OVERSEAS ROAD NOTE. Management of rural road networks. TRL Limited, Crowthorne, Berkshire, United Kingdom

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1 OVERSEAS ROAD NOTE 20 Management of rura road networks TRL Limited, Crowthorne, Berkshire, United Kingdom

2 TRL Limited Od Wokingham Road Crowthorne, Berkshire, RG45 6AU Department for Internationa Deveopment 1 Paace Street London, SW1E 5HE Overseas Road Note 20 Management of rura road networks ORN 20

3 First Pubished 2003 ISSN Copyright TRL Limited Subsector: Transport Theme: T2 Project tite: Overseas Road Note: Maintenance Management for Regiona and District Engineers Project reference: R7781 This document is an output from a project funded by the UK Department for Internationa Deveopment (DFID) for the benefit of deveoping countries. The views expressed in it are not necessariy those of the Department for Internationa Deveopment (DFID). TRL is committed to optimising energy efficiency, reducing waste and promoting recycing and re-use. In support of these environmenta goas, this report has been printed on recyced paper, comprising 100% post-consumer waste, manufactured using a TCF (totay chorine free) process. ii

4 The Department for Internationa Deveopment: a brief mission statement The Department for Internationa Deveopment (DFID) is the UK Government department responsibe for promoting sustainabe deveopment and reducing poverty. The centra focus of the Government s poicy, based on the 1997 and 2000 White Papers on Internationa Deveopment, is a commitment to the internationay agreed Miennium Deveopment Goas, to be achieved by These seek to: Eradicate extreme poverty and hunger Achieve universa primary education Promote gender equaity and empower women Reduce chid mortaity Improve materna heath Combat HIV/AIDS, maaria and other diseases Ensure environmenta sustainabiity Deveop a goba partnership for deveopment DFID s assistance is concentrated in the poorest countries of sub-saharan Africa and Asia, but aso contributes to poverty reduction and sustainabe deveopment in middeincome countries, incuding those in Latin America and Eastern Europe. DFID works in partnership with governments committed to the Miennium Deveopment Goas, with civi society, the private sector and the research community. It aso works with mutiatera institutions, incuding the Word Bank, United Nations agencies, and the European Commission. DFID has headquarters in London and East Kibride, offices in many deveoping countries, and staff based in British embassies and high commissions around the word. DFID, 1 Paace Street, London SW1E 5HE DFID, Abercrombie House, Eagesham Road, East Kibride, Gasgow G75 8EA Te: +44 (0) Fax: +44 (0) Pubic Enquiry Point: (from outside the UK: ) DFID website: Emai: enquiry@dfid.gov.uk iii

5 ACKNOWLEDGEMENTS At the outset of the preparation of this document, it was decided that it shoud refect what its future users want to see, rather than what the authors might think wi be of use. This document has therefore been guided by the contributions of a very arge number of road practitioners, managers and researchers from a arge number of countries. The authors are extremey gratefu to a those, too numerous to mention individuay, who took the time to ook at the drafts and return their comments and contributions the credit beongs to them. However, a few individuas have made contributions which deserve particuar mention. These are Kingstone Gongera, Wiey Adam Lyatuu, Robert Buter, John Howe, Nevie Buman, Chares Ware and Bjorn Johannessen and his ILO/ASIST coeagues. A number of contributions have aso been acknowedged in the text. The TRL project team responsibe for bringing together a the contributions were Simon Done, Piousin Samue, Kenneth Mukura, Nick Esworth, Nige Hewitt, Dr John Rot, Coin Jones and Dr Coin Gourey. OVERSEAS ROAD NOTES Overseas Road Notes are prepared principay for road and transport organisations in deveoping countries. A imited number of copies are avaiabe to other organisations and to individuas with an interest in road management, and may be obtained from: Centre for Internationa Deveopment TRL Limited Crowthorne Berkshire, RG45 6AU United Kingdom Limited extracts from the text may be reproduced provided the source is acknowedged. For more extensive reproduction, pease contact TRL using the posta or website address above. iv

