudomxai.
― ―
Held workshops (re-evaluation of the plan for access to rural areas based on an evaluation by multiple sectors).
―
Nepal
― 1996-2000Application of LBT for the improvement of local roads.
ADB / Strengthening of institutional and technological capacity, development of a sustainable long-term plan and documentation of these processes as guidelines.
69
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Nepal
― 1999 Legislation for the local government and the promotion of decentralization policy.
Technical assistance and training for capacity building by the ILO.
― 2000 Review of national strategic planning policy.
DFID / Coordination of donors and creation of a framework, holding workshops and creation of IRAP (Nepal version).
Employment Intensive Investment Programme (EIIP)
2009 Improvement of poor living conditions caused by conflicts.
Netherlands, WB / Technical guidance for EIIP, Integrated Rural Accessibility Planning (IRAP), LBT technology, Small Scale Construction (SSC) and Integrated Maintenance System (IMS).
― ― ― Developed a process for implementing the Transport Master Plan.
Mongolia
Informal Economy, Poverty and Employment Project(IE)
―
Implementation of IE Project in Batsumber and Jargalant soums and the development of an approach to create a Mongolian version of IRAP.
―
The National Sustainable Livelihood Support Programme
―
Although the programme required the local government to develop planning of the necessary infrastructure such as road bridges, reconstruction of schools, water supply and improvement of medical centres, their planning capacity was limited and therefore IRAP was provided as a tool for policy decisions.
―
― 2005 Activities of ASIST-AP.
Held two workshops: (1) capacity building to develop plans to improve access in rural areas and the capability to create maps; and (2) for the same trainees described in (1), upskilling for data analysis, prioritization of challenges and making proposals for projects.
70
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Pakistan
Community- Based Livelihoods Recovery Programme for Earthquake Affected Area
― Life rebuilding support project in the earthquake damage area.
EU / Repair and redevelopment of local roads.
― 2007 Earthquake reconstruction programme in Azad Jammu and Kashmir.
WB, DFID / Technical guidance in three fields: skill development, reconstruction of rural infrastructure and job creation. Dispatch of experts for 2.5 months.
― ― Job security in local road maintenance.
Held workshops in the field to which the ILO could contribute, provided EIIP course training for ministry officials at the ILO Headquarters.
Philippines
― 1971-1973 Levee maintenance. ―
Integrated Rural Accessibility Planning (IRAP)
1989- Financial support by IRAP (initially 3 provinces and currently all provinces).
SIDA, USAID, Netherlands / Support to National Infrastructure Committee, Ministry of Labour and Employment and Ministry of Public Works’ LBT promotion policy.
Philippines Rural Infrastructure Projects (PRIP)
1981-1985LBT road maintenance in accordance with PRIP.
WB / Technical guidance.
Study of Labour-Based Equipment Supported Road Construction
1984-1985Comparison between human labour construction and mechanized construction.
USAID / Analysis using the data of the above project.
Second Rural Roads Improvement Project
1986 LBT road maintenance according to the SRRIP.
WB / Technical guidance.
71
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Philippines
Central Labour-Based Advisory and Training Team (CLATT)
1988-1990
Aiming to improve the severe working environment, (1) designed an institutional arrangement, (2) held LBT training nationwide and (3) created dedicated departments in government agencies.
UNDP /
Solomon Islands
Community Infrastructure Rehabilitation Project (CIRP)
― Emergency road reconstruction programme for 10 km.
Grant assistance by Japan /Technical assistance (in cooperation with UNDP).
Sri Lanka
― 2004
Evaluation of the local government’s capacity to respond based on the decentralization policy.
ASIST-AP / Capacity evaluation, practical training, manual development, demonstration.
― ― Implementation of IRAP in Ampara Province.
UN, EU / Technical guidance.
Thailand
― 1969
Ratified the ILO’s new agreement of employment and carried out many LBT projects.
Technical guidance and training by the ILO.
The Eighth National Development Plan
1997
Following the Asian economic crisis, government agencies and universities in Thailand worked together in carrying out ASIST-AP.
―
― 1999 ―
Study of construction unit prices for a programme implemented by the Social Fund Office, development of standard design.
