Feeder Roads Project Eastern Province, Zambia Zam/93/009

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

FEEDER ROADS PROJECT

EASTERN PROVINCE, ZAMBIA

ZAM/93/009

Preparation of Enhanced Training Programme for District Staff

Forming Key - Staff of Contract Management Units

Consultancy Report

John Clifton

July 1998 Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

TABLE OF CONTENTS

LIST OF ACRONYMS

ACKNOWLEDGEMENTS

1. EXECUTIVE SUMMARY

2. INTRODUCTION

3. PROJECT BACKGROUND

4. OBJECTIVES OF THE CONSULTANCY

5. METHODOLOGY AND EXECUTION OF CONSULTANCY

6. ASSESSMENT OF DISTRICT CAPACITIES & STAFFING POLICY

6.1 District Capacities 6.2 District Staffing Policies

7. CMU STRUCTURE

8. TRAINING & TECHNICAL ASSISTANCE

8.1 Training 8.2 Technical Assistance

9. BUDGET

10. RECOMMENDATIONS

10.1 District Staffing Policies 10.2 CMU Structure 10.3 Training 10.4 Technical Assistance 10.5 Budget 10.6 General

LIST OF ANNEXES

ANNEX 1 TERMS OF REFERENCE

ANNEX 2 ITINERARY

ANNEX 3 PRINCIPAL CONTACTS

ANNEX 4 LIST OF DOCUMENTS REVIEWED

ANNEX 5 DISTRICT CAPACITIES – SUMMARY OF INTERVIEW DATA

ANNEX 6 TRAINING PROGRAMME

ANNEX 7 TERMS OF REFERENCE – CMUs

ANNEX 9 TERMS OF REFERENCE – TA TEAM

LIST OF ACRONYMS

BOQ Bill of Quantities CTA Chief Technical Advisor CMU Contract Management Unit DC District Council DDP District Development Project DISS Department of Infrastructure and Support Services DOW Director of Works FRP Feeder Roads Project FRS Feeder Roads Section, DISS/MLGH GRZ Government of the Republic of Zambia HQ Headquarters HMS Highway Management System ILO International Labour Organisation ILO/ASIST Advisory Support Information Services and Training – International Labour Organisation IPC Interim Payment Certificate km kilometre MCT Ministry of Communication and Transport MoFED Ministry of Finance and Economic Development MLGH Ministry of Local Government & Housing MWS Ministry of Works and Supply NCC National Council for Construction NCB National Competitive Bidding NRB National Roads Board NDCC National Development Coordinating Committee PLGP Provincial Local Government Officer PMU Project Management Unit PPS Provincial Permanent Secretary PPU Provincial Planning Unit PRB Provincial Roads Board PRE Provincial Roads Engineer PSRP Public Sector Reform Programme RD Roads Department ROADSIP Road Sector Investment Programme RSP Roads Sector Programme RTS Roads Department Training School TA Technical Assistance TC Trial Contract TOR Terms of Reference UNCDF United Nations Capital Development Fund UNDP United Nations Development Programme Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 USD United States dollar WB World Bank ZK Zambian Kwacha (ROE USD = ZK1850– June 1998)

ACKNOWLEDGEMENTS

Grateful thanks are expressed to all officials and individuals met during the course of this consultancy for their support and assistance without which the execution of this assignment would not have been possible.

Particular thanks are expressed to Jean-Christophe Charlier, UNDP, Lusaka and all FRP personnel in Eastern Province for their invaluable advice, technical and logistical assistance.

This report reflects only the views and opinions of the consultant which do not necessarily correspond with those of the Government of the Republic of Zambia, UNCDF, UNDP or ILO/ASIST.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

1. EXECUTIVE SUMMARY

This consultancy concentrates upon assessment of district council capacities and preparation of an enhanced training programme for district personnel. Project efforts have previously been largely engaged on contractor (and more recently local consultant) development and the project TA team is, in effect, currently acting as a provincial Contract Management Unit.

District Capacities

In Eastern Province district capacities are typically weak with lack of funding, unfilled vacancies, lack of resources, low staff morale, late payment of salaries, unpaid bills and high turnover of staff. There is however, some evidence that district financial management capability has a direct bearing upon the district situation; not all blame for these circumstances can necessarily be directed elsewhere.

District Council Staffing Policies

Given this situation combined with the difficulty in attracting suitably qualified and experienced staff, districts have often resorted to employment or promotion of under or inappropriately qualified or inexperienced persons or transfers of trained staff away from their trained speciality in order to fill the more urgent vacancies. This staffing policy of pragmatism should be restrained with suitably qualified persons being appointed and a suggested phased priority of district technical appointments is suggested. Undertakings should be sought from districts regarding retention of trained personnel in post.

In a wider perspective the revenue base and financial management systems of districts should be reviewed and linked with an examination of what reasonable level of GRZ support is required. The staffing establishment of districts as a whole should be reviewed.

CMU Structure

The project document is not specific as to the structure of CMUs beyond their being district based and having responsibility for rehabilitation and maintenance contract management. Taking account of the current and foreseeable situation it is recommended that CMUs are established in each district for maintenance (and consultancy) contract management plus supervision of works using existing staff. Only in the case of proven capability should a district CMU cover rehabilitation contract preparation or act in an Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 intra-district capacity covering more than one district. Further, it may be argued that, in principle, there is no need to develop district CMU capacities beyond that first level as rehabilitation is likely to be an intermittent activity

which, as far as contract preparation is concerned, could be covered by the consultants trained under the project.

Training

Training for existing district staff is identified with particular emphasis upon Directors of Works who, despite being key personnel for CMU operation have received no previous FRP/RTS training plus follow up and problem solving training for previous RTS trainees who remain in post. Short courses and workshops in particular subjects are identified plus an Awareness Seminar and short Study Tour for Council Secretaries and senior personnel from related institutions. No other personnel in post are recommended for formal training at this stage and other formal training would be dependent upon successful recruitment for various posts and is thus included provisionally only. In all cases existing course materials, adapted to the Zambian situation, should be used. Increased mentorship effort should be made and an early start to ‘internship’ of district staff is recommended.

Technical Assistance

The TA team is currently filling the role of an informal provincial CMU. Despite the previous support of RTS and with the current assistance of a consultant, Norconsult A.S, involved principally in consultant development and development of rehabilitation contract documents, the team is under extreme pressure to adequately cover all project duties. This situation is aggravated by the extended absence of one of the National Engineers.

An increase of one person in TA staff is recommended for a period of 18 months to take specific responsibility for district council CMU establishment together with associated training, support and mentorship, Also attempts should be made to cover for the absence of the National Engineer.

The TA team should withdraw from the line function of contract preparation and management as soon as possible and the development of local consultants for preparation of rehabilitation contracts should be expedited.

General

Although this wider issue is outside the scope of this consultancy the outcome has a direct bearing upon the ultimate capacity of districts to deliver not only CMUs but also any and all services. District responsibilities and capacity to respond to these responsibilities must be looked at in their entirety. Technical Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 functions cannot be isolated from the district situation as a whole. The institutional landscape should be clarified and consideration given as to how devolved responsibilities and resources can be matched in order to adequately fulfill those duties.

2. INTRODUCTION

This assignment was carried out by John Clifton, Independent Consultant between 25 May1998 and 19 June 1998.

All eight districts in Eastern Provinces were visited and interviews were carried out with all available district technical staff involved in road rehabilitation and maintenance. Where possible, FRP rehabilitated and maintained roads were travelled and thus the Kalambana, Sinda, Tamanda, Chipalamba and Mumbi Loops plus Saya, Mwase and Naviruli roads were visited.

Discussions were held with personnel from UNDP/UNCDF, ILO (Lusaka), ILO/ASIST (Nairobi and Harare), RTS, NRB, MLGH/DISS, MWS, DDP, ACEZ, FRP and Norconsult A.S.

All available relevant background documentation and reports were reviewed.

The assignment was commissioned by ILO/ASIST in Harare on behalf of FRP in order to analyse the capacity of district council staff and to prepare an enhanced training programme for district staff.

The following specific activities were carried out:

• Analysis of cvs, personal interviews and assessment of capability of existing district council staff with recommendation as to their participation in the new CMUs

• Preparation of training plan including time schedule, outline of subjects and budget

• Recommendations regarding continued role of PMU in training district staff, inputs and costs

• Analysis of DC recruitment policies and recommendations to improve such policies

On 15 June 1998 in Chipata, all provisional findings were debated with representatives of districts in Eastern Province and consensus reached on the broad range of issues covered in this report. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

On 18 June 1998 in Lusaka, all findings and recommendations were presented to and discussed with project stakeholders (ILO, ACEZ, NRB, RTS, UNDP/UNCDF, MLGH/DISS and ILO/ASIST). Issues and comments arising from these meetings have been incorporated into this report.

Annexes are attached as follows:

Annex 1 Terms of Reference Annex 2 Itinerary Annex 3 Principal Contacts Annex 4 List of Documents Reviewed Annex 5 District Capacity – Summary of Interview Data Annex 6 Training Programme Annex 7 Terms of Reference – CMUs Annex 8 Job Descriptions – CMU Personnel Annex 9 Terms of Reference – TA Team

The draft final document was completed after departure from Zambia and submitted to project partners through ILO/ASIST, in Harare. Subsequent comments received from FRP have been included in this final document.

3. PROJECT BACKGROUND

The ‘Rehabilitation and Maintenance of Feeder Roads in Eastern Province’ Project covering 5 out of (then) 7 districts in Eastern Province began in 1996 and is executed by MLGH and implemented by the PMU and district councils. Funding is by GRZ (USD 1 million), UNDP (USD1.2 million) and UNCDF (USD 4.9 million). ILO is an Associated Agency and is also providing technical backup and support activities.

Objectives of stimulation of agricultural production, increased incomes and quality of life of local people through rehabilitation, maintenance and sustainable use of roads are to be attained by means of development objectives of ‘…contribution to sustainable development of Eastern Province through the establishment of a comprehensive integrated strategy for rural infrastructure for rural development, relying to the extent possible on locally available private sector resources and the capacity of district councils’

FRP is expected to assist GRZ policies of decentralisation and privatisation activities. MLGH policy for implementation of the national initiative devolve upon districts which, in their role as highway authority for district (feeder) roads are expected to manage road rehabilitation and maintenance of their road networks. FRP is thus seeking to assist the districts in setting up a Contract Management Unit in each district.

• Training of 7 small scale labour based rehabilitation contractors and rehabilitation of some 450km of roads during the life of the project

• Training of 25 small scale maintenance contractors with 700km of feeder roads coming under a routine maintenance regime by the end of the project

• Strengthening of district capacity to be able to fulfil their obligations as roads authority for district roads

To date FRP has concentrated activities on training of contractors (and more recently local consultants) to carry out rehabilitation and maintenance of roads with PMU carrying a largely line management and execution function in place of the district councils.

However, progress has been made in strengthening district capacities:

• 14 supervisors from 7 districts have received training at RTS in labour based rehabilitation and maintenance (8 remain in post)

• for 5 districts receiving capital support:

~ 5 supervisors have received formal and practical training in road inventory and surveys for preparation of rehabilitation contracts (2 remain in post)

~ 5 supervisors have received on job training in supervision of rehabilitation works (2 remain in post)

~ 10 supervisors were undergoing practical training in the districts in supervision of maintenance and rehabilitation works carried out by the trained contractors (6 remain in post)

~ 5 Directors of Works have attended a 2 week Workshop in Harare in early 1998 – ‘ Management of Labour Based Contract Works’ (4 remain in post)

~ district bank accounts have been opened (although not all are operational) and funds disbursed from GRZ contribution for contract management purposes – DSA, stationery, fuel and maintenance of supervision vehicle (GRZ contribution funds were transferred in arrears late 1997; no GRZ contribution funds have yet been transferred in 1998)

~ a pick up has been issued to the DOW for contract management purposes

• all 8 districts are to receive surveying, computer and office equipment and some training in the use of this equipment is planned by FRP. (Note that originally there were 7 districts in Eastern Province. Recently, an eighth district has been formed by splitting Mambwe District off Chipata Municipality).

District technical and resource capacity is widely perceived as very poor. ‘…… Staff turnover is high and the performance of personnel is affected by poor morale and lack of motivation …….’ Financial resources and revenue base are already inadequate, even before any new duties or responsibilities are assumed, an unsatisfactory situation made worse by late payments by GRZ.