6 Foreword Rura road networks are vita for the deveopment of any country, and particuary so for most deveoping countries. Rura areas are the home for arge numbers of peope, the farms which produce crops for consumption and export, and strategic sites such as power stations and border posts. However, rura roads, aong with other rura faciities, often receive ess than their fair share of spending and many fa into disrepair. Communities become isoated and ose their access to schoos, heath centres, socia support networks and sources of income. At the same time, teachers and medica staff are unabe to visit the rura faciities where they do their work. Crops cannot be transported to markets and buying depots and much needed income is ost. Rura poverty grows and iveihoods become unsustainabe. To reverse this trend, rura roads must be we managed. Money must be spent efficienty and the needs of the road users farmers, viagers, traders and government officias must be met. This is good road management and, if carried out in tandem with other institutiona improvements, is ikey to secure a fairer proportion of the budget in the foowing years and bring about sustainabe improvement to a road network. In many rura areas roads fa into two groups. The first are ow voume roads where socia use is significant. Many of these roads are in poor condition. The second are higher voume roads where economic use is dominant. These roads are normay in reasonabe condition. This document has been written primariy to guide the management of the first group of roads. Road management is more compex than simpy identifying defects and repairing them. It invoves a wide range of additiona aspects. These shoud be famiiar to a road managers, but are of particuar importance to a manager of ow voume roads working with ow eves of funding. Road management is much more effective if the road manager invoves road users, consutants, contractors and others in the panning and impementation decisions. Road users have persona interest in traveing on a we managed road, whie the road industry has skis to offer and commercia interest in the work. When the needs of road users are taken into account, it is often found that their priority is to have safe and reiabe access aong many of their roads rather than the opportunity for fast trave aong ony a few. This is achieved by repairing ony those sites where access has been ost, is at risk or is dangerous. The standard is referred to as Basic Access and is the most efficient way of satisfying the needs of a arge proportion of the rura popuation. Unfortunatey, providing safe and reiabe access on a roads may sti require more money than is currenty avaiabe. It may sometimes be necessary to prioritise roads. The important ones wi be improved, the ess important ones wi be eft unti more money is avaiabe. Severa procedures for prioritising roads are described in this document, some using economic criteria, some socia and some a combination, but a suitabe for the participation of the road users. One of the consequences of improving roads is that accidents tend to rise. A road manager shoud anticipate this, carry out engineering measures to improve safety and address issues such as education and enforcement. It is possibe to retain a oca focus when moving from making pans to impementing them. Whereas most roadworks used to be carried out by government bodies, private organisations now do most of this work. Locay based contractors, whether commercia companies or community groups, give empoyment to oca peope and are more ikey to respond to the needs of oca peope. A road manager shoud support oca contractors wherever possibe. With a these aspects to the roe of a road manager, it is essentia that cear guidance is avaiabe. This document is aimed at providing that guidance so that road managers can manage their networks of ow voume rura roads for the benefit of their oca community. Martin Sergeant Head of Profession Infrastructure and Urban Deveopment Department for Internationa Deveopment v

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8 CONTENTS Page Part 1: Introduction The importance of rura roads Audience Basis of the document Scope Excusions The need for computers Structure of the document 3 Part 2: Network definition Road List Road inventory Recording information Presenting information Road cassification 7 Part 3: Panning Participatory frameworks Road users participatory framework Road industry participatory framework Technoogy choice Promoting abour based methods Protecting abour on site The costs of managing the network Method 1: Rapid Condition Survey Method 2: Engineer s Estimate Method 3: Estimate based upon oca infuences Method 4: Estimate based upon historica records Submitting a request and receiving a budget Reducing costs to meet the budget Method 1: Set standards Method 2: Maintenance before rehabiitation Method 3: Prioritise roads for rehabiitation Method 4: Other technica soutions Summary of how to reduce costs to meet the budget Safety engineering Recording accident information Enforcement and education Recording defects and identifying required activities Recording defects Identifying required activities 40 vii

9 Page 3.8 Scheduing, packaging and Bis of Quantities Scheduing Packaging Bis of Quantities Engineer s Estimate Long term strategic panning Long term changes in road use Strategic changes to a road Strategic studies The importance of the annua management cyce 52 Part 4: Impementation Impementing organisations In-house units Private sector organisations Deveoping a contracting sector Contracts Measurement and performance contracts Forms of contract Avaiabe types of contract Contract management Invite bids Assess bids and award contract Managing an active contract Auditing and evauation Site safety 67 Part 5: Usefu information Organisations Pubications 71 Annex A: Gossary 75 Annex B: Access, defect and treatment photographs 77 Annex C: Equivaent Daiy Traffic 96 Annex D: Providing a Partia Access standard 97 Annex E: Emergency work 100 Annex F: Environmenta protection 102 Annex G: Activity Panning Sheets 105 viii

10 Part 1: Introduction 1.1 The importance of rura roads This document provides guidance on the management of rura road networks. These networks are important to those who trave aong them and to those who ive aongside them in four ways. Socia deveopment Rura roads are essentia for the we being of rura communities. Isoation from schoos, cinics and socia gatherings is recognised as a major cause of poverty reiabe access to socia faciities and transport services can reduce isoation and poverty. Economic deveopment The agricutura production of sma rura farms is vita for most countries. Agricutura produce must reach markets and buying depots as reiaby as possibe. Other industries such as tourism and mining are aso reiant upon rura roads. The growing dependence of rura househods on non-farm income aso underines the importance of reiabe road networks. Rura administration District administrators, pubic workers and community representatives are dependent upon a reiabe network of rura roads. Strategic need Some faciities in rura areas are sufficienty important that access is required at a times. These incude power stations and border posts. Certain rura roads may aso be required for nationa defence or interna security reasons. However, rura road networks can bring harm to communities. This incudes expoitation of their timber resources, the spread of transmissibe diseases, an increase in road accidents and adverse environmenta impacts. This document expains many of these issues, and suggests ways of addressing them. 1.2 Audience This document is targeted at Road Managers who are responsibe for the management of a network of ow voume rura roads within a constrained budget. The Road Manager may be working within government or the private sector. The network for which he or she is responsibe is ikey to have some roads in good condition and others in poor condition. The document has been written to suit a Road Manager working within an annua cyce of panning, budgeting and impementation. It is hoped that the document wi aso be of interest to consutants, contractors, poicy makers, economists and socia deveopment workers. 1.3 Basis of the document The guidance within this document is based upon two main principes. 1 The first priority is to carry out maintenance of roads which are aready in good or fair condition. Then, and if funds remain, roads in poor condition are prioritised for rehabiitation to a good condition. If this principe is not foowed, a cyce of rehabiitation, ack of maintenance and repeated rehabiitation wi ensue, which is expensive and disruptive to the Road Administration and road users. 2 When funds are readiy avaiabe, they shoud be used to permit safe, reiabe, rapid and comfortabe trave. When funds are constrained, they shoud be used to provide safe and reiabe access. Together, the principes shoud ead to a cyce of reiabe access, confidence, rura investment, traffic growth, increased funding and sustainabe network improvement. 1

