EID

JR

12-096

LBT (Labour Based Technology) Guidelines

Economic Infrastructure Department,

Japan International Cooperation Agency

March 2012

i

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

iv

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

2

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).

5

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

9

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.

15

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/