4. OBJECTIVES OF THE CONSULTANCY

No list of expected outputs is included in the TOR but various aims and purposes are stated. These may be summarised as assessing the DC capacities and preparing an enhanced training programme for DC staff. More specifically:

• Analysis of cvs of existing staff of District Works Departments

• Personal interviews with the same staff members and their superiors

• Assessment of the capacities of existing staff (by analysing training reports prepared by RTS and by conducting formal tests)

• Provide recommendations as to the participation of existing staff in the new CMUs with a view to their present capacities and suitability for the new tasks in the CMUs including any necessary replacement of staff or recruitment of new staff

• Prepare a training programme including proposed time scale, outline of the subjects to be included in the courses and budget

• Look at the continued role of the PMU with regard to training of DC staff considering extended inputs and cost implications

• Indicate possible sources of financing

• Analyse DCs staff recruitment and retention policies to see how they contribute to the delivery of district capacity to management of road rehabilitation and maintenance by contract within the next 2 years, advising how to improve these policies in any way that will contribute Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 positively to timely replacement, recruitment and retention of key personnel.

5. METHODOLOGY AND EXECUTION OF THE CONSULTANCY

A major part of the assignment is to assess district capacity for establishment of CMUs. Visits were thus made to all 8 districts in Eastern Province. Districts had been advised in advance by FRP and supplied details of the purpose of the visit, TOR of the consultancy, a proposed programme, a check list of issues to be covered during the course of district interviews and, for discussion only at this stage, a first draft of TOR for CMUs. In some cases this documentation had gone astray and in such circumstances copies of documentation were presented during the initial briefing of the Council Secretary. Copies of the documents are included in Annex A – TOR and Annex 5 – District Capacities: Summary of Interview Data. Council Secretaries or their nominees were also invited to a meeting at Chipata on 15 June 1998 at which provisional findings of the consultancy were presented and debated, and consensus was sought on recommendations.

Whenever possible a standard procedure was followed commencing with an introductory meeting with the Council Secretary followed by a meeting with the Director of Works. After restatement of the purposes of the visit the following general issues were discussed:

• Perceptions of decentralisation, role of DCs, privatisation, LB works, CMU

• Revenue, budgets

• Organigram of DC technical department/CMU – establishment/actual

• Staffing policy/turnover

• Length of road under District responsibility

• Acceptability of intra-district or provincial capacity

Individual interviews with district technical staff involved in district road works, including the DOW, were preceded where possible by a general group explanation of the purposes of the visit to all such staff in a group. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Personal inventory sheets had been previously completed in some cases but blanks were supplied for completion during the course of the interviews which covered the following points:

• Personal Inventory form available?

• Personal details

• Education

• Training

• Experience – LB/plant based, supervision of works, contract management

• Personal comments by individual

A more detailed check list of specific experience was completed by the consultant during the course of the interview (copy included in Annex 5).

A brief wrap up meeting was then held with the DOW and Council Secretary.

In case of non availability a request was made for a subsequent appointment with that person in Chipata during the period 11 – 15 June 1998.

The visit would usually be completed in half a day, typically spending 40 – 60 minutes on each interview. Travelling times between districts varied from one to seven hours and thus for planning purposes only one district could be covered each working day (in fact coverage of the eight districts required nine days).

Specific attention was paid to district staff who had previously received training in labour based methods at RTS (although some of these are not now engaged on road works and none of these prodigals were available for interview).

Subsequently the interview results were rated (scored) in three categories:

• Education

• Experience

• Aptitude/interest

Marks were awarded as follows: Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Education Less than Grade 12 0 points Grade 12 1 point City & Guilds Final Certificate 2 points Other Degree 3 points Diploma in Civil Engineering 4 points Degree in Civil Engineering 5 points The result was expressed as a percentage.

Experience For each category of specific experience:

No experience 0 points Little ad hoc experience 1 point Experience in some aspects 2 points Formal training 3 points Practical experience after formal training 4 points Good competence 5 points The scoring for each category was summed and the final result expressed as a percentage.

Aptitude/Interest No aptitude or interest 0 points Expressed interest but serious problems (eg English language difficulties) 1 point Expressed interest but likely to be short term in post or other constraint 2 points Expressed interest 3 points Interest/commitment justified during Interview 4 points Special eagerness 5 points The scoring was expressed as a percentage.

A cut off of 40% for Education and Aptitude was used as a level below which formal training is not recommended (except in the case of refresher courses to persons who have previously undergone formal training). Realistically achievable levels of acceptability for experience were 75% - optimal, 55% - minimum for functionality in the post. Note however, that although the same aspects were examined for all staff interviewed adjustment was made for the different levels of experience to be expected from different levels of staff and thus an assessment of, for example 35% for a DOW and a Works Foreman, does not necessarily indicate they are of the same absolute level of experience or competence, simply that they have the same level within their category.

Summaries of assessment for all district staff interviewed are included in Annex 5.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 A shortcoming of this type of ‘snapshot’ assessment is that the qualified and experienced incompetent may not always be identified. Thus in doubtful cases particular correlation has been sought from any longer term FRP and RTS assessments (eg course performance and mentorship notes).

From this data, training needs are identified for staff in place. Numbers and quality of staff in place are compared with estimated needs for CMU establishment and recruitment needs identified. In a few cases recommendations are made concerning compatibility of certain personnel with requirements for training for a particular CMU post.

Training courses are thus identified together with identification of trainees based upon the expected profile of any new recruits and upon the training needs assessment of existing staff. Thence timescales and budgets have been estimated including additional TA input.

These recommendations have been discussed with districts, FRP and RTS.

6. ASSESSMENT OF DISTRICT CAPACITIES & STAFFING POLICIES

6.1 District Capacities

There are eight districts in Eastern Province (Chipata, Chadiza, Katate, Petauke, Nyimba, Mambwe, Lundazi and Chama), one of which, Chipata, is a municipality. The chief executive officer of each council is the Council Secretary (Administrator in the case of Chama) whilst Chipata is led by a Town Clerk who is of higher seniority. Each district has a Director of Works (except Chipata – Director of Engineering Services) responsible for technical services. One district, Mambwe, has only been established a short period having previously formed part of Chipata District.

Visits to all the districts revealed a similar pattern of extreme financial straits, vacancies unfilled, lack of resources to cover even the most basic functions of district responsibility, low staff morale, high turnover of staff and late payment of salaries (see Chart 6.1 below). Some complaints were made of inequitable distribution of funds to districts by MLGH. Most districts commented upon the extreme difficulty of attracting suitable candidates for posts in rural areas with few amenities even were sufficient funds available to pay salaries. Most districts have no housing available for newly appointed staff.

District Delay in payment of salary /months Chipata 3 Chadiza 11 Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 Katete 1 Petauke 3 Nyimba 4 – 7 Mambwe 2 Lundazi 3 Chama 18 - 20

Chart 6.1

Anecdotal evidence suggests this situation is widespread nationally. Should this be proven so to be then there is a serious impediment to other capacity building efforts in the roads sector which will have to be addressed in project design.

FRP is supplying all districts with basic survey, computer, fax and photocopier machines and some other office equipment. The five districts receiving capital assistance have received a pick up and soils testing equipment

The districts vary in their approved establishment numbers and in the designation of posts but the structure of the various Works Departments are broadly similar as regards maintenance and rehabilitation as below (Chart 6.2)

DIRECTOR OF WORKS

DEPUTY DOW

ASSISTANT ASSISTANT DOW DOW

WORKS WORKS FOREMAN/ROAD FOREMAN/ROAD SUPERVISOR SUPERVISOR (MAINTENANCE) (REHAB)

Chart 6.2

Despite all the problems noted above most districts support the GRZ policy of decentralisation and privatisation.

Chipata Municipality

Only one truck and one tractor operational, all other transport broken down. No funds normally available for fuel. Telephones cut off 6 years ago due to non payment of bills. Reported salary arrears of 3 months. Sometimes stationery and tools not available. Apparently less staff turnover than other districts. Mechanical workshop not functioning (no mechanics) – district vehicles are repaired by private garages when funds permit. Positive response to privatisation initiatives. Current vacancies for Deputy DOW and Assistant DOW. Single candidate for LB contract supervision training identified by DOW although this person was not available for interview. Both participants at RTS course in post.

Chadiza District

Reported delays in payment of GRZ monies to district and current salary arrears of 11 months. Difficulty in attracting candidates to this rural posting. Positive towards privatisation of road rehabilitation and maintenance. Current vacancies for Deputy DOW and Assistant DOW. Although the district does not have capacity to prepare maintenance and rehabilitation contracts, Chadiza does not wish to be covered by any intra-district CMU as it would prefer to build up in-district capacity. Clerical Officer identified by DOW as potential candidate for RTS LB contract supervision training although no previous engineering experience. One out two participants at RTS course in post.

Katete District

Current vacancy for Assistant DOW. Reported that district revenues should be available for salaries of additional staff if required and that salary arrears are currently one month. No GRZ contributions yet received in 1998. Strongly in favour of decentralisation to districts and positive towards to LB contracting (spreading benefits and income into rural areas). Critical of MWS approach of targeting only Great East Road and Cassacatiza Road without consultation with district. DOW commented that Harare Workshop in Management of LB Contract Works was not applicable to his situation. Some complaints that insufficient funds available for allowances. Both participants at RTS course in post. No further candidates for LB contract supervision training identified. This district appears to be enjoying better circumstances than other districts in Eastern Province.

Nyimba District

Currently salaries 4 months in arrears with current vacancies for DOW (currently being re-advertised) and Works Foreman. Difficulties in attracting Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 candidates because there are no facilities for staff. The district believs that there should greater effort in training district personnel but no suitable candidates for LB contract supervision training were identified. Positive towards privatisation and decentralisation although problems recognised in supervision of contracts. One out of two participants at RTS course in post.

Petauke District

Current vacancies for Works Foreman and Assistant DOW (ex RTS course - transferred to other duties). Positive towards decentralisation to districts (long overdue) although concerned that there may be too great a level distance between MLGH and the districts if there is to be no intermediate level authority. Not convinced that all council services can be privatised although increased speed and efficiency of contractors are noted. Positive towards LB works (employment generation, sense of ownership). Funding from GRZ

received very late with salaries 3 months in arrears. Suggested that it would be difficult to establish CMUs in the district as both participants in RTS course no longer engaged on FRP works although in the past there has been some cooperation between Petauke and Nyimba Districts. Comments on poor suitability of Zimbabwe Workshop in Management of LB Contract Works to Zambian situation. Strongly aware of need for councils to employ suitably qualified and experienced personnel. Functioning mechanical workshop. No further candidates identified for LB contract supervision training.

Mambwe District

Established in November 1997 with only Council Secretary, Treasurer, DPO (first day of work on the day of the visit) and Administration Officer in place. Only one truck operational for all transport needs but no funds for fuel (including fuel for borehole pumps which cannot be maintained in any case). Advertisements for DOW in 1997 produced no applicants and the post is being re-advertised (with required qualification of degree in Civil Engineering). Some monies received from GRZ in February 1998 but salary arrears of 2 months. Dependent upon assistance from Chipata Municipality. No participants on RTS course. No candidates identified for LB contract supervision training.

Lundazi District

Requirements of ZK 7 – 10 million per month compared with erratic receipts from GRZ of ZK 2 – 3 million. Salary arrears 3 months plus other funding problems – no fuel, telephones cut off, no allowances. Vacancies for Deputy DOW and Assistant DOW. One out of two participants at RTC course in post. No further candidates identified for LB contract supervision training.

Current vacancies for DOW and Assistant DOW. Remaining participant at RTS course awaiting possible transfer to Petauke which would leave this district with only a Works Foreman who received training in direct labour execution of LB works at RTS before FRP although he has never had chance to practically apply this training. Salary arrears 18 – 20 months. Little monies available for fuel but one telephone line has recently been re-connected after being cut off for a long period. No candidates identified for further LB contract training except possible persons of minimum education level in Administration or Accounts Departments (none available for interview).