― 1999 ―
Developed necessary technical guidelines in collaboration with Thammasat University based on the decentralization policy.
― 2001 ―
Revised/updated the guidelines in collaboration with Khon Kaen University and Chiang Mai University.
72
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Vietnam
Integrated Rural Accessibility Planning (IRAP)
2001 Development of a rural infrastructure planning method (Vietnamese version of IRAP).
Supported by ILO budget /Survey of local government’s capacity to proceed with infrastructure planning. Development of IRAP in two provinces through ASIST-AP.
― 2001
Local government’s ordering systems must be highly transparent, as they were shifted from a conventional direct management method to a private commission system in accordance with the decentralization policy.
Reviewed the current procurement system.
― 2002 Broad maintenance project.
WB / Capacity evaluation and trading for domestic contractors and ordering agencies.
Timor-Leste
Work for Peace Project
―
Application of LBT to provide non-employed young people in rural areas with day-labour jobs.
―
Azerbaijan
― 2005
Application of LBT aiming for job creation and local development and to support IDPs.
Demonstration of LBT through road improvement in Goshakend.
― 2006 ―
Demonstration aiming for technical acquisition and spreading education.
Argentina
Employment- Intensive Investment Programme (EIIP)
―
Reviewed public investment policy to deal with employment issues that had been recognized as social problems caused by effect of the default on the economy.
Developed a public investment improvement plan through EIIP.
― 2003
Promotion of measures to open markets for small contractors through EIIP that had been developed as above.
―
73
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Bolivia
Promotion of Employment Intensive Technologies in Public Investment in Bolivia, Ecuador and Peru
1998
Sought to increase possible application of EIIP in Bolivia, Ecuador and Peru through activities to promote the EIIP concept.
DANIDA / Technical assistance to Rural Road Programme (RRP). Seminars/Workshops.
Colombia ― 1984 The ILO initiated a road maintenance project.
―
Ecuador
Promotion of Employment Intensive Technologies in Public Investment in Bolivia, Ecuador and Peru
1998
Sought to increase possible application of EIIP in Bolivia, Ecuador and Peru through activities to promote the Employment-Intensive Investment Programme (EIIP) concept.
DANIDA / Technical assistance to Rural Road Programme (RRP). Seminars/Workshops.
El Salvador ― ―
Examined the introduction of ELIP, as it was required to create employment in public works for reconstruction from earthquake damage.
Conducted a study in the field of public works suitable for LBT and a study of the legal system for contracting projects of various scales, and implemented pilot construction works in several municipals.
Guatemala
― 2005 Applied LBT to assist in recovery from damage caused by Hurricane Stan.
FAO, IMO, WFP, UNDP, and others / Technical assistance, management of 106 issues, employment of 150,000 in total and support of 5,000 households.
― 2006 ―
Labour experts from the ILO supported LBT companies in cooperation with UNDP. Supported the formulation of national basic policy for labour. Held seminars targeting high government officials.
― ―
Programme to support LBT operators aiming to promote the decentralization policy.
LBT technical training, provision of market information, etc.
74
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Haiti
― 2004
Job creation in Gonaives as a measure to recover from hurricane damage.
ILO, UNDP, WFP /
― 2006 Demonstration. UNDP, WFP, ILO / Technical assistance.
Employment Intensive Investment Programme (EIIP)
2007
Phase 2 of the above-mentioned programme based on EIIP support. It is expected that EIIP will improve the technical capability, organizational capability, bargaining capability and management capability of small contractors.
ILO, UNDP, WFP
Honduras
― 2003 Implementation of pilot construction work.
WB / Report on the following themes: (1) evaluation of impact on small-scale operators; (2) evaluation of small-scale operators’ implementation capacity; and (3) evaluation of small-scale operators’ capability to participate in the project.
Rural Infrastructure Project (PIR)
―
LBT was to be applied in 3 fields that were the focus of PIR (local roads, water supply and hygiene).
―
― ―
Focused on economic management and cultural development aiming for the achievement of Millennium Goals.
Spain / The ILO supported developing plans and technical guidance, respectively, to economic governance targeting the improvement of water supply and hygiene in rural areas, and to cultural development targeting improving access to and conservation of historic buildings.