11 1.4 Scope This document guides a Road Manager through an initia phase of ceary defining a road network and then an annua cyce of panning, budgeting and impementation. This cyce addresses the maintenance of roads in good or fair condition and the rehabiitation of roads in poor condition. The document uses the foowing definitions: Maintainabe Unmaintainabe Maintenance Routine maintenance Periodic maintenance Rehabiitation A road, or a section of road, is in a maintainabe, or good or fair, condition if it serves the needs of the road users and has ony minor defects which can be rectified using routine or periodic maintenance. A road, or a section of road, is in an unmaintainabe, or poor, condition if it does not serve the needs of the road users as a resut of major defects which require rehabiitation. Activities to rectify minor defects to restore a road to a good condition, or prevent future defects. Maintenance activities which are normay required annuay or more frequenty, which are often specified on a repeated cyce and which normay suit engthworkers and sma contractors. These incude cutting grass and cearing drains. Maintenance activities which are normay required ess frequenty than annuay, which are often specified in response to a minor defect and which normay suit sma and medium contractors. These incude regraveing a grave road. Activities which are specified in response to major defects and which are required to return a road to a maintainabe condition. These incude repairing a coapsed cuvert and reforming a damaged ength of carriageway. 1.5 Excusions This document does not cover the foowing topics: New construction The document covers the maintenance and rehabiitation of existing roads. In genera and uness other priorities appy, this is a better use of scarce funds than new construction and does not unduy add to the burden on Road Managers. Seaed roads The document covers the management of tracks, earth roads, grave roads and improved surfaces. It does not cover the detai of seaed road assessment and repair, athough much of the panning and impementation guidance can be appied to a road types. Design standards The document guides a Road Manager in how to set standards appropriate to the function and usage of each road, but does not consider design standards (carriageway widths, curvatures, and so on) in detai. A compete road management system The document addresses a number of probems that occur in road management and suggests soutions to each probem. The Road Manager shoud seect the most appropriate soution for his or her situation. Where nationa procedures exist for individua steps, the Road Manager shoud foow those. Standard forms The document provides exampe forms for use in suggested soutions. The Road Manager shoud use the guidance to produce his or her own forms according to nationa standards. 2

12 Institutiona and organisationa issues The document suits a Road Manager working in a variety of institutions and organisations but does not consider these arrangements in detai. Staff management Issues of training, motivation and deegation are beyond the scope of this document. 1.6 The need for computers Nationa road networks are often managed using sophisticated panning software. However, this document has been written for Road Managers who cannot rey upon permanent access to computers. Thus computers are not required for making day to day decisions, but can be used for producing forms, storing and processing information and cacuating budgets. 1.7 Structure of the document Tabe 1.1 describes the objective of each part of this document, and expains what wi be carried out and what decisions wi be made at each step. 3

13 Tabe 1.1 Document structure Objective Section Description of the Section Part 1: Introduction To provide background to the document Part 2: Network definition To define a road network in preparation 2.1 List a roads in the network. for an annua cyce of panning and 2.2 Carry out an inventory of a roads. impementation. 2.3 Cassify the roads in the network. Part 3: Panning To identify and schedue the activities 3.1 Estabish participatory frameworks. required to maintain roads in good or 3.2 Seect the most appropriate technoogy fair condition and to rehabiitate roads 3.3 Estimate the costs of managing the network (four methods). in poor condition within the avaiabe 3.4 Submit a request and receive a budget. budget. 3.5 Reduce costs to meet the budget (four methods). 3.6 Make roads safe for the users. 3.7 Identify required maintenance and rehabiitation activities. 3.8 Schedue & package the activities ready for impementation. 3.9 Carry out ong term strategic panning. Part 4: Impementation To arrange for an organisation to 4.1 Identify the appropriate impementing organisation. impement the required activities. 4.2 Identify the most suitabe contract. 4.3 Manage the contract. 4.4 Ensure safety on site. Part 5: Usefu information To provide information on organisations 5.1 Organisations. and pubications that may be of use to 5.2 Pubications. the Road Manager. Annexes To provide supporting information A Gossary to expain terminoogy in the text. to the text. B Photographs to iustrate technica issues. C The cacuation of an Equivaent Daiy Traffic. D Provide a very ow cost Partia Access standard. E Carry out emergency work. F Protect the environment during and after site operations. G Activity Panning Sheets giving detai of a activities. 4