Chart A in Annex 5 summarises the position regarding all technical staff in place in the districts. The assessed education, experience and aptitude profiles may be compared with the optimum and minimum profiles for functionality in a particular post. It may be seen that ability/experience levels are generally disappointing although, as to be expected, all participants at RTS courses score

better than non-participants with average results near to the estimated minimum functional level. Persons who have received no specific training in LB contract techniques have a significantly lower profile. This includes a number of the DOWs who have not received any focussed training other than participating in the Harare Workshop on Labour Based Contract Management (which received mixed reactions from DOWs interviewed).

6.2 District Council Staffing Policies

Given the precarious financial situation and lack of amenities (eg housing) of most district councils it is not surprising that great difficulties are encountered in attracting candidates for the many vacant posts. It is reported that there may be concurrently considerable numbers of under-employed persons in district employment who continue in a post which has ceased to function but who enjoy security of tenure. Some districts are reducing their excessive payroll although redundancy payments are a serious burden on the council budget.

Also, there is a general shortage of academically qualified and experienced candidates in the country as whole. Thus, even when a district seeks to fill a post with a suitably qualified person (eg degree in Civil Engineering for DOW) successful appointment is problematical. In these situations some districts have opted to employ anyone who could plausibly carry out the functions of the post almost regardless of qualifications and background.

It is not clear whether it may be possible, through the good offices of MLGH, to arrange transfers of staff from elsewhere or indeed whether such transferred persons would remain in that post. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Further, the numerous vacancies are often filled by pragmatic transfer of staff to other duties, often only vaguely related to the previous function or training of that person. This is clearly a problem with FRP/RTS trained supervisors where only 8 out of 14 trained staff remain in post and only 2 out of 5 district staff trained in preparation and supervision of rehabilitation contracts remain in post (although in fairness not all of the missing staff have been transferred; there has been other wastage also).

Solutions are easy to identify but rather more difficult to implement given the current situation of institutional and financial uncertainty and change in Zambia. The districts can only function as responsible authorities when adequate resources (personnel, facilities, funding) are available so to do. This is recognised at the highest level. The National Decentralisation Draft policy – ‘Towards Empowering the People’, produced by the Cabinet Office states ‘ … the functions deconcentrated and or devolved from the centre to the province and district are not backed by matching resources …..’ and goes on ‘In the case of local authorities prescribed functions apply to all of them regardless of status and capacity. This has led to failure by virtually all local authorities to

perform the prescribed functions to expectations’. (Incidentally, in the list of functions to be performed by councils – including districts – roads are not specifically mentioned and are thus presumed to be included under either ‘j) Infrastructure development and management’ or n) ‘Other functions’). This situation thus requires a commitment by GRZ/MLGH to examine revenue and funding mechanisms for district councils on a national level and work out minimum levels of GRZ financial support commensurate with realistic local district revenue sources (eg grain levy, market and trading licenses, burial fees, dog licenses, bill boards, land and building charges), duties to be executed by the district and agreed establishment. Also, there must be critical scrutiny of district fiscal management with transparent procedures put in place and suitable training in financial management [It is understood that strengthening and support to district financial management structures, including administration of road sector finances, is a component of DDP support]. (The relatively robust financial health of Katete District in comparison with other districts in Eastern Province is suggested by other districts to be the result of exceptional grain movements from the district).

Suggestions have been made that future capital assistance (ie rehabilitation) should be directed only to districts with an adequate technical staff in place.

Recommendations regarding district staffing policy are included in Chapter 10.

7. CMU STRUCTURE Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

The Addendum to the Project Agreement has various references to capacity development:

Immediate Objective 1 – ‘By the end of the project period a capacity will be established and operational within the district technical departments to plan, design, implement and monitor road rehabilitation and maintenance works using the most cost effective construction technology and labour based methods primarily based on the use of locally available resources and with the participation of the private sector construction industry’.

• Outputs in relation to Immediate objective 1 include ‘district staff trained in selection, planning, implementation and management of contracts for road rehabilitation and maintenance (Output 1.1), supervisory site staff trained in supervision of ….. works carried out by private sector (Output 1.2), routine and periodic maintenance programmes established and implemented for rehabilitated roads (Output 1.3), an efficient system of contract management tested and established within the districts including tender procedures, contract documentation and payment procedures (Output 1.4) and an effective monitoring and reporting system established ….. (output 1.5)’.

‘The capacity building component is aimed at providing district council technical staff with the necessary expertise to carry out the project and establish the capacity to take over the management of the programme before the end of the project period’.

Output related activities (in relation to Outputs 1.1 and 1.2) include:

• ‘The core staff of the district CMUs will be identified and their roles and responsibilities allocated. A training programme will identify required training inputs. A structural programme will be developed in collaboration with RTS staff ……’

• ‘Contracts supervisors from CMUs will be deployed on site construction works ……’

• ‘Senior CMU staff will gain on the job experience in selection, planning, design, implementation and management of contracts …….. Mobility of CMU staff will be important for this work to be effective’.

An assessment of CMU capacity to manage contracts was to be carried out in May 1997 and annual maintenance contracts under the supervision of district CMUs were planned to be in place by the end of 1997.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 Be that as it may, there is no specific reference to the expected structure of the CMUs beyond their being district based and having responsibilities for management of rehabilitation and maintenance contracts.

Thus, as a first step, a draft TOR for CMUs has been drafted and discussed with districts. A subsequently modified version of this TOR was then drawn up and is included in Annex 7 – Terms of Reference CMUs. This is hopefully a more concise statement of the functions set out in more detail below:

i) The CMU will advise the district council in selection of roads for maintenance (and rehabilitation). The basic rule is that selected roads must be in a sufficiently good state as to actually be maintainable and that all rehabilitated roads will be subsequently maintained.

ii) The CMU will maintain an inventory and condition survey of roads sufficient for rational selection and prioritisation of roads for maintenance (and rehabilitation).

iii) Traffic data will be collected where possible.

iv) In connection with a programme of maintenance the CMU will be required to:

• Prepare an annual maintenance programme • Prepare contracts, administer tendering and award of contracts • Supervise and certify completed works • Prepare reports as required.

i) In connection with rehabilitation works the CMU will be required to:

• Assess required work and estimate quantities • Identify suitable quarries and deal with site access and land compensation issues • Inform and advise local communities of the proposed works • Estimate costs • Prepare contracts and administer tendering and award of contracts • Supervise and certify completed works • Prepare reports as required

The consultant is not convinced that there will be a continuation on a regular basis of rehabilitation in the 5 districts currently receiving capital assistance after the life of the present project, without some form of continuing external support. (Thus all references to (possibly intermittent or short term) Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 rehabilitation works [and consultants] in the TOR and list of duties above are shown in italics). Combining this consideration with the relatively higher demands of rehabilitation contract preparation and management (in comparison to maintenance contracts), current district staffing and capacity situation and wastage of specifically trained personnel it is suggested that efforts should be focussed on building district CMU capacity for maintenance contract management only at this stage. Although the stated objectives of development of district CMU capability for rehabilitation and maintenance are noted, it is suggested that in the current circumstances this may only be possible in the case of perhaps Chipata and Katete District and it is thus proposed that a series of intermediate steps should be taken towards this end.

(As an aside it is suggested that the project target of a district CMU capacity to manage maintenance and rehabilitation contracts may not be necessary given that rehabilitation may only be an occasional activity and that local consultants have been developed by the project specifically for rehabilitation contract preparation in a role that is intended to be complementary to CMU capability, not in competition)

Previous proposals have considered the establishment of a provincial CMU (primarily for management of rehabilitation contracts) and/or intra-district CMUs. PMU is currently carrying out not only contractor and consultant development but also a line function of contract management. PMU is a de facto provincial CMU. Thus, formal establishment of a provincial CMU would be a logical and direct successor to the present project structure in

which appointed CMU staff could act as direct counterparts to project TA personnel for the remaining project life. Such a provincial CMU would act as a rehabilitation management unit while supervising the activities of district (maintenance) CMUs. A provincial unit would have institutional parallels with proposals for PRBs and present PRE establishment. Although it is the opinion of the consultant that such a structure could be the preferred technical solution to rehabilitation contract management either as a finished product or as a first step towards districts taking over full responsibilities (as and when district circumstances improve), it is understood that this proposal is unacceptable on policy grounds related to decentralisation and possible phasing out of the provincial structure in favour of regions, each comprising 3 provinces (Towards Empowering the People. Cabinet Office).

(Against this back ground it is understood that NRB is curently considering the establishment of a national CMU to be provided by consultants selected by ICB).

Modified proposals have suggested establishment of intra-district CMUs, again primarily for rehabilitation contract management but also in the case of some weaker districts, for assistance with management of maintenance.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 However, only Katete and Chipata have the possibility of setting up such units at the time being and this arrangement could lead to logistical overload and duplication of effort in comparison to a single provincial unit. Further, it is suggested that even for Chipata and Katete, capacity and resources are probably too fragile to carry out this proposal at this stage (also bearing in mind that rehabilitation may not be carried out on a regular basis in any districts after the end of the project). Despite these reservations it is suggested that Chipata will, for the foreseeable future, have to cover Mambwe District even for maintenance management.

It is thus suggested that the following objectives are achievable given the present situation either as a final or intermediate (ie first step towards total district CMU capacity which would only be possible as and when district resources improve) solution:

a) District CMUs be established for maintenance contract management. Some districts could be combined if necessary as a temporary measure (eg Nyimba and Petauke, Chipata and Mambwe) but other combinations could be logistically killing (eg Lundazi and Chama).

b) For the time being at least, all rehabilitation contracts should be planned to be prepared by consultants currently undergoing training with FRP. Supervision of the consultants and of the contractors would be by the incumbent district. Payment of consultancy fees, allowances, transport costs etc would have to be by specific agreement between the funding agency (donor, NRB and whosoever) in order to ensure an agreed and reasonable profit for the consultant.

c) If, after establishment of the maintenance function, there is manifest capacity in Chipata and Katete Districts to manage rehabilitation, then extend their functions to this end (if, of course, rehabilitation contracts are not to be covered by consultants).

The original district CMU proposals, based upon responsibility for both rehabilitation and maintenance contracts was as below (Chart 7.1).

Director CMU (DOW) Secretary

Dep Dir CMU Ass Dir CMU Rehabilitation Maintenance (Dep DOW) (Ass DOW) Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Chart 7.1

The maintenance programme for Eastern Province for 1998 is shown in Table 7.2 below. This is expected to double in 1999 but will not necessarily continue to increase in this way in subsequent years.

This level of maintenance activity should be compared with the estimated average length of roads in each district ie 500 - 600km. The length of road in Eastern Province under district council responsibility is estimated to be of the order of 5000km of gazetted district and rural roads plus ungazetted rural roads. This figure should be treated with circumspection as no definitive list of district roads has been identified for Eastern Province and despite requests, only a few districts were able to supply a list of district roads or a sketch map.

It is suggested that for this level of maintenance activity and if only maintenance contract management and supervision of consultants (and rehabilitation works) is proposed, this originally proposed establishment could be reduced as below (Chart 7.3). This structure could be achievable with present district staffing levels (although perhaps the head of the CMU should, in principle in the longer term as hopefully conditions improve, be the deputy DOW [or even Assistant DOW] as the DOW is responsible for other technical and engineering functions. However, this would be dependent upon effective operation of the CMU which in turn would be dependent upon adequate training of such staff including the DOW who is critical to CMU operation and who has received no formal training to date. (It was assumed that an adequate level of knowledge and experience had accrued by virtue of appointment as DOW: it is suggested that this assumption is unsafe.)

Subsequent comments received from FRP (as an outcome of a recent meeting of DOWs) consider problems of ensuring that there is an adequate site presence of supervisory staff (there are constant transport problems which presently limit the site visits of CMU staff). The meeting has thus proposed that permanent client representatives should be posted to each site with responsibility for basic measurement and quality control (acting as Inspectors of Works) reporting to the CMU supervisor responsible for maintenance/rehabilitation who would visit each site on a weekly basis. These Site Technicians will be of lower level (eg mason, carpenter, foreman) and will receive an ‘upkeep allowance’ on top of their normal salaries. Transport would be provided by the contractor. Such personnel are stated to be identifiable for most districts and it is proposed that each CMU should have an inspector responsible for maintenance and rehabilitation. These personnel will require training in inspection, quality control and measurement of works.