75
Country
Policies, legal systems and approaches to LBT implementa-tion
Year of imple-mentation
Contents and size of LBT project
Support organization (country) / Roles of ILO
Nicaragua
― 1999
Applied LBT as a means to recover from damage caused by Hurricane Mitch. Job creation, economic recovery and poverty reduction were expected through the application of LBT in a 2-year project.
―
― 2008
Development of basic infrastructure to improve the environment in areas where the coverage of the water supply system was less than 20%, and to promote tourism aiming for the achievement of millennium goals.
―
Paraguay
― 2007 Concluded a contract with the ILO to encourage job creation through EIIP.
WB / Evaluation of economic impact of LBT, support for the development of legal systems and technical assistance.
Integrated Rural Accessibility Planning (IRAP)
―
Conducted a study on rural transport in Paraguay and introduction of IRAP by International Forum on Rural Transport and Development (IFRTD).
―
Peru
Promotion of Employment Intensive Technologies in Public Investment in Bolivia, Ecuador and Peru
1998
Sought to increase possible application of EIIP in Bolivia, Ecuador and Peru through activities to promote the EIIP concept.
DANIDA / Technical assistance to Rural Road Programme (RRR). Seminars/Workshops.
76
Appendix 2: C
omparison of L
BT
Implem
entation Methods
77
78
Sources: references [5] and [6].
79
Appendix 3: A Sample of a Project Outline Sheet
(1) Project name Description (2) Outline of the
project
Highest goals Goals of the project
Expected outcome Contents of the project
(3) Outline of the
community
Location Characteristics of the village/urban area
Population of the target community
Structure of sub-community
Land features
Land use Major facilities located
(4) Planned position Planned position of the community
Related project (5) Road traffic
planning
Function of the road network
Planned road width Transverse structure Road length Type of pavement Incidental construction
(6) Description of
work
Construction period Construction cost Builder Labour input Equipment to use and the method of procurement
Materials to use and the method of procurement
(7) Traffic volume Before improvement Cars Trucks Buses Motorcycles
Bicycles
Pedestrians
After improvement Cars Trucks Buses Motorc
ycles Bicycle
s Pedestrians
(8) Relocation of
community members
Impact of relocation of community members
(9) Environmental
friendliness
Impact on natural ecosystem
Special instructions
80
Appendix 4: Example Maintenance Plan Format
(Routine Maintenance Plan Achievement and Report, Labour Based Roadworks Technical Manual,
Annexes E2 .3, Ministry of Works, The United Republic of Tanzania, 1997.)
81
Appendix 5: Contents of LBT-Related Manuals
5-1. Building Rural Roads (ILO)
URL:http://www.ilo.org/asia/whatwedo/publications/WCMS_100216/lang--en/index.htm
82
INTRODUCTION CHAPTER 1 PLANNING AND PREPARATION OF WORKS 1.1 Planning Framework 1.2 Key Features of a Plan 1.3 Road Selection 1.4 Selection Criteria 1.5 Design Standards 1.6 Technology Choice 1.7 Road Inventories 1.8 Planning and Estimating Works 1.9 Design Process 1.10 Road Alignments 1.11 Quantity Surveying 1.12 Time Management Planning 1.13 Cost Estimating 1.14 Tendering Stage 1.15 Works Implementation CHAPTER 2 SURVEYING AND SETTING OUT 2.1 Selecting the Road Alignment 2.2 Tools for Surveying and Setting Out 2.3 Horizontal Alignment 2.4 Vertical Alignment 2.5 Setting Out Cross Sections CHAPTER 3 TOOLS AND EQUIPMENT 3.1 Importance of Tools and Equipment 3.2 Quality of Tools 3.3 Characteristics of Suitable Hand Tools 3.4 Maintenance and Repair of Hand Tools 3.5 Construction Equipment 3.6 Maintenance of Equipment CHAPTER 4 CLEARING 4.1 Site Clearing 4.2 Bush Clearing 4.3 Tree and Stump Removal 4.4 Grubbing 4.5 Boulder Removal