14 Part 2: Network definition The objective of Part 2 is to define a road network in preparation for an annua cyce of panning and impementation. Part 2 has three steps: 2.1 List a roads in the network. 2.2 Carry out an inventory of a roads. 2.3 Cassify the roads in the network. These three steps are described as singe activities to be carried out ony once. However, since the road network wi change over time, the Road Manager shoud ensure that ists, inventories and cassifications are kept up to date with reguar checking and revision. 2.1 Road List The first step is to record a roads in the network on a Road List as shown in Tabe 2.1. Road refers to a routes and shoud incude tracks to water sources and other sites. Tabe 2.1 Road List District: Road No. From To Cassification Road Type Length (see Section 2.3) Exampe: RD123 Tunja Tocansipa Feeder Grave 23km Type refers to the construction and surface of the road. Four types are shown in Tabe 2.2 athough oca definitions may be used if they differ from these. Each type is suitabe for different traffic eves and externa infuences. Choosing the most appropriate type is covered in detai in Section 3.5 and Tabe Tabe 2.2 Road types Type Track Engineered earth Grave Improved surface Description. Traditiona route, Camber, drains and As engineered earth As engineered earth pus ceared vegetation, designed structures. pus an imported a surface ayer such as informa structures. grave surface. bricks, stones or bocks. Remarks Tracks are suitabe for Engineered earth Grave can be durabe Improved surfaces can be ow traffic eves if roads are more and cost effective, but very durabe and suitabe the riding surface is durabe than tracks. needs continuous and for heavy traffic. If oca abe to consoidate, Maintenance using costy repenishment materias are used, strengthen and remain nearby soi can be when traffic is heavy maintenance costs can be dry. Maintenance is cheaper than for a or the cimate is harsh. ow. Improved surfaces rarey required. grave road. Deterioration is rapid are more durabe than Deterioration is when maintenance is grave or earth when rapid when negected. Grave is maintenance is negected. maintenance is becoming scarce in negected. many regions. 5

15 The Road Manager may decide to divide a road into shorter engths, or segments, of typicay 5 kiometres. The use of segments can simpify information coection and recording. Sections shoud aso be defined on the Road List. 2.2 Road inventory The second step is to coect more detaied information on the roads in the network. The inventory records the permanent features of the road and is used for ong term future reference. An inventory is required for each road, and shoud record the ocation of singe features such as structures and junctions, and the ocation where features such as carriageway width or road type change Recording information The inventory may record summary or detaied information. The Road Manager shoud produce forms for recording inventory information according to oca requirements and practice. Tabe 2.3 shows the items that shoud be incuded in a inventories and the additiona information that a Road Manager may decide to record if time and resources permit. Tabe 2.3 Inventory items Items essentia for a inventories Road number (and ink number if used). Road type. Datum point from which a distances are measured. Surface materia. In situ soi type. Width of carriageway. Mitre drains and interception ditches. Water crossing structures (type of structure and its size). Retaining was (type and size). Traffic eves and most common vehice types (see Annex C). Junctions (no. of joining road). Road signs, distance posts, edge deineators and other furniture. Vunerabe sites (fooding, andside or erosion). Additiona items if time and resources permit Terrain (fat, roing or mountainous). Gradient of road (up or down, and % sope). Curvature (straight, broad or sharp curves). Sites with reported high accident rates. Rainfa (tota annua fa and duration of the rainy season). Location of road buiding materias (grave, stone and water). Viages (incuding popuation where known). Markets. Heath faciities. Schoos. Other strategic faciities (such as border posts or eectricity stations). Land use (viage, farmand, forest). Sites of environmenta importance or where damage has been seen. Prior to the inventory, the instaation of distance or kiometre posts is strongy recommended. They are usefu when recording inventory information and ater for road condition and accident data. They aso show a high eve of commitment by the Road Manager to the road users and oca communities. Posts can be made from any suitabe ocay avaiabe and durabe materia. They can aso give the name of the nearest viage or town. They shoud be instaed on the road shouder at east 1.5 metres from the carriageway. Reguar repacement of missing distance posts is recommended. Whie carrying out the inventory, it may become apparent that a road has two or more distinct inks. For instance, a ridge road may descend to a vaey foor or carry much ess traffic beyond a viage. It may be 6

16 worth using additiona numbering to distinguish the different inks, such as R123-1 and R Subsequent panning decisions, such as setting standards or prioritising roads for rehabiitation, can then consider these inks separatey. If survey resources are ow, a decision can be made to omit roads from the inventory for which funding is extremey unikey. However, the aignment shoud sti be shown on maps of the network and the inventory shoud be competed as soon as resources permit Presenting information Road inventory information is normay presented on the same form on which it was recorded. It can aso be presented in a more visua manner. This can be done in a number of ways. Maps of a network Terrain map. The roads in the network are marked onto a geographica map. This enabes the Road Manager to reate the road to inventory information such as viages, water catchments, junctions, materia sources and terrain. Terrain maps are often permanenty dispayed in road management offices. Scae map. A to-scae map is drawn of the road network. Like the terrain map, the scae map can show inventory information, but can aso be reguary updated with information such as overa road condition, the extent of contracts or panned activities. If the map is digitised, it can be updated quicky and stored for future reference. If coour is used we, these maps can be understood very easiy. These maps are aso often dispayed in road management offices. Diagrammatic map. The roads are shown as straight ines between junctions. The map is not to scae, but shows the extent of the network with great carity. This map is usefu for showing road type, structures and junctions. These maps can be digitised. Maps of a singe road Strip map or road og. Each road is represented by a singe straight ine aong which inventory information features of the road itsef or items on either side can be marked. Strip maps are usefu for finding inventory items when on site. Long roads can be divided into severa pages. Strip maps can be made onto pre-printed bank forms. Figures 2.1 to 2.3 are exampes of strip maps. Figure 2.1 shows junctions, water crossings, road numbers and ground conditions over a 25 kiometre ength of road. Figure 2.2 is simiar to this, showing junctions, water crossings, canas and socia amenities over one kiometre. Figure 2.3 is a pre-printed bank form on which inventory items, as isted, can be marked. The form can extend downwards to aow road condition information to be recorded. Road segment maps. Each road is divided into segments of typicay 5 kiometres. Inventory items are marked onto a map of each segment. The map shows curvature and the fu carriageway width, unike the singe straight ine of a strip map. Segment maps can be copied onto road condition, monthy measurement and accident recording sheets and can be used at many stages of the road management cyce. Figure 2.4 is an exampe of a road segment map. It shows a wide variety of information incuding road curvature, shouder and carriageway widths, distances, distance posts, embankments, cuttings, junctions, bridges, cuverts and road signs. 2.3 Road cassification The third step is to cassify the roads in the network. Athough it is probabe that a network wi aready be cassified according to nationa practice, a Road Manager is advised to understand the basis of the cassification and may be abe to have some infuence if the network is being recassified. By pacing each road in a hierarchy, cassification indicates the importance of a road within the network. Cassification can be based upon a number of factors such as traffic eves or poitica importance. The cassification in Tabe 2.4 is suggested for a rura network. It combines function, ownership and usage with the creation of core networks at nationa and oca eve. In this cassification, a rura Road Manager may be responsibe for tertiary, feeder and access roads, and take some responsibiity for uncassified roads. The cassification of each road can then be competed on the Road List. The Road Manager may wish to reduce the number of cassifications. In this case, Feeder roads coud be recassified as Tertiary roads. 7