DISTRICT 1998 TYPE OF WORK Maintenance/km Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 CHIPATA 50 Road formation Culvert construction Drainage works Spot gravelling Vegetation control CHADIZA 50 Bush clearing Culvert construction Drainage works Heavy grading KATETE 50 Bush clearing Reshaping Spot gravelling Pothole patching Drainage works PETAUKE 46 Heavy grading Spot gravelling Road formation Bush clearing Drainage works Regravelling NYIMBA 49 Heavy grading Regravelling Culvert construction MAMBWE 50 Heavy grading Vegetation control LUNDAZI 50 Vegetation control Pothole patching Grading Drainage Embankment CHAMA 50 Culvert, drift construction Bush clearing Road formation & drainage

Table 7.2

As a note of concern the loss of a single RTS trained person in any of 4 districts will render impossible the immediate target of CMU establishment in that district without recruitment and further training.

Draft Job Descriptions for the key personnel are included in Annex 8 (Job Descriptions – CMU Personnel). Note that these job descriptions refer only to duties in connection with the CMU and these persons may have other parallel duties assigned by the district (eg DOW is responsible for all district technical services).

Director of CMU (DOW) Consultants Contracts and supervision Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Secretary

DEP Dir CMU (Dep/Ass DOW) Maintenance

Chart 7.3

The Briefing Meeting at NRB on 18.06.98 attended by representatives of NRB, MLGH, RTS, UNDP, ILO, ILO/ASIST, FRP, ACEZ, MWS and DISS was characterised by consensus on a wide range of issues:

• Enhanced training may be required for establishment of district CMU technical capacity but sustainability can only be assured if the institutional framework within which the districts operate is itself sustainable. At the present time this is not so.

• The issue of wider institutional development and change must be addressed urgently even though there is apparent inertia and resistance to change.

• National dissemination of contract management capacity is a long term exercise.

• Analogies can be drawn and lessons learned from recent initiatives for privatisation of utilities eg water, electricity.

8. TRAINING & TECHNICAL ASSISTANCE

8.1 Training

In drawing up an enhanced training programme for district personnel some ground rules have been followed:

• Training plans should deal with the situation as it is, not as it should be or might be in the future, or even as one would like it to be.

• Although recommendations are made for recruitment of various categories of district staff, formal and follow-up training should begin with those persons in place even if these persons may not be ideal material. Later Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 courses or repeat training is included as provisional only and is dependent upon successful recruitment.

• Training should be directly relevant to the expected function of the trainee and should cover critical aspects whether these are technical or non- technical subjects (eg the Director of the CMU requires knowledge of management and administration, not only engineering; plant based as well as labour based methods are expected to be used in the execution of the maintenance programme).

• There should be no ‘reinvention of the wheel’. All course materials must be based upon readily available materials of proven utility (eg RTS materials, IYCB, SYCB, ROMAR) but with adaption as necessary to the Zambian situation. Detailed course preparation should thus be expedited and quality of content assured.

• There should be a detailed post-course assessment, say, 6 months after completion of formal training carried out by FRP TA (in conjuction with RTS where applicable). A problem orientated refresher course or workshop (one week) should be planned 9 - 12 months after completion of training based upon case studies and issues identified during the assessment. However, formal training alone cannot be expected to turn out fully fledged contracts supervisors or managers as an important part of the training begins only after the formal training (on job training and mentorship by persons with experience in all aspects of contract management ie TA team and RTS). This phase will continue to the end of the project period.

Thus, combining the findings regarding district capacity (Chapter 6 and Annex 5) with the training needs assessment (Chart B in Annex 6) leads to the following conclusions:

~ The DOWs are critical to the operation of CMUs and will occupy the position of Director of the CMU, at least in the short to medium term. They also have responsibility for other district technical services. Other than attendance at the Harare Workshop – Management of Labour Based Contract Works (which received mixed reviews from participants) these officers have received no formal training under FRP as it was tacitly assumed that by virtue of their position adequate knowledge had been attained. Assessment of capability shows substandard levels in 5 out of 7 (DOWs and Deputy DOWs) interviewed compared with the estimated minimum level required for functionality for that post. 5 out of 8 districts have a DOW in place and in 2 out of the 3 vacancies a Deputy DOW is acting as DOW. All vacant posts are currently being (re)advertised and this post is the most Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 likely to be filled of all vacancies. It is thus proposed that all DOWs (and Acting DOWs) should attend a course ‘Management of a District Road Network’. Suggested topics (for this and other proposed courses) are listed in Annex 6 – Training Programme, together with course duration, participants, starting date, suggested venue and a proposed programme of training.

~ Council Secretaries are involved in FRP and DDP, attending NCC meetings and other forum. However, during the course of district visits there appeared to be some lack of clarity as to, inter alia, issues of privatisation, the role of the district as highway authority, relationship with MLGH and NRB, contract management and choice of technology and a distinct ‘lack of ownership’ of the project. It is thus proposed that an Awareness Seminar should be organised to which should be invited representatives of NRB, MLGH and MWS as well as district council personnel. Further, a study tour to a similar contractor development programme in progress (eg Zimbabwe or Lesotho) is proposed.

~ A total of 8 out of 14 trained district supervisors remain in post. A follow up/refresher course should be arranged for all survivors covering problem solving and case studies but with a concentration on contract related issues.

~ There are 5 other persons in post (excluding Deputy DOWs included in above recommendations) who could be available for training (not including possible Site Technicians whose training needs are assumed to be included in the short courses to carried out in the project area). Of these 2 are not considered suitable (although one has previously attended an RTS course in LB technology before FRP) and 2 are persons identified by districts as potential candidates for training but who have absolutely no technical experience. It is not considered practical to target these persons as a separate group.

~ Should the recommended recruitment actually be accomplished (although it is suggested that the most optimistic forecast would be the filling of Phases I and II vacancies at best) this would give a maximum ‘intake’ of 6 – 9 persons to whom could be added the 3 persons identified above. A combination of RTS courses RMM, RMS, RWC, RWM and RWS is suggested but with emphasis on contract related issues. It is stressed that this is provisional upon recruitment actually being carried out. Assuming recommended qualifications are actually obtained then all the candidates would be of Assistant/Deputy DOW level or similar (ie Grade 12 at least).

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 ~ The training needs assessment of existing district staff has identified training which may be described as single-issue subjects which would justify short courses which could be carried out in the project area delivered by PMU or an external training provider. A practical training or workshop structure is envisaged of duration 1 or 2 weeks for each topic. Suggested topics include surveying (additional course), computer applications (although it is understood that work is required on the spreadsheet based BOQs produced by Norconsult A.S in order to make the system more user-friendly before training can be carried out), reporting, practical inventory and condition surveys, use of FRP and contract management procedures handbooks (yet to be produced by FRP), testing of materials and selection of quarries etc). It is estimated that to cover all available personnel 2 workshops would be required for each topic. It is expected that training of Site Technicians (IOWs) in inspection, measurement and quality control could be carried out within the project area as the Site Technicians (IOWs) are identified.

~ An early start to a system of ‘internship’ is urged. Secondment of district staff to work at the FRP office, specifically for contract management and preparation but also to gain experience of an organised and businesslike working environment, would be a necessary precursor to transfer of function. However, the numbers of such ‘interns’ who could be accommodated at any one time would be limited by pressures upon TA staff. It is therefore suggested that this activity would have a duration of 12 – 18 months in total.

~ Mentorship of district personnel by FRP would continue continue for remaining project life.

~ If actually in post CMU secretaries should receive training in office techniques, computer applications, filing etc. Details of this course are not included in Annex 6 as not one of these posts is filled.

~ Although proposed training should be achievable within the remaining project period, practical training (trial contracts in the earlier training) will require careful programming.

Chart C in Annex 6 shows the programme for the recommended enhanced training.

8.2 Technical Assistance

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 Current TA to FRP comprises a Project Manager, Chief Technical Advisor and 2 National Engineers supported by secretarial and administrative staff.

Training of rehabilitation and maintenance contractors plus district supervisory staff has been carried out by RTS. RTS has also carried out some post-course mentorship and a performance evaluation of trainees. Further, FRP has carried some short workshops (eg use of simple survey equipment) and has plans for other short courses.

To date effort has been concentrated on training of contractors and this, combined with problems of district capacity, has put the TA team under considerable pressure (aggravated by the extended absence on sick leave of one of the National Engineers) as FRP has had to assume what is effectively a line function of contract preparation, management and supervision in place of the districts. To relieve this pressure a consultant, (Norconsult A.S), has been contracted to provide training services to local consultant development and districts, particularly in preparation of rehabilitation contracts.

Even with this support the TA team has considerable problems in providing adequate mentorship and backup to contractors and district staff (arguably the project design under-estimated the required inputs for adequate post-course support and mentorship of contractors, consultants and district personnel) even before embarking on any enhanced programme of training or support to district staff. Also, experience from other countries has demonstrated the importance of adequate inputs to this support.

Thus, it is suggested that an additional member of the TA team be recruited for a period of 18 months starting as soon as possible. This person, who should have experience of engineering training, a good understanding of institutional issues and, preferably, of contractor development programmes will have specific responsibility for district CMU capacity development including associated training development and execution plus mentorship of district personnel. This will involve close liaison with RTS for the more extensive formal training proposed. Although preferably a Zambian national, it is understood that there are likely to be problems identifying a national with suitable experience and for budgetary purposes it is assumed that expatriate recruitment will be necessary. Suitable regional candidates are probably available (eg Kenya or Zimbabwe). Proposed Terms of Reference for this

additional TA are included in Annex 9 plus TORs for the other members of the TA team amended to take account of the proposed additional team member.

It is also suggested that should the absence of the second National Engineer be prolonged then (at least temporarily) a replacement should be appointed as soon as possible.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 One of the first duties of this proposed additional TA team member (if not actually possible before his/her arrival) should be to make arrangements for district personnel to be involved in at least maintenance contract preparation, possibly by a form of ‘internship’ at the project office in Chipata. (At present contracts are produced by PMU on the basis of data collected in districts by PMU and district staff). As soon as possible the PMU should step aside from self-imposed (but in the circumstances probably unavoidable) role of informal provincial CMU and start to devolve this function to the districts. It is stressed however that this withdrawal must be a phased activity which will realistically require a gradual phasing out over a considerable period.

9. BUDGET

The estimated costs of the recommended enhanced training including all ‘internship’ costs, follow up and a contingency (sundry) item, are set out in Chart D in Annex 6. The estimated training budget is totalled with and without the provisional training items which are dependent upon Phases I and II of the recommended recruitment of district technical staff actually being successfully completed. Charts E1 and E2 in Annex 6 show a total estimated budget for additional technical assistance plus training costs, again, with and without provisional training items.

10. RECOMMENDATIONS

10.1 District Staffing Policies

• Only suitably qualified persons should be appointed to vacant posts. Suggested Job Descriptions for CMU posts are included in Annex 8. Note that recommended qualifications have been scaled down for certain posts in response to doubts expressed by Council Secretaries that too high a requirement would hinder an already difficult recruitment process.

• Suitably qualified persons should be recruited as follows:

~ Phase I : DOW – Nyimba, Mambwe, Chama (before November 1998) ~ Phase II: Dep/Ass DOW – Chadiza, Petauke, Nyimba, Mambwe, Lundazi and Chama Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 (before February 1999) ~ Phase III: Dep/Ass DOW – Chipata, Katete

• Districts should give an undertaking that staff receiving training in whatever discipline should not be transferred from the post upon which the training is focussed within a certain agreed period after the end of training. Equally, individuals should give an undertaking that they will remain in post for an agreed period after completion of training. Specific assurances should be sought from districts regarding the diminishing numbers of trained staff who still remain in post.

• The practice of pragmatic transfer of persons simply to put someone, anyone, in a post should cease.

• Efforts should be made to examine the revenue base, collection and financial management procedures of districts and undertake training where necessary. Appropriate, transparent financial management systems should be implemented.

• GRZ/MLGH should examine district duties and revenues to establish adequate GRZ support to complement district revenue collection for an agreed establishment related to expected functions.

• Existing staffing establishments should be reviewed to establish exactly which posts are necessary on a full time basis and arrangements should be made for retrenchment of other staff. MLGH should examine procedures for retrenchment and compensation of workers.

10.2 CMU Structure

• Concentration of effort should focus upon the establishment of a ‘basic’ CMU structure in each district using existing staff in place (with additional training) responsible for management of maintenance contracts (and consultancy contracts for preparation of rehabilitation contracts where applicable) plus supervision of works.