CHAPTER 5 EARTHWORKS 5.1 Definition 5.2 Construction Principles 5.3 Calculating Volumes 5.4 Organizing the Excavation Works 5.5 Embankment Construction 5.6 Side Drain and Camber Construction 5.7 Transporting Materials 5.8 Rock Excavation 5.9 Slope Stabilization CHAPTER 6 GABION WORKS 6.1 Introduction 6.2 Size and Specifications 6.3 Assembling the Cages 6.4 Common Layouts for Structures Using Gabions
6.5 Drainage Structures 6.6 Bank Protection CHAPTER 7 DRAINAGE 7.1 Overview 7.2 Road Surface Drainage 7.3 Side Drains 7.4 Mitre Drains 7.5 Scour Checks 7.6 Catch-water Drains 7.7 Culverts 7.8 Drifts 7.9 Vented Fords CHAPTER 8 CULVERTS 8.1 Introduction 8.2 Culvert Location 8.3 Setting Out 8.4 Setting Out Procedures 8.5 Construction Operations 8.6 Constructing Headwalls, Wing Walls and Aprons 8.7 Culvert Approaches 8.8 Concrete Pipe Manufacture 8.9 Corrugated Steel Pipes
CHAPTER 9 PAVEMENT 9.1 Function and Composition of Road Pavements 9.2 Pavement Design 9.3 Pavement Types 9.4 Earth Roads 9.5 Gravel Roads 9.6 Soil Mixing 9.7 Chemically Stabilized Soils 9.8 Macadam Type Pavements 9.9 Bituminous Pavements 9.10 Surface Dressings 9.11 Otta Seals 9.12 Stone Pavements 9.13 Concrete Surfaces CHAPTER 10 SOIL MECHANICS 10.1 Introduction 10.2 Dentitions 10.3 Distinguishing Soils 10.4 Simple Field Tests 10.5 Soil Sampling 10.6 Laboratory Testing 10.7 Applying Compaction to Various Soil Types CHAPTER 11 COMPACTION 11.1 Purpose 11.2 Fundamentals of Compaction 11.3 Compaction Methods 11.4 Compaction Procedures 11.5 Quality Standards
83
CHAPTER 12 CONCRETE WORKS 12.1 Basic Features 12.2 Materials and Storage 12.3 Proportion of Components 12.4 Water to Cement Ratio 12.5 Mixing Concrete 12.6 Formwork 12.7 Transport of Concrete 12.8 Pouring Concrete 12.9 Curing 12.10 Quality Testing
CHAPTER 13 SETTING UP AND ADMINISTERING A SITE 13.1 Introduction 13.2 Setting Up a Camp 13.3 Quarries and Borrow Pits 13.4 Administrative and Financial Routines 13.5 Site Stores 13.6 Personnel Management 13.7 Site Meetings
13.8 Work Safety CHAPTER 14 WORK ORGANISATION 14.1 Introduction 14.2 Work Programming 14.3 Incentives 14.4 Setting Task Rates 14.5 Managing the Workforce 14.6 Organising Subcontractors 14.7 Traffic on Site CHAPTER 15 REPORTING AND CONTROL 15.1 Overview 15.2 Monitoring Works 15.3 Drawings and Work Specifications 15.4 Inspection of Works 15.5 Quality Control 15.6 Quality Assurance 15.7 Measurement of Works 15.8 Records and Reports
84
5-2. Labour Based Road Rehabilitation and Maintenance, Training Manual (ATTI)
85
VOLUME 1 Acknowledgements Introduction Course Objective Topic 01: Introduction to Labour Based Technology for Gravel Roads Topic 02: Design and Construction Standards Topic 03: Technical Specification for Labour Based Technology Topic 04: Survey and Setting Out Topic 05: Road Rehabilitation Topic 06: Road Maintenance
VOLUME 2 Topic 07: Site Organization Topic 08: Personnel Management Topic 09: Soil Mechanics Topic 10: Concrete Technology Topic 11: Drainage Structures and Masonry Works Construction Topic 12: Tender Procedure Topic 13: Planning and Scheduling Topic 14: Contract Administration Topic 15: Health and Safety, Gender Issues
APPENDICES
86
Japan International Cooperation Agency
http://www.jica.go.jp/