17 A12 102/1 Grave (5km) 100 Cayey Sands Grave (2km) To Y B To Quarry 7km To X 91/1 River G Swamp /1 River M Cayey Sands Grave 78/1 80 B234 A B121 To Z A 12 Figure 2.1 Strip map 8

18 br: M Cana g km0+000 bc: 0/1 br: N Cana g Grave (5km) Cayey Sands pc: 0/3 sch br: 0/1 br: 0/2 h1 h2 h3 h4 h5 h6 h7 h8 h9 km1+000 Legend: (Courtesy of the Second Rura Transport Project, Vietnam, WSP imc in association with TDSI and TEDI) sch Schoo Viage House Cuvert Bridge Footpath Road/Track Swamp Grave br: 0/2 Km0, second Bridge bc: 0/2 Km0, second box Cuvert pc: 0/3 Km0, third pie Cuvert Figure 2.2 Strip map 9

19 10 Vietnam Rura Transport Project MINISTRY OF TRANSPORT (PMU18) Province: District: Start time: Finish time: Prepared by: Road Code: Road name: From Km: To Km: Approved by: b Strip Map (Existing features) Viage Ditch House/Hut SCH Schoo Bridge HCL Heath cinic Cuvert BP Borrow pit Road/Track Footpath Road Inventory / Line Diagram Date: Page: Chainage Km Metres Road Surface/Shouder Width (m) Road Surface Type Fi Height/Cut Depth (m) +: Fi -: Cut Subsoi Type Topography Inventory Notes (Source: Technica Guideines, Second Rura Transport Project, Ministry of Transport (PMU18) Vietnam) Figure 2.3 Strip map

20 (With acknowedgement to Robert Buter) Figure 2.4 Road segment map 11

21 Tabe 2.4 Suggested rura road cassification Cassification Primary Secondary Tertiary Feeder Access Uncassified Description of roads under each cassification Connects major borders and ports. Links primary administrative centres (often Provinces or Regions). Connects to sites of nationa strategic importance. Forms part of a nationa core network. Is owned at centra government eve. Carries the highest traffic eves. Connects minor borders and ports. Links secondary administrative centres (often Districts). Connects to sites of oca strategic importance. Forms part of a nationa core network. Is owned at centra government eve. Links rura areas to primary and secondary administrative centres. Connects to significant popuation centres, and major markets and heath centres. Forms part of a oca or District core network. Is owned at oca government eve. Links to tertiary roads. Connects to esser popuation centres, and minor markets and heath centres. Forms part of a oca or District core network. Is owned at oca government eve. Links to feeder roads. Connects to a remaining popuation centres. Is owned at oca government eve. Links to access and feeder roads. Informa routes, formed by usage. Is owned by private or community andowners over whose and it passes. The oca government may seek to adopt uncassified roads which form important routes. 12

22 Part 3: Panning The objective of Part 3 is to identify and schedue the activities which are required to maintain roads in good or fair condition and to rehabiitate roads in poor condition within the avaiabe budget. Part 3 has nine eements: 3.1 Estabish participatory frameworks. 3.2 Seect the most appropriate technoogy. 3.3 Estimate the costs of managing the network. 3.4 Submit a request and receive a budget. 3.5 Reduce costs to meet the budget. 3.6 Make roads safe for the users. 3.7 Identify required maintenance and rehabiitation activities. 3.8 Schedue and package the activities ready for impementation. 3.9 Carry out ong term strategic panning. 3.1 Participatory frameworks It is possibe for a Road Manager to manage a road network with itte or no contact with outside parties. The manager can survey the roads, make pans, et contracts and fee that the network is being we managed. However, the pans may not suit the peope who use the roads and the contracts may not be we designed. Without guidance and feedback, the Road Manager wi not actuay know whether or not the network is being we managed. The Road Manager is at the centre of two important frameworks whose members have much to contribute to the effectiveness of road management. These two frameworks incude the road users or cients for whom the Road Manager is working, and the organisations which can suppy road management products and services to the Road Manager. By encouraging the participation of the members of both frameworks, the Road Manager can fee much more confident that the network is being we managed Road users participatory framework Road users, those who are in some way affected by the condition of the road, are the customers of the Road Manager. They pay fue taxes, bus fares, market taxes and so on and shoud expect to have some contro over the improvements that are made to their road network. Given the opportunity, they wi give much hep to the Road Manager. A number of groups within a road user participatory framework are given in Tabe 3.1. Tabe 3.1 Road users participatory framework Individua road users in the oca community. Viage eaders and councis. Women s groups. Loca government workers; teachers and heath workers. Poice. Nationa security and emergency forces. Traders. Loca government counci or assemby. Loca abourers. Farmers, farming co-operatives and agro-businesses. NGOs, when representing oca communities. Transport service providers. 13