• Only in the case of proven competence should the ‘full’ CMU structure with responsibility for management of rehabilitation and maintenance contracts, be established. Likewise, intra-district responsibility should only be assumed after district capability can be demonstrated.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 • The Director of the CMU should, at this stage, be the DOW. At a later stage, should recommended recruitment be successful, this post should be filled by a Deputy DOW reporting to the DOW, who is responsible for other district technical services.

• Site Technicians (IOWs) should be identified as permanent client representatives on the maintenance and rehabilitation sites responsible for inspection, quality control and measurement, reporting to the appropriate CMU supervisor.

• Consideration should given as to whether in principle it is necessary for district CMUs to have capacity for the relatively higher demands of rehabilitation contract preparation when local consultants have been developed by the project for exactly this function.

10.3 Training

• Training should be concentrated on district staff in post rather than be dependent upon possible new recruitment. Directors of Works should receive a broad road network management training with an emphasis upon contract management and previously trained personnel should receive further refresher training.

• Existing course materials should be used with modification as necessary for the Zambian situation.

• Efforts should be made to increase awareness in senior district staff involved in the project.

• Additional short training courses and workshops in practical topics should be arranged by FRP to be carried out in Eastern Province.

• Training of district personnel should ideally be considered as a whole; sector based training should be integrated into a comprehensive district training plan.

10.4 Technical Assistance

• A District Capacity Development Specialist should be recruited as an additional member of the TA team as soon as possible and preferably Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 before the onset of the rains in November 1998 as the rainy season is suggested as an optimum time for a commencement of additional formal training for some district personnel. An assignment of 18 months is proposed.

• The situation of the National Engineer currently on extended sick leave should be examined and at least a short-term replacement posted with despatch.

• Trained district staff must be exposed to maintenance contract preparation as soon as realistically possible by means of involvement alongside TA personnel and/or ‘internship’ with PMU. Also, subject to suitable monitoring, districts should be more involved in processing of payments to contractors.

• As soon as possible FRP should withdraw from a line function in contract preparation and assume the role of advisor/mentor. This will be a gradual phased withdraw spread over some considerable period depending on the ability of the district staff to absorb this function.

• Every effort should be made to expedite local consultancy development so as assume early responsibility for rehabilitation contract preparation by these consultants.

10.5 Budget

• Provision should be considered for additional TA and enhanced training. Should budgetary restraint preclude provision for additional TA and enhanced training then the training element could stand alone (with or without the provisional items) although the important follow up and mentorship phases would be compromised by the lack of specific TA attention which would lead to a less effective final outcome than would otherwise be achieved.

10.6 General

• Hopefully the thrust of this report is to respond practically to the actual situation, thus the concentration of effort upon actual staff in place (who Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 may not be ideal but who comprise the only raw material presently available). Improvement of the districts’ situation is dependent upon institutional reform and support from GRZ/MLGH. Above all reform must realistically address responsibilities and resources to ensure that aspirations are actually attainable or conversely reduce expectations what is attainable. The wider philosophy of institutional reform is outside the scope of this assignment but it is recommended that there should be a matching of resources to expected decentralised responsibilities of the districts.

• Resulting from the deliberations of the Briefing Meeting on 18.06.98 consideration should be given to using Eastern Province as a pilot for institutional change (in cooperation with DDP) and possible commercialisation of road sector administration.

• The Mid Term Evaluation of this project should examine the institutional landscape within which the districts are operating as sustainability of rehabilitation and maintenance contract management will be dependent upon not only achievement of project outputs but also upon the existence of an operational and sustainable institutional structure (which does not currently exist).

ANNEX 1

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

TERMS OF REFERENCE

FEEDER ROADS PROJECT Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 EASTERN PROVINCE, ZAMBIA ZAM/93/009

Terms of Reference for a consultancy to prepare for an enhanced training programme for District Council Staff forming the Key-staff of the Contract Management Units

1. Introduction 1.1 Background of the project The Government of the Republic of Zambia (GRZ) is implementing the Rehabilitation and Maintenance of Feeder Roads Project in Eastern Province with financial assistance of UNDP and UNCDF. The Feeder Roads Project, which started in May 1996, is broadly covering 5 out of the 8 Districts in the Province in terms of technical and financial assistance. As the project is working closely with its sister “District Development Project” which is working on capacity building for the decentralised development planning in all districts and disbursing a US$ 2 million District Development Fund in three districts. The fund is primarily piloting a decentralised format of effecting government financial transfers from the center recognising elected local governments as the most comparitively advantaged institutions at the local level to carry out and effect a local vision of development.

2. The Project 2.1 Objective The project is designed to stimulate the agricultural production hence increase income and improve quality of life of the local population through rehabilitation, maintenance and sustainable use of the roads.

2.2 Development objective To contribute to the sustainable economic development of the Eastern Province through the establishment of a comprehensive integrated strategy for rural infrastructure development, relying to the extent possible on locally available private sector resources and the capacity of the District Councils.

2.3 Components The main outputs of the project include the following three subject areas:

• Small scale local contractors will be trained by the project in rehabilitation of roads using labour-based technology. By using these trained contractors, the project will rehabilitate app. 450 kilometres of feeder roads in Eastern Province;

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 • Maintenance contractors will be trained to ensure the long term maintenance of the roads rehabilitated by the project and other maintainable roads in Eastern Province, reaching an estimated number of 700 kilometres under regular maintenance;

• The project will strengthen the District Council’s capacity to be able to fulfil their obligations as the feeder roads authority.

Traditionally, feeder road rehabilitation and maintenance works, if at all, have been implemented by force account operations under the (Provincial and) District Works Departments. The development of a contractor capacity for rehabilitation and maintenance of feeder roads is necessary to enable a shift from force account implementation to the implementation by private contractors. Therefore, small scale maintenance contractors (25) and small scale rehabilitation contractors (7) will be trained and supported by the Project.

The Districts Councils will play a key role in the implementation of this project. Being the feeder roads authority in Zambia, the District Councils will be the client organisation whose responsibilities, among other duties, include:

• to select and prioritise roads;

• to prepare and sign rehabilitation and maintenance contracts;

• to supervise and certify the works;

• to pay the contractors.

The enhancement of the capacity of the (Provincial and) District Work Departments to assume the above mentioned responsibilities is crucial for the success of the training programme of contractors to undertake feeder roads rehabilitation and maintenance works. The District Works Departments’ staff need to be trained to enable them to be fully fledged Contract Managers dealing with all these aspects.

2.4 Implementation arrangements This project is executed by the Ministry of Local Government and Housing and implemented by the Project Management Unit (PMU) and District Councils of Eastern Province. The Government is providing a Project Manager and support staff in the PMU. The International Labour Organisation (ILO) provides an International Road Specialist (CTA) and two National Road Engineers on behalf of the MLGH. The Road Training School (RTS) in Lusaka is contracted by the PMU (MLGH) to develop Labour-Based Feeder Roads Rehabilitation and Maintenance Contractor Capacity by training 25 maintenance contractors, 7 rehabilitation contractors and 14 District Councils’ road supervisors. The ILO, through an STS contract funded by UNDP, is also providing technical backup and support services to the project.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 All the above services are funded by the Government of Zambia, UNDP and UNCDF. UNCDF funding amounts to US $ 4,9 mill., UNDP funding to US $ 1,2 mill. and the Government of the Republic of Zambia US $ 1,0 mill.

3. Present overall status of the project At present (March 1998), the project progress can be summarised as follows:

A. 15 labour-based maintenance contractors have been trained and have now completed 2 trial contracts. They are now engaged on their first full contract. The project experienced delays in the provision of funds for maintenance and the contractors did therefore have a long break between their first contracts. The funding issue should now be under control with maintenance funds for the Districts pledged by the Government and the National Roads Board NRB). It is however expected that they still need intensive guidance and support from the project to pick up their duties in an effective manner.

B. Initially, 10 labour-based rehabilitation contractors and their staff were trained. 8 of them were selected for a continued training and subsequently completed their first trial contracts at Tamanda Loop in Chipata District. Following a comprehensive performance evaluation by the Roads Training School and the Feeder Roads Project, 7 contractors have finally been selected to continue with their second trial contracts. These rehabilitation contracts are located in 5 different Districts in Eastern Province. The 7 contractors started the work on their second contracts last week of November 1997, and it is expected that the contracts will be completed by the end of April 1998.

C. 14 District Council supervisors have been trained at the Roads Training School in the basics of labour-based techniques. During the preparation of the first and second trial rehabilitation contracts, 5 of the supervisors were trained in undertaking measurements for the calculation of the Bill of Quantities. During the implementation of the first trial rehabilitation contracts, 5 supervisors were engaged in the supervision of the contractors. They received on-the-job training in contract supervision procedures and practical labour-based works.

4. Establishment of Contract Management Units (CMUs) at District level 4.1 Introduction As mentioned under paragraph 2.3, one of the main objectives of the Feeder Roads Project (FRP) is the development of the capacity at district level to plan, design, implement and manage road rehabilitation and maintenance programmes.

More specifically, the Project is designed to assist the GRZ in its decentralisation effort and in promoting the shift from mainly force account execution of the rehabilitation and maintenance programmes, towards a regular and extensive involvement of the private sector, the latter through the use of contractors for rehabilitation and maintenance works and consultants for design, supervision and management of contracts.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 The role of the District Engineers as a consequence is expected to evolve towards and concentrate on road network planning and management, with strong emphasis on maintenance planning and management and a somehow more limited direct role in the design and management of larger and more complex rehabilitation programmes and works.

4.2 Progress achieved to date While the project has achieved substantial results in the development of a sufficient number of local contractors capable of executing rehabilitation works using labour- based techniques, the development of the corresponding institutional capacity at the District level, i.e. the District Engineers, has so far been given less priority. Progress achieved in relation to this objective mainly consists of training of Directors of Works’ staff and the provision of an enabling environment at District level, which can be summarised as follows:

• 14 supervisors from 7 Districts have been trained in the basics of labour-based road construction and maintenance techniques by the Roads Training School in Lusaka;

• 5 of the supervisors from the 5 Districts provided capital assistance have received both formal and on-the-job training in field assessments and surveys for preparation of rehabilitation contracts;

• 5 of the supervisors have received on-the-job training in supervision of rehabilitation works during the execution of the first trial contracts at Tamanda Loop in Chipata District;

• 10 of the supervisors are currently undergoing on-the-job training within their home Districts in supervising maintenance and rehabilitation works;

• 5 Directors of Works attended a 2-weeks training workshop in Harare on Management of Labour-based Contract Roadworks;

• Bank accounts have been opened in the 5 Districts and funds have been disbursed from the Government contribution funds for Contract Management purposes, which include fuel and maintenance expenses for Contract Management Unit (CMU) cars, payments of daily subsistence allowance (DSA), stationary, etc.;

• The 5 Districts provided capital assistance have also been issued with a supervisory vehicle for the Director of Works for Contract Management purposes;

• Surveying and computer equipment for all 8 Districts in the Province have been procured and will be handed over to the DoW Departments;

• Soil testing equipment and office equipment for all 8 Districts are awaiting delivery. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

4.3 Main problems facing the setting up of CMUs at District level One of the main drawbacks facing the Feeder Roads Project is the widely perceived lack of capacity of road agencies, at all levels, “to attract and retain qualified, experienced and capable personnel”, mainly due to poor conditions of service in the Public Service. “The staff turnover is high and the performance of the personnel is affected by the poor morale and lack of motivation to inspire them to perform to expectations”.

In other words, the available human resources are considered inadequate, not only in terms of numbers and qualifications, but they are also lacking the interest, motivation and incentives to be included in a capacity development program.

However, it must be noted that exceptions to the bleak picture described above do exist in Eastern Province.

4.4 Short term solution It is understandable that under the pressure to achieve the Project’s physical outputs, the Project Management Unit (PMU) has assumed upon itself most of the roles and responsibilities required to manage and implement the project activities. It is obvious that this is a very short-term solution to the capacity problem.

At the same time, the project has explored the feasibility of long-term alternatives, like the “Inter-District Contract Management Unit”, recently submitted for the consideration of MLGH. This is in line with other arrangements promoted at national level (e.g. “Provincial Consulting Engineers” as recommended by the National Roads Board).