23 Ceary, road management wi be more effective with the hep of this wide range of peope. The Road Manager shoud decide which of these groups shoud be invoved in the framework. This wi depend upon avaiabe time, the budget for improvements and oca customs and practices. The Road Manager can use this participatory framework to invove road users in many road management functions and thus benefit the entire road management cyce. These functions incude the foowing: Initia consutation Consutation between Road Manager and road users can identify the roads in the network and hep the Road Manager understand the main probems with the network and, in genera terms, how the road users woud ike to see it improved. Gathering oca information Loca peope know which roads are impassabe in the rains, where viages are ocated, where grave can be found and how high rivers fow when fu. Identifying priority roads and setting standards Perhaps the most usefu hep that the road users can give is to te the Road Manager where funds woud be best spent and endorse decisions that are made. Severa of the prioritisation procedures in Part 3 of this document depend upon the views of the road users. Deveoping community contractors Community contractors can arise from oca communities in response to a need for infrastructure improvements. These are described in Section 4.1 Participating on Tender Boards Tender Boards are used to administer the transparent etting of road improvement contracts. Road users on a Tender Board can ensure that the contract is et in the best interests of the oca communities. Tender Boards are described in Section 4.3. Auditing Road users are abe to record information which wi hep the Road Manager or another organisation carry out forma audits of the competed works and the contract. The information may be as diverse as the sites where specific activities were carried out and the safe working practices of the contractor. Audits are described in Section 4.3. Providing a Partia Access standard When funds are very ow, a Road Manager may have itte option but to deegate responsibiity for ownership, fund-raising and contributions in kind, panning and impementation of road improvements to the oca community. This is covered in Annex D. Reporting emergencies A Road Manager cannot respond to an incident which causes danger or oss of access if the information has not been passed on. Poice, traders and other government workers are ikey to identify emergencies very soon after they occur. This is covered in Annex E. Environmenta protection Since oca communities are vunerabe to environmenta degradation, they can provide much information on environmenta risks and mitigation measures and, once contracts are et, can monitor the environmenta compiance of a contractor. This is covered in Annex F. Long term monitoring With guidance from a Road Manager, members of a community are abe to monitor socia, economic and environmenta change over time to hep the Road Manager evauate panning and impementation procedures. 14

24 Road users may take the initiative and mobiise themseves to contribute to road management, but it is more ikey that a Road Manager may have to take the first steps in encouraging participation. There are no prescribed methods for encouraging participation, but various methods are avaiabe. They incude the foowing: Reguar visits There is perhaps no better way to make contact with, and earn from, a oca community than to make reguar visits and meet peope. Such visits demonstrate interest in the needs of the road users and commitment to the improvement of their roads. Road Buetins A reguar newsetter wi demonstrate the commitment of the Road Manager to participation, be a forma channe for providing information to road users and act as a focus for communication between a parties with an interest in the road network. Participatory appraisa techniques These techniques enabe road users to provide information on their oca area and express their wishes for road improvements. They make use of visua toos, such as maps, modes and drawings. Semi-structured interviews Information can be gathered from road users in an informa interview which can be made ess intimidating and more productive than an interview with a rigid structure. Questionnaire surveys These can be used if the Road Manager wants to obtain detaied information on a community, athough they are the east participatory of these four methods. It is strongy recommended that a socia deveopment worker with experience of road user participation is invoved at this stage. Documents, which may hep when encouraging participation, are isted in Section 5.2. Throughout the management cyce there wi ony be genuine participation if the Road Manager is honest and open with information such as Provincia Deveopment Pans and avaiabe budgets. This openness wi prevent two common probems that can occur during participatory consutation. Firsty, if road users do not trust the Road Manager, they wi not accept the resuts, wasting much time and money. Secondy, if done with no discussion of budgets, participation can create high expectations which, if not reaised, can cause disiusionment amongst the road users and make future participation much ess productive Road industry participatory framework A road network wi be managed much more effectivey if the Road Manager makes use of other organisations with skis in various aspects of road management or who are abe to suppy road management products and services. It wi aso be beneficia to obtain endorsement from these organisations of the road management principes which the Road Manager wants to foow. These organisations are isted in Tabe 3.2. The tabe incudes the contractors who currenty carry out road maintenance and rehabiitation contracts, but aso demonstrates the imited extent to which the wider private sector has become invoved in road management, a situation which a Road Manager may decide to change. It is cear that a participatory framework with members as diverse as those in Tabe 3.2 wi have a much greater amount of ski and experience than a Road Manager working aone in a rura road office. Recent reforms of many road industry sectors around the word have been ed by foreign consutants. It is suggested that these transitions might have been smoother if nationa consutants had been given the opportunity to take a greater roe. The Road Manager can earn from this and is encouraged to aow contractors, oca organisations and knowedge based industries to participate in rura road management whenever possibe. 15