Without entering into the merits of one or the other alternative, mainly consisting in a “private versus public” debate, it has to be noted that while perhaps useful in the transition period into a longer term solution, both of them fail to address the fundamental objectives encompassed by the policy of decentralisation pursued by the GRZ. The capacity has to be established at the very local level.

4.5 Strategy for the way ahead In line with GRZ policy, the Feeder Roads Project aims therefore at enhancing the capacity within the District Works’ Departments to the extent possible. Preparatory progress has been made as described in paragraph 4.2.

The enhancement of capacity must be established in relation to future demand of works in the Districts and the Province. Capacities should be developed as required to meet this demand. For certain tasks, a capacity may be required in every District, while for other tasks, the capacity to carry out the job may be shared between two or three Districts. The Districts’ capacity must consist of a small unit with well qualified and able professionals in order the meet the challenge of the contracting environment.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 An assessment must therefore be made of the capacity of the existing staff, which must clarify whether certain staff has got the necessary background to meet the demands put upon them by the training programmes and if they will be capable to cope with the new challenge following a thorough training programme. It will also include necessary recommendations for replacements and/or transfers of existing staff, or even recruitment of new staff in order to arrive at a satisfactory composition of the Contract Management Units in the Province.

The necessary capacity will be build by using different methods:

• on-the -job training; • formal training; • internship at the Feeder Roads’ Project Management Unit.

The present Terms of Reference have been worked out in response to the Feeder Roads Project decision to engage a consultant to assist the project in addressing these questions, i.e. to make an assessment and prepare the future capacity development programme.

5. Purpose of the consultancy The main purpose of this consultancy is to analyse the capacity of the District staff and to prepare and design an enhanced training programme for District staff.

The aim of this training programme is to ensure that a capacity will have been built at District level to manage road rehabilitation and maintenance works by contract within the next 2 years.

Another important purpose will be for the consultant to analyse the DCs’ staff recruitement and retention policies to see how they contribute to the delivery of targets of the DCs. The consultant will also advise on how to improve these policies in any way that will contribute positively to timely replacement, recruitement and retention of key personnel in this environment.

The assessment of staff's performance rests with the employer, i.e. the Government of Zambia. This study aims at assessing the technical qualifications of the staff to look at their abilities to perform the duties within the future CMUs.

As a particular training programme is not included in the finance plan of the project, this financing needs to be secured before the commencement of the training programme. The consultant will look at the continued role of the Project Management Unit with regard to the training of the District Council staff. However, the consultant will also look at the extended inputs and cost implication of a proposed training programme and indicate possible sources of financing.

6. The training programme The preparation and design of the training programme may consist of, but not be limited to the following activities:

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 • preparation of the District CMU structure, i.e. the organisation of the CMUs incl. job descriptions and qualifications required for each position proposed in this structure. This activity will be undertaken in close collaboration with all partners including the Districts, the MLGH, the MOWS, the NRB and other relevant stakeholders;

• analyses of CVs of the existing staff of the District Works Departments;

• personal interviews with the same staff members and their superiors;

• assessment of capacities of existing staff by analysing training reports prepared by the RTS, and by conducting formal tests;

• provide recommendations as to the participation of existing staff in the new CMUs with a view to their present capacities and suitability for the new tasks awaiting them in the CMUs;

• prepare a training programme, including proposed time schedule, an outline of the subjects to be included in the courses and a budget, which realistically can respond to the training needs of the existing staff.

7 Time table for the consultancy The consultant will be engaged for a period of 3 weeks. The preparation of this programme is urgently needed and the consultancy should preferably be carried out by 15 June 1998.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

ANNEX 2

ITINERARY

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

23.05.98 Travel Faro - London - (Johannesburg)

24.05.98 Travel (Johannesburg) - Lusaka

25.05.98 PUBLIC HOLIDAY Preparation for assignment

26.05.98 Briefing UNDP Briefing ILO Study of documents

27.05.98 Briefing RTS Meeting Chairman, NRB Meeting Director DISS/MLGH Briefing FRSP/MLGH Meeting Director, ILO

28.05.98 Meeting UNDP Meeting FRSP/MLGH Travel Lusaka - Chipata

29.05.98 Briefing FRP Briefing Norconsult

30.05.98 Study of documents

31.05.98 Study of documents Preparation of documentation for district interviews

1.06.98 Briefing FRP Interviews Chipata Municipality

2.06.98 Travel Chipata - Chadiza Interviews Chadiza District Inspection of Kalambana Loop and Naviruli roads Travel Chadiza - Katete

3.06.98 Interviews Katete District Inspection of Sinda Loop and Saya road Travel Katete - Petauke

4.06.98 Travel Petauke - Nyimba - Petauke Interviews Nyimba District

5.06.98 Interviews Petauke District Inspection of Mumbi Loop road Travel Petauke - Chipata

6.06.98 Analysis of results of interviews

7.06.98 Travel Chipata - Valley

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

8.06.98 Travel Valley – Jumbwe – Lundazi Interviews Mambwe District Inspections of Tamanda Loop and Chikomane roads

9.06.98 Interviews Lundazi District Travel Lunduzi – Chama Interview Chama District

10.06.98 Further interview Chama District Travel Chama - Chipata Inspection Mwase road

11.06.98 Discussions FRP Analysis of results of interviews

12.06.98 Report writing

13.06.98 Report writing

14.06.98 Report writing Briefing ILO/ASIST (Nairobi) Discussions FRP Preparation for meeting Council Secretaries

15.06.98 Meeting Council Secretaries, DDP, FRP, ILO/ASIST (Nairobi) Report writing

16.06.98 Wrap up FRP Travel Chipata - Valley - Lusaka (by air)

17.06.98 Discussions UNDP, RTS Preparation for Briefing Meeting Briefing ILO/ASIST (Harare)

18.06.98 Briefing Meeting NRB, MLGH, RTS, UNDP, ILO, ILO/ASIST, FRP, ACEZ, MWS, DISS

19.06.98 Wrap up UNDP, ILO/ASIST Travel Lusaka - Johannesburg - (London)

20.06.98 Travel (London) - Faro

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

ANNEX 3

PRINCIPAL CONTACTS

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

UNDP

Jean-Christophe Charlier Programme Analyst

ILO

Louis Ndaba-Hagamye Director Jens-Peter Dyrbak Programme Officer

RTS

Charles P. Mushota Principal Carl Eric Hedstrom Project Co-ordinator (CTA), Labour Based – COMPONENT (3), Road Sector programme John Eie Training Advisor, Road Sector Programme S.Elvsveen Field Training Engineer

NRB

Raymond Jhala Chairman, National Roads Board N.Gananadha Executive Secretary

MLGH

Lazurus Mwinga Director, Infrastructure and Support Services C.Mulambo Senior Engineer, Feeder Roads Rod Stephens Team Leader, Feeder Roads Support Programme, GITEC Ulf Martz Project Engineer, Feeder Roads Support Programme, GITEC

FRP

Alfred Sakwiya Project Manager, ZAM/93/009, ZAM/93/CO2 Frans Blokhuis Chief Technical Advisor, ZAM/93/009, ZAM/93/CO2 Simon Tembo National Engineer, ZAM/93/009, ZAM/93/CO2

Norconsult A.S

Walter Illi Training Consultant

MWS

B.Hunnestad Institutional Planner

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Chipata Municipal Council

Watson Nkhata Director of Engineering Services Titus Phiri Works Foreman Langson Mbewe Roads Foreman Patrick Mwafulirwa Roads Supervisor

Chadiza District Council

Gordon Sanford Mutinta Director of Works Samson Mwanza Works Foreman William S. Zulu Assistant Foreman Willy Zulu Clerical Officer

Katete District Council

Richard Mwila Council Secretary Mukiti Lukonga Director of Works Monday Muwowo (Acting) Deputy Director of Works Geoffrey Mungwa Works Foreman

Nyimba District Council

Highson Hikaanza Council Secretary Ackvas Daka Deputy Director of Works Enoch Kenneth Lguluwe Assistant Director of Works

Petauke District Council

Andi Masenga Council Secretary Richard Ndhlavu Director of Works

Mambwe District Council

Liza Mwala Council Secretary Edwin David Phiri Treasurer Esau Mashovo District Planning Officer John Whiteson Zulu Administration Officer

Lundazi District Council

D.J.Sikazwe Council Secretary Bernard Munoni Director of Works

Chama District Council

Newton Nyirenda (Acting) District Planning Officer Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 Joseph Chisupa Works Foreman

Trainee Consultants

Happy Mulambya Southern Tulip Consultants Noah Sindikila Rankine Engineering

ILO/ASIST

Sam Orwa Training Officer(Nairobi) Tomas Stenstrom Technical Advisor (Harare)

DDP

Ricardo C.Lupenga DPIA

ACEZ

Levi Zulu Chairman

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

ANNEX 4

LIST OF DOCUMENTS REVIEWED

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Core Road Network; Draft Work Programme, National Roads Board, August 1997

Memorandum and Recommendation of the President of the International Development Association to the Executive Directors on a Proposed Credit in the Amount Equivalent to SDR 51.5 Million to the Republic of Zambia for a Project to Support a Roads Sector Investment Programme, The World Bank, August 1997

Project to Support the Road Sector Investment Programme (ROADSIP) IDA Credit 2993-ZM, Mission Aide Memoire, The World Bank, March 1998

Minutes of National Consultative Committee Meetings

The Road Sector Investment Programme (ROADSIP) (2000 - 2007), Paper presented by Chairman, National Roads Board, July 1997

Environmental Guidelines for Road Rehabilitation and Maintenance Works, Technical and Operational Guidelines, National Roads Board, August 1997

Constitution of National Council for Construction

Proposed Input to Roads Sector Programme 1999 – 2002, Ministry of Works and Supply, Roads Department, April 1998

Labour Based Contracting Development – Training Programme Curricula, Ministry of Works and Supply, Roads Department, Roads Training School, September 1996

Labour Based Contracting Development – Training Programme Trial Contract and Mentorship Arrangements & Training Assessment, Ministry of Works and Supply, Roads Department, Roads Training School, September 1996

Training in Labour Based Road Works, Roads Department Training School

Mentorship of Contractors, Second Trial Contracts - Summary Report, Roads Department Training School, March 1998

Training of Small Scale Contractors – Course Evaluation Report, Summary, Roads Department Training School, April 1997

Back from Mission Report, FRP/Eastern Province, Roads Department Training School, August 1997

Instructions to the RTS Advisory Team, Rehabilitation Works – First Trial Contract, Roads Department Training School, June 1997 Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Assessment of Contractors Performance, Rehabilitation Works – First Trial Contract, Roads Department Training School, August 1997

Contracting Seminar – Programme, February 1997

Development of Training Material, Courses for Maintenance and Rehabilitation Contractors Conducted and Planned from August 1994 to December 1998, Summary of Courses and Seminars Conducted by Labour Based Component 3, RTS 1994 – 1997, Courses for Maintenance and Rehabilitation Contract Supervisors Conducted and Planned from August 1994 to December 1998, Roads Department Training School, Annual Report 1997

Quarterly Progress Reports, Feeder Roads Project, May 1998, November 1997, May 1997

Addendum to Project Agreement – ZAM/93/009 & ZAM/93/CO2, July 1996 (signed October 1996)

‘Towards Empowering the People’ – The National Decentralisation Policy, Cabinet Office & Ministry of Local Government and Housing, June 1997

Proposal for the Setting Up of CMUs in the Provinces (Eastern Province as a Pilot) to Manage Road Works by Contract, Feeder Roads Project

Road Rehabilitation and Gravelling by Labour Based Contractors – Contract Documents Volumes I & II, Norconsult A.S, June 1997

Request For Proposals – Advisory Support to Small Scale Contractors (Enhanced Mentorship) and Surveys, Designs and Supervision of Rehabilitation and Maintenance of Selected Feeder Roads in Eastern Province, Roads Department, Ministry of Works and Supply, January 1998

1998 Urban and Feeder Roads Maintenance Programme, Ministry of Local Government & Housing, Department of Infrastructure and Support Services, April 1998

Road Maintenance/Rehabilitation – Tender/Contract Document, Ministry of Local Government & Housing, Department of Infrastructure and Support Services, April 1998

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

ANNEX 5

DISTRICT CAPACITIES – SUMMARY OF INTERVIEW DATA

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

POST CHIPATA CHADIZA KATETE PETAUKE NYIMBA MAMBWE LUNDAZI CHAMA COMMENTS DOW 100/93/60 * 20/65/60 40/21/80 * 100/31/80 VACANT VACANT 80/48/60 VACANT * See explanatory note MINIMUM 80/55/60 80/55/60 80/55/60 80/55/60 80/55/60 80/55/60 80/55/60 80/55/60 PROFILE DEP. DOW VACANT VACANT 0/49/60 * N/A 40/24/60 VACANT VACANT N/A ** *Acting Dep DOW ** Dep DOW acting as DOW MINIMUM 60/55/60 60/55/60 60/55/60 60/55/60 60/55/60 60/55/60 60/55/60 60/55/60 PROFILE ASS DOW VACANT N/A ** VACANT N/A ** -/48/60 VACANT N/A 20/54/60 * *Possible posting to VACANT SUSPENDED VACANT Petauke VACANT *** ** No longer on FRP *** Died May 1998 MINIMUM 40/55/60 40/55/60 40/55/60 40/55/60 40/55/60 40/55/60 40/55/60 40/55/60 PROFILE ROADS 20/49/60 0/54/60 0/51/60 VACANT N/A ** VACANT N/A * 0/31/20 * Attempted suicide June SUPER 80/58/60 VACANT *** 98 /WORKS 0/61/60 ** No longer on FRP FOREMAN *** RTS before FRP MINIMUM 20/55/60 20/55/60 20/55/60 20/55/60 20/55/60 20/55/60 20/55/60 20/55/60 PROFILE GENERAL N/A * * No longer on FRP WORKER ASS. FORE 0/9/20 VACANT

CLER. OFF N/A 40/4/100 Candidates identified as potential trainees by DOW TRAINED 2 2 2 2 2 0 2 2 TOTAL 14 AT RTS IN POST 2 1 2 0 1 0 1 1 TOTAL 8

CHART A – SUMMARY OF TRAINING/EXPERIENCE/APTITUDE PROFILES FOR DISTRICT STAFF IN PLACE Note: Assessment eg 80/41/60 = education level/experience & competence/aptitude & interest Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Explanatory note: Examples of contrasting results. One has a background with no roads experience and is obviously in need of technical training although reported to be managerially very competent. The other has a strong and relevant academic, training and experience base but would reportedly benefit from management training. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

INTERVIEWS WITH DISTRICT COUNCILS

1.06.98 – 10.06.98

PROPOSED PROGRAMME & CHECK LIST OF ISSUES

DS Introduction/briefing

DOW Introduction/briefing

• Perceptions of decentralisation, role of DCs, privatisation, LB works, CMU

• Revenue, budgets

• Organigram of DC technical department/CMU – establishment/actual

• Staffing policy/turnover

• Length of road under District responsibility

• Acceptability of intra-district or provincial capacity

Individual Interviews

• Personal Inventory form available?

• Personal details

• Education

• Training

• Experience – LB/plant based, supervision of works, contract management

• Personal comments by individual

INDIVIDUAL INTERVIEWS WITH DISTRICT COUNCIL PERSONNEL

1.06.98 – 10.06.98

CHECK LIST OF SPECIFIC EXPERIENCE (To be attached to Personal Inventory Form)

DISTRICT NAME POSITION DATE EXPERIENCE COMMENTS ROAD INVENTORY/ CONDITION REPORT PLANNING ESTIMATION OF QUANTITIES ROAD WORKS – LB ROAD WORKS – PLANT BASED OTHER WORKS EARTHWORKS DRAINAGE STRUCTURES PAVEMENTS – GRAVEL PAVEMENTS –SEALED SURVEY MATERIALS EQUIPMENT/TOOLS REHABILITATION NEW CONSTRUCTION MAINTENANCE WORK ORGANISATION ENVIRONMENT SAFETY CONTRACT PREPARATION CONTRACT SUPERVISION CONTRACT MEASUREMENT /WORK APPROVAL CONDITIONS OF CONTRACT TENDERING SPECIFICATIONS CERTIFICATES Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 ADMINISTRATION

ANNEX 6

TRAINING PROGRAMME

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

DISTRICT CHIPATA CHADIZA KATETE PETAUKE POSITION DOW RDS SUP WKS FOR DOW WKS FOR CLER OFF DOW DEP DOW WKS FOR DOW EXPERIENCE ROAD INVENTORY/ CONDITION REPORT PLANNING ESTIMATION OF QUANTITIES ROAD WORKS – LB ROAD WORKS – PLANT BASED OTHER WORKS EARTHWORKS DRAINAGE STRUCTURES PAVEMENTS – GRAVEL PAVEMENTS –SEALED SURVEY MATERIALS EQUIPMENT/TOOLS REHABILITATION NEW CONSTRUCTION MAINTENANCE WORK ORGANISATION ENVIRONMENT SAFETY CONTRACT PREPARATION CONTRACT SUPERVISION CONTRACT MEASUREMENT /WORK APPROVAL CONDITIONS OF CONTRACT TENDERING SPECIFICATIONS CERTIFICATES ADMINISTRATION COMPUTERS GENERAL HIGHWAY ENG MANAGEMENT

CHART B1 – TRAINING NEEDS ASSESSMENT OF DISTRICT STAFF INTERVIEWED

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

DISTRICT NYIMBA MAMBWE LUNDAZI CHAMA POSITION DEP DOW ASS DOW DOW ASS DOW WKS FOR EXPERIENCE ROAD INVENTORY/ CONDITION REPORT PLANNING ESTIMATION OF QUANTITIES ROAD WORKS – LB ROAD WORKS – PLANT BASED OTHER WORKS EARTHWORKS DRAINAGE STRUCTURES PAVEMENTS – GRAVEL PAVEMENTS –SEALED SURVEY MATERIALS EQUIPMENT/TOOLS REHABILITATION NEW CONSTRUCTION MAINTENANCE WORK ORGANISATION ENVIRONMENT SAFETY CONTRACT PREPARATION CONTRACT SUPERVISION CONTRACT MEASUREMENT /WORK APPROVAL CONDITIONS OF CONTRACT TENDERING SPECIFICATIONS CERTIFICATES ADMINISTRATION COMPUTERS GENERAL HIGHWAY ENG MANAGEMENT

CHART B2 – TRAINING NEEDS ASSESSMENT OF DISTRICT STAFF INTERVIEWED

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

COURSE 1998 1999 2000

J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D

Management of District Road Networks * 0

Awareness Seminar §

Study Tour §

Problem Orientated Refresher & Contract Issues

Contract Management for District Council * 0 Supervisors (New Intake) – PROVISIONAL FRP Based Single Topic Courses § § § § § § § § § § §

Internship

Appointment of District Capacity Development Specialist Mentorship

Preparation of Training Material

* Assessment o Follow Up

CHART C – PROGRAMME OF PROPOSED ENHANCED TRAINING FOR DISTRICT STAFF FORMING KEY STAFF OF CMUs

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

NOS DURATION TRAVEL ACCOM FEES & TOTAL EXPEND IN EXPEND IN EXPEND IN COURSE /WEEKS /US$ /US$ HIRE OF COSTS/ 1998/US$ 1999/US$ 2000/US$ VENUE/ US$ US$ Management of District 8-11 12 1100 46200 30000 77300 51533 25767 - Road Networks Awareness Seminar 30 2 DAYS 450 3000 2000 5450 - 5450 -

Study Tour 15 1 15000 10500 - 25500 - 25500 -

Problem Oriented 8 2 800 5600 5000 11400 11400 - - Refresher & Contract Issues Contract Management 9-12 20 1200 84000 50000 135200 - 135200 - for DC Supervisors (PROV) (PROV) FRP Single Topic 8 1 (x11) 4400 18480 5500 28380 5160 15480 7740 Course (11 No) Internship Costs 400 3360 - 3760 260 3000 500

Follow up 8-11 1 1100 3850 2500 7450 - - 7450

Follow Up (PROV) 9-12 1 1200 4200 2500 7900 - - 7900 (PROV) Sundry 2565 17919 9750 30234 6835 21040 2359

TOTAL (INCL PROV) 28215 197109 107250 332574 75188 231437 25949

TOTAL (EXCL 25815 108909 54750 189474 75188 96237 18049 PROV)

CHART D – ESTIMATED COSTS OF PROPOSED ENHANCED TRAINING

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

CODE TITLE TOTAL 1998 1999 2000

W/M US$ W/M US$ W/M US$ W/M US$

11.00 District Capacity 18 249816 2 27757 12 166544 4 55515 Development Specialist 15.00 Duty Travel 13000 2000 8000 3000

41.00 Office Equipment 5000 5000 - -

30.00 Awareness Seminar 5450 - 5450 -

31.00 In Service Training 32140 5420 18480 8240

32.00 Study Tours 25500 - 25500 -

33.00 RTS Training 239251 62933 160967 15350

34.00 Sundry 30234 6835 21040 2359

39.00 Total Training 332574 75188 231437 25949

TOTAL (INCL PROV) 600390 109945 405981 84464

CHART E1 – BUDGET: ADDITIONAL TECHNICAL ASSISTANCE & ENHANCED TRAINING PROGRAMME (INCLUDING PROVISIONAL TRAINING ITEMS) – 1998 UNIT COSTS

ZAM/93/009

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

CODE TITLE TOTAL 1998 1999 2000

W/M US$ W/M US$ W/M US$ W/M US$

11.00 District Capacity 18 249816 2 27757 12 166544 4 55515 Development Specialist 15.00 Duty Travel 13000 2000 8000 3000

41.00 Office Equipment 5000 5000 - -

30.00 Awareness Seminar 5450 - 5450 -

31.00 In service Training 32140 5420 18480 8240

32.00 Study Tours 25500 - 25500 -

33.00 RTS Training 96150 62933 25767 7450

34.00 Sundry 30234 6835 21040 2359

39.00 Total Training 189474 75188 96237 18049

TOTAL (EXCL PROV) 457290 109945 270781 76564

CHART E2 – BUDGET: ADDITIONAL TECHNICAL ASSISTANCE & ENHANCED TRAINING PROGRAMME (EXCLUDING PROVISIONAL TRAINING ITEMS) – 1998 UNIT COSTS

ZAM/93/009

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TRAINING COURSE OUTLINE

Course Title: Management of District Road Networks

Participants: Directors of Works (Acting DOWs)

Numbers of Trainees: 8 - 11

Duration: 3 months

Starting Date: November 1998

Venue: RTS

Subjects: Roads - purpose, terminology, standards Road maintenance - Why is it necessary? Deterioration mechanisms Inventory and condition survey Identification of treatments Maintenance systems Maintenance management Periodic & routine maintenance Road rehabilitation - Identification of treatment Choice of technology Programming and planning Contracts - Preparation Specifications Estimation of quantities Tender procedures and contract award Contract supervision & quality control Measurement & certification of works Payment Preparation of budgets Materials testing & selection Financial management Personnel Time management & priority setting Safety & labour legislation Environmental issues Gender issues General management & organisation of works Administration Reporting

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TRAINING COURSE OUTLINE

Course Title: Awareness Seminar

Participants: Council Secretaries, representatives of MLGH, NRB, MWS, ILO, UNDP, UNCDF, RTS, donors

Numbers of Trainees: Council Secretaries - 8 Other GRZ bodies - 8 Agencies - 8 Other - 6

Duration: 2 days

Starting Date: January 1999

Venue: Lusaka or Chipata

Subjects: Principles of privatisation Choice of technology Roles - district - FRP - NRB - MLGH - Donors - DDP Institutional issues Policy Problems The responsibilities of the district as highway authority Financial management of the roads sector

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TRAINING COURSE OUTLINE

Course Title: Contract Management for District Council Supervisors (New Intake) - PROVISIONAL

Participants: Assistant DOWs, Deputy DOWs, (new district trainees)

Numbers of Trainees: 9 - 12

Duration: 5 months

Starting Date: February 1999

Venue: RTS

Subjects: Combination of previous RTS courses RMM, RMS, RWM, RWS & RWC

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TRAINING COURSE OUTLINE

Course Title: Problem Orientated Refresher Course & Contract Related Issues

Participants: Previous RTS trainees (district supervisory staff)

Numbers of Trainees: 8

Duration: 2 weeks

Starting Date: October 1998

Venue: RTS

Subjects: Review of previous RTS courses RMM, RMS, RWM, RWS & RWC Case studies Problems Contracts - Preparation - Specific ation - Estimati on of quantities - Tender procedures - Contract award - Contract supervision - Measure ment & certification - Payment Time management & priority setting Reporting

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TRAINING COURSE OUTLINE

Course Title: Study Tour to Contractor Development Programme

Participants: Council Secretaries Representatives of NRB, MLGH, FRP

Numbers of Trainees: 15

Duration: One week

Starting Date: May 1999

Venue: Neighbouring country with contractor development programme (eg Zimbabwe)

Subjects: Visits to work sites, training establishments, responsible government ministry, local authorities Interviews with staff, supervisors, contractors, development programme managers, government personnel and local government.