25 Tabe 3.2 Road industry participatory framework Knowedge based industries Road Administration design departments and speciaists. Design consutants. Foreign consutants. Contract adjudicators and ega speciaists. Training institutions. Testing services. Socia and community deveopment organisations. Environmenta consutants. Project and contract management consutants. Surveying and mapping organisations. Universities. Research organisations. Banks and other sources of credit. Transport economics consutants. Contractors and producers Contractors. Suppiers of quarry products, cement and bitumen. Manufacturers of signs and barriers. Manufacturers of tractors, traiers and hand toos. Locay based organisations Community contractors. NGOs, when suppying services to the community. Community groups suppying oca materias. Loca backsmiths and other tradesmen. 3.2 Technoogy choice Maintenance and rehabiitation of rura roads can be carried out using a variety of technoogies: Equipment intensive methods use mechanica pant wherever possibe, and manua abour ony on activities unsuited to machines, such as cuvert repair and pothoe fiing. Labour intensive methods use abour wherever possibe, and machines ony on activities unsuited to manua abour, such as compaction and ong distance hauage. Labour based methods, aso known as intermediate technoogy or ight equipment supported use a combination of equipment and abour to achieve a baance between empoyment generation and productivity whie remaining cost effective. Tabe 3.3 compares the three methods and is of use when deciding if a particuar technoogy shoud be specified for an activity or a contract. If abour rates are US$2 or ess per day at typica 2003 exchange rates, it is ikey that abour based and abour intensive methods wi be cost effective. If rates are US$10 or more per day, they are unikey to be cost effective. If rates are between US$2 and US$10 per day, the cost effectiveness wi depend on a number of factors such as abour and equipment avaiabiity, the time avaiabe for recruitment and the capacity of oca contractors. The decision to specify one technoogy or the other or to aow contractors to choose wi depend upon cost effectiveness and the many other factors presented in Tabe Promoting abour based methods Tabe 3.3 identifies the advantages that abour based methods can bring to the Road Administration, the impementing organisation, and the communities iving aongside the road. It is appropriate at times to promote and then support abour based methods in order to maximise these advantages. A number of measures to promote and support abour based methods are shown in Tabe 3.4. The ambition of contractors to expand to incude equipment intensive methods at a nationa or internationa eve is norma and shoud be wecomed. Therefore contractors shoud be designated as trained in abour based methods rather than as abour based contractors. It is recommended that abour based methods are promoted for around 5 years, after which technoogy choice is open to commercia forces Protecting abour on site Labourers empoyed for short contracts are vunerabe to matreatment. This can be due to the short duration of the empoyment, the absence of other oca empoyment opportunities, the isoation of a site, the presence of singe women, or a ack of awareness of abour rights. 16

26 Tabe 3.3 Equipment and abour technoogies compared Equipment intensive Labour based Labour intensive Typica pant Budozers, motor graders, arge Tractors, traiers, sma trucks, towed Shoves, wheebarrows, bush trucks, oading shoves, other graders, power tiers, pedestrian roers, knives, mattocks, hand rammers. speciaist equipment. water bowsers, hand toos. Long term empoyment to: Drivers, mechanics and operators. Supervisors, mechanics, Supervisors, some abour. operators and some abour. Short term empoyment to: Unskied oca abourers (few). Skied and unskied oca abourers (many). Community invovement Low. High. High. Production rates High. Medium. Low. Suitabe activities* Compaction, ong distance hauage, dragging, grading. Excavation, grass cutting, drain cearing, grubbing, repairing damage to scour checks, drains and structures. Quaity of output High. Supervision is very important for each technoogy to achieve high quaity. Advantages Famiiar to most Road Managers. Opportunity for contractors to invest in equipment. Rapid mobiisation. Opportunity for contractors to invest in equipment. Low capita requirements. Tractors are versatie; utiisation is often high. Suitabe for emerging contractors. Suitabe for most rura infrastructure needs. Modest fue consumption. Encourage oca ownership and sef reiance. Stimuate oca economy and oca entrepreneurs. Light equipment and toos can be manufactured ocay. Skis earnt ocay are fexibe for other empoyment. Empoyment can be targeted at vunerabe groups. Disadvantages Expensive and requires foreign exchange. Repayment requires ong term workoad. Large pant is infexibe; utiisation can be ow without high workoad. Spare parts and fue can be expensive or hard to obtain. Requires good mechanica and maintenance support. Probems transporting to remote sites. High fue consumption. Danger of trapping contractors as abour based contractors. Minima investment opportunities. Not suited to compaction and hauage. Unfamiiar to some Road Managers. May not be accepted if seen as forced abour. Recruitment and training can be time consuming. Possibe abour shortages at harvest time and in remote areas. Sites are vunerabe to abour strikes/withdrawa. Success depends on prompt abour payment. Locay manufactured items can be of poor quaity. Main reasons for seection by cient High production rates, famiiarity. Combination of production, empoyment Empoyment generation and oca & ownership, Government poicy. ownership, Government poicy. * Activity Panning Sheets in Annex G describe the suitabiity of a arge number of activities to abour and equipment based methods. 17