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

ANNEX 7

TERMS OF REFERENCE - CMUs

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

DRAFT TERMS OF REFERENCE FOR CMUs

The CMU will be responsible for the following tasks:

1. Carry out and maintain an up to date road inventory and condition survey of all district roads.

2. Carry out simple traffic counts on at least higher priority district roads.

3. With community participation as appropriate prepare maintenance and rehabilitation programmes for inclusion in district council budgets.

4. Advise the district council in selection of roads for maintenance and rehabilitation.

5. Manage maintenance and rehabilitation contracts including preparation of contract documents, tendering, award, supervision, measurement and certification of works.

6. Prepare, manage and supervise contracts for consultancy services.

7. Monitor progress of works against approved district council budget and prepare progress reports as specified by the district council (monthly/quarterly/annually).

8. Arrange technical and managerial training as required for effective CMU operation, including briefing of local communities.

Note: Whilst the ultimate aim of GRZ decentralisation policies as related to FRP is the establishment of CMUs with capacity to manage maintenance and rehabilitation contracts in all districts, this may be considered as a long term objective. As an interim measure dictated by realities of limited district resources (human, physical, financial) and low level of activity in some districts (which may not, at the present time, justify a district CMU), it is proposed to establish a few CMUs serving more than one district, together with other district CMUs. It also suggested that rehabilitation may not take place in all districts annually. It is assumed that consultants currently undergoing training with FRP would Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 prepare rehabilitation contracts until such time as CMU capability in this respect can be assured although supervision of rehabilitation works is expected to be carried out by the CMUs.

ANNEX 8

JOB DESCRIPTIONS – CMU PERSONNEL

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

DRAFT JOB DESCRIPTION

Post: Director of CMU (DOW)

Reporting to: Council Secretary

Qualifications: 1. Preferably Degree or Diploma in Civil Engineering or Final Certificate of City & Guilds or equivalent in a civil engineering discipline 2. Preferably post qualification training in management of a highway network including maintenance (and rehabilitation) – plant and labour based 3. At least 8 years experience in civil engineering works carried out by contract including road maintenance (and rehabilitation) 4. Knowledge of computer applications 5. Experience of local government administration

Responsibilities: 1. Overall management of the CMU which has the following tasks:

i) Carry out and maintain an up to date road inventory and condition survey of all district roads. ii) Carry out simple traffic counts on at least higher priority district roads. iii) With community participation as appropriate prepare maintenance (and rehabilitation) programmes for inclusion in district council budgets. iv) Advise the district council in selection of roads for maintenance (and rehabilitation). v) Manage maintenance (and rehabilitation) contracts including preparation of contract documents, tendering, award, supervision, measurement and certification of works. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 vi) (Prepare, manage and supervise contracts for consultancy services). vii) Monitor progress of works against approved district council budget and prepare progress reports as specified by the district council (monthly/quarterly/annually). viii) Arrange technical and managerial training as required for effective CMU operation, including briefing of local communities.

2. Control, administer, supervise and discipline of CMU personnel

DRAFT JOB DESCRIPTION

Post: Deputy Director of CMU (Dep/Ass DOW)

Reporting to: Director of CMU

Qualifications: 1. Preferably Degree or Diploma in Civil Engineering or Final Certificate of City & Guilds or equivalent in a civil engineering discipline 2. Preferably post qualification training in road maintenance (and rehabilitation) – plant and labour based 3. At least 5 years experience in civil engineering works carried out by contract including road maintenance (and rehabilitation) 4. Knowledge of computer applications 5. Preferably experience of local government administration

Responsibilities: 1. Assisting the Director of the CMU in the overall management of the CMU which has the following tasks:

2. Deputise for the Director of the CMU in case of absence of the Director

3. Assist the Director in the control, administer, supervise and discipline of CMU personnel

DRAFT JOB DESCRIPTION

Post: Assistant Director of CMU (Ass DOW/Supervisor/Works Foreman)

Reporting to: Director of CMU

Qualifications: 1. Final Certificate of City & Guilds or equivalent in a civil engineering discipline

2. Preferably post qualification training in road maintenance – plant and labour based

3. At least 2 years experience in road maintenance preferably carried out by contract

4. Knowledge of computer applications

Responsibilities: Assisting the Director of the CMU in the the following tasks:

i) Carry out and maintain an up to date road inventory and condition survey of all district roads.

iii) Prepare maintenance programmes for inclusion in district council budgets.

iv) Supervise maintenance contracts including collection of data for preparation of contract documents, site supervision, measurement and certification of works.

v) Prepare progress reports as specified by the Director of the CMU (monthly/quarterly/ annually).

DRAFT JOB DESCRIPTION

Post: Site Technicians (Inspectors of Works)

Reporting to: CMU Supervisor responsible for maintenance/rehabilitation

Qualifications: 1. Preferably minimum Grade 12 education level

2. Preferably training in road maintenance and rehabilitation by plant and labour based methods

3. At least 2 years experience of road maintenance and/or rehabilitation

Responsibilities: Assist the appropriate CMU supervisor in:

i) Inspection, monitoring and supervision of maintenance or rehabilitation works carried out by the contractor to ensure compliance with specifications, safe working practice and the measurement of quantities of such works

i) Compilation and processing of road inventory, condition survey and traffic count data

ii) Preparation of contract documents, programmes, estimates and certificates

iii) Administration of CMU filing system

DRAFT JOB DESCRIPTION

Post: CMU Secretary

Reporting to: Director of CMU

Qualifications: 1. Minimum Grade 12 education level

2. Qualification or training in Office Administration/Secretarial Services

3. Knowledge of computer applications – word processing, spreadsheet and data base programmes

4. Preferably experience of local government administration

5. At least 2 years office/administration experience Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

Responsibilities: Assist the Director of the CMU in:

i) Preparation of progress reports and correspondence as specified by the Director of the CMU

ii) Compilation and processing of road inventory, condition survey and traffic count data

iii) Preparation of contract documents, programmes, estimates and certificates

iv) Administration of CMU filing system

ANNEX 9

TERMS OF REFERENCE – TECHNICAL ASSISTANCE TEAM

Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

PROPOSED TERMS OF REFERENCE

Post: District Capacity Development Specialist

Reporting to: Chief Technical Advisor

Qualifications: 1. Degree in Civil Engineering and/or membership of a recognised professional body (eg Chartered Engineer).

2. At least 10 years post qualification experience at least 5 years of which should have been in developing countries.

1. Experience of contractor development programmes and preparation and delivery of training courses.

2. Knowledge of labour based and plant based contracts for road maintenance and rehabilitation. Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

3. Good understanding of the issues and practical problems arising from institutional change and development.

Responsibilities: i) Prepare (in liaison with RTS and other possible training providers) courses for district council staff specifically for maintenance and consultancy contract preparation, management and supervision and arrange for delivery of specified training.

ii) Prepare (in liaison with RTS and other possible training providers) courses for training in management of a highway network plus personnel, financial and general management (including contract management as above) for Directors of Works in their role as Directors of CMUs.

iii) In cooperation with other project TA personnel act as mentor to all district personnel whether in the district or while attached to FRP at the Project Office.

iv) Arrange a programme of ‘internship’ for district staff with FRP.

v) Provide support to district CMUs in their assumption of responsibility for maintenance (and consultant) contracts including preparation of inventory/road condition and traffic data, preparation of programmes of work and budgets, preparation of contract documents (including data collection and estimation of quantities), tendering procedures (including pre-qualification and evaluation of bids), contract award, supervision, certification of work and procedures for administration of funds from funding agencies (NRB, MLGH, donors) in a transparent manner.

vi) Consult with districts in preparation of training courses.

vii) Assist in the selection of district technical staff by providing technical advice to district panels interviewing prospective candidates.

PROPOSED TERMS OF REFERENCE

Post: Chief Technical Advisor

Responsible to: UNDP Resident Representative for the effective use of UNDP/UNCDF inputs in the project

Reporting to: Together with the Project Coordinator and the PLGO of Eastern Province and through him to the FRS in MLGH

Qualifications: A transportation/highway/rural road engineer with:

a) Membership in a reputable professional body in the field of highway engineering Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998

b) At least 10 years of road design, construction and maintenance experience of which 5 years have to be in developing countries

c) A working knowledge of both machine based and labour based contract systems for road rehabilitation and maintenance

Responsibilities: i) Advise and assist the Project Coordinator in the implementation of all aspects of the project

ii) Work closely with the UNDP Lusaka office and the provincial administration of Eastern Province in administration of the project office

iii) Work closely with and provide systematic training to the National Engineers and assist in selection of any replacements

iv) Assist in the preparation and organisation of maintenance and rehabilitation contractors, in development of contract documents applicable for maintenance and rehabilitation contracts and site procedures manuals and conclude arrangements for leasing and managing agreements for the contractors equipment

v) Direct the District Capacity Development Specialist in provision of support to district CMUs in their assumption of responsibility for maintenance (and consultant) contracts including preparation of inventory/road condition and traffic data, preparation of programmes of work and budgets, preparation of contract documents (including data collection and estimation of quantities), tendering procedures (including pre-qualification and evaluation of bids), contract award, supervision, certification of work and procedures for administration of funds from funding agencies (NRB, MLGH, donors) in a transparent manner.

vii) Direct the District Capacity Development Specialist in liaison with the DCs to prepare a plan and time schedule for enhanced training of district technical staff in order to create a CMU in each district following sound engineering practices and guidelines which may be set by FRS and implementation of this training programme either by providing project training inputs or coordinating the involvement of appropriate training providers such as RTS and other TA projects

viii) Assist DCs in setting up and administering specific accounts for road work, in monitoring the expenditure of GRZ funds budgeted for road Consultancy to Prepare Enhanced Training Programme for District Council Staff Forming Key-Staff of Contract Management Units Feeder Roads Project, Eastern Province, Zambia – ZAM/93/009 June 1998 purposes and in preparing annual budgets to be submitted to the PRB and FRS for funding of road works

iii) Submit the required project reports to GRZ, UNDP and UNCDF in a timely fashion as outlined in Section 10, Part 2 of the Project Agreement

iv) Monitor and countersign interim payment certificates issued by the DOW, countersign payment cheques to the contractors, assist the Project Coordinator in the preparation and submission of the project imprest accounts to UNDP Lusaka office for timely replenishment of funds

v) Establish the details of any further technical assistance that may be necessary for ensuring the sustainability of the CMUs within the districts in accordance with MLGH institutional policy and change

vi) Carry out any other activities necessary for the successful implementation of the project

PROPOSED TERMS OF REFERENCE

Post: National Engineers

Reporting to: Chief Technical Advisor

Qualifications: A Zambian engineer with:

a) A bachelors degree in Civil Engineering

c) Preferably 5 years working experience in highway engineering and/or regional planning

Responsibilities: i) Work under the supervision of the CTA and systematically study the techniques of planning, organising and implementing a regional programme for maintenance and rehabilitation of feeder roads and assist the CTA in the day to day operations of technical assistance activities

ii) Assist the District Capacity Development Specialist in the enhanced training of DC technical staff in all aspects of feeder road maintenance and rehabilitation operations to ensure their capability to perform all the roles required of a competent feeder roads authority at district level

iii) Assist DC technical staff in road inventory and condition surveys, assemble and update records on road inventory and condition in the province

iv) Assist in preparing standard contract documentation to be used by the DCs; supervise and monitor their proper use

v) Provide technical support in design and implementation of road maintenance projects at the district level

vi) Under the supervision of the CTA assist the DCs in road priority evaluations and preparation of annual road maintenance and rehabilitation estimates to FRS for funding of road works

vii) Carry out any other project related activities as required