27 Tabe 3.4 Promoting and supporting abour based methods Organise site visits and seminars to encourage commitment to abour based methods from poiticians, donors, Road Managers, members of the road industry participatory framework and oca communities. Provide training courses in abour based methods and abour management. Two factors which can determine the success of abour based methods are good site panning and the correct use of incentive schemes such as daiy tasks. Restrict contracts to contractors whose staff have attended these courses or who have otherwise shown competence. When panning a project, consider the use of abour and equipment based methods. It may be decided to restrict bids to one technoogy (or to specify a technoogy for certain activities) for reasons incuding cost and technica suitabiity. If bids using both technoogies are accepted, compare bids equay using norma assessment criteria. Use designs and specifications suitabe for abour based methods. Limit the quantities of excavation and hauage, identify nearby materia sources and do not specify activities which require arge equipment. As in a contracts, incude a contractua obigation to pay abour on time, protect workers rights and provide heath and safety protection. Let contracts of adequate duration to permit recruitment and training of oca abourers. When assessing bids, use the company history and staff experience of working in communities and with abour based methods as assessment criteria. Aow advance payments to enabe contractors to pay abourers during the first few months or aow the cient to pay abourers directy if the contractor fais to do so. As with equipment based methods, ensure good supervision. Poor supervision eads to poor production rates and poor quaity, osing the commitment and support of outside parties. Encourage the estabishment of oca hand too producers. Ensure that their too quaity is high and that contractors know of the benefits of using good toos. Socia issues and the protection of abour rights are important to the road sector. This protection is often nationa poicy or written into the aw, but ess frequenty turned into practice. Measures which contractors shoud take, whichever technoogy is being used, are given in Box The costs of managing the network In order to obtain funds for maintenance and rehabiitation activities from a funding source (Treasury, Ministry or Road Fund), it is necessary to estimate the cost of managing the network. Costs can be estimated in a number of ways. Four methods are given in Tabe 3.5. A the methods require the estabishment of unit costs, whether for an individua activity per unit output or for annua maintenance costs per kiometre of road. These unit costs must be estabished ocay and must incude a abour, equipment and materia inputs and mobiisation and overhead costs so that they refect the expected cost to the Road Administration. The unit cost wi therefore depend upon the chosen technoogy. The unit costs can either be buit up from the separate inputs or taken from the Road Administration s records of competed contracts Method 1: Rapid Condition Survey This method is based upon a rapid survey of a the roads in the network. The survey is carried out as foows. The road is driven in kiometre engths. After each kiometre, an assessment is made of the average condition of the road over the past kiometre. The carriageway is assessed, and for engineered roads, the drainage is aso assessed. In addition a brief survey is made of a cuverts and bridges. Each item is given a rating from 1 (for no defects) to 5 (for tota faiure). 18

28 Box 3.1 Labour protection measures Daiy task rates Activities are normay divided into daiy tasks to encourage abourers to compete a known amount of work in a day, thus assisting site panning. Many abourers need to work on their farm or at home after their day s work is compete. Daiy tasks shoud be set to aow this. Nationa guidance on daiy tasks may be avaiabe but may need to be adjusted to suit oca conditions such as density of bush or heaviness of soi. First Aid A sites must have first aid faciities staffed by a trained heath worker. Access to a nearby cinic must be possibe at a times in case of more serious injury. For very sma sites or mobie operations, at east one person in the team shoud have basic First Aid training and carry a First Aid kit. HIV/AIDS/STDs Site camps create an environment conducive to the spread of sexuay transmitted diseases (STDs). Encourage heath educators to visit site camps, make condoms readiy avaiabe, aow time for workers to visit famiies, and provide treatment for treatabe STDs. It may be possibe to refund the costs of heath educators visits. Gender issues Encourage women to take empoyment. Set targets for femae invovement, athough these targets shoud not be contractuay binding. Use reigious networks and women s groups to advocate femae invovement. Expain to men s groups why women shoud have the opportunity to work. Singe sex work gangs may be appropriate in some communities. Minimum wage Compy with egay enforceabe minimum rura wages, athough reduction may be agreed between the contractor and ega authority if a daiy task has been based on ess than 8 hours at a norma rate of work. The contractor can decide to pay more than the minimum wage if he or she chooses. Minimum age Compy with ega minimum ages. The genera minimum age may be reaxed by two years for ight work (which is neither hazardous nor compromises schooing or the abiity to benefit from it) with ega consent. This may be reevant where chidren are forced to carry famiy responsibiities as a resut of the death, absence or disabiity of their parents. Ages may have to be estimated in the absence of birth certificates. Importing abour It is preferabe to empoy ocay than to import abourers who have been trained on other sites. This increases a sense of community ownership, benefits the oca economy, aows abourers to work on their farms and reduces HIV/AIDS and other probems in site camps. Loca peope may disrupt a site if they fee they are being denied opportunities by imported abour. It is normay acceptabe, however, for a contractor to retain a core of skied abourers to hep with training on new sites. Non-discrimination Recruit fairy across a sectors of the community (sex, reigion, ethnic, etc) and ensure that no group uses the empoyment opportunity to exert improper contro over another. Community monitoring Communities invoved in abour based works shoud be given the opportunity to form groups to monitor the contractor s compiance with protection measures. The democratic seection of such groups is critica to ensure they are representative of the community. Labour representation Encourage unions or groups to represent the interests of abourers on site. Worker s compensation The contractor must have adequate insurance to pay for treatment and to provide compensation to site workers in case of disabement or injury. This is often a ega requirement. It is common to incude insurance premiums as a preiminary item in a Bi of Quantities. 19