DOCUMENT CONTENTS
1.
Guideline to the Reader ----------------------------------------------------------------------------------------------- 1
1.1
Purpose of the document: --------------------------------------------------------------------------------------- 1
1.2
Document flow ---------------------------------------------------------------------------------------------------- 1
1.3
Quick reference guideline---------------------------------------------------------------------------------------- 1
1.4
Quick EmpIA process reference guideline ---------------------------------------------------------------------2
2. Glossary of EmpIA Terms ---------------------------------------------------------------------------------------------4
3. Introduction – Purpose & Scope of the EmpIA ------------------------------------------------------------------- 6
3.1
The EmpIA and its strategic imperatives ---------------------------------------------------------------------- 7
3.2
How does the EmpIA respond to this mandate? ------------------------------------------------------------- 7
3.3
The revised EmpIA process -------------------------------------------------------------------------------------- 7
3.4
How does the revised process differ from the initial EmpIA process? ------------------------------------- 7
3.5
The Preferential Procurement Implementation Plan (PPIPP) and the EmpIA --------------------------- 8
3.6
Broad Based Black Economic Empowerment (BBBEE) and the procurement framework -------------9
3.7
The EmpIA process --------------------------------------------------------------------------------------------- 10
3.7.1 Project concept ---------------------------------------------------------------------------------------------- 10
3.7.2 EmpIA briefing ----------------------------------------------------------------------------------------------- 10
3.7.3 The appointment of the EmpIA practitioner ------------------------------------------------------------- 10
3.7.4 Empowerment Impact Assessment Reporting and Implementation -------------------------------- 11
3.7.5 Empowerment Monitoring and Evaluation -------------------------------------------------------------- 12
4. Empowerment Impact Assessment: Implementation--------------------------------------------------------- 12
4.1
Introduction ------------------------------------------------------------------------------------------------------ 12
4.2
Project Identification ------------------------------------------------------------------------------------------- 15
4.3
Empowerment Information gathering ----------------------------------------------------------------------- 16
4.3.1 Socio-economic information ------------------------------------------------------------------------------- 16
4.3.2 Indicators-------------------------------------------------------------------------------------------------------17
4.3.3 Local Resource Availability --------------------------------------------------------------------------------- 24
4.3.4 Stakeholder Engagement ---------------------------------------------------------------------------------- 29
4.3.5 Exit Strategies ------------------------------------------------------------------------------------------------ 29
4.3.6 Project or Construction Phase Description--------------------------------------------------------------- 32
5. Empowerment Impact Analysis------------------------------------------------------------------------------------ 33
5.1
Determining Labour Enhanced task opportunities -------------------------------------------------------- 33
5.2
Determining opportunities for local business development -----------------------------------------------37
5.3
Determining local plant / material resources opportunities -----------------------------------------------37
5.4
Beneficiary identification & quantifying needs --------------------------------------------------------------37
5.5
Skills identification & training --------------------------------------------------------------------------------- 38
6. Setting Empowerment Impact Targets -------------------------------------------------------------------------- 39
6.1
Who are the intended beneficiaries of empowerment initiatives? -------------------------------------- 39
7. Empowerment Implementation Strategy ----------------------------------------------------------------------- 43
8. Monitoring & Evaluation -------------------------------------------------------------------------------------------- 43
9. Conclusion-------------------------------------------------------------------------------------------------------------- 44
10. Appendices ------------------------------------------------------------------------------------------------------------- 45
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government Western Cape
Document Contents (ctd.)
Working Example 1: Project Identification...................................................................................................... 15
Working Example 2: Socio-Economic Information......................................................................................... 18
Working Example 3: Socio-economic information .......................................................................................... 21
Working Example 4: Supporting Documentation ........................................................................................... 22
Working Example 5: Determining Local Resources Availability ...................................................................... 25
Working Example 6: Local business development .......................................................................................... 26
Working Example 7: Supporting documentation ............................................................................................ 27
Working Example 8: Identification of Exit Strategies ...................................................................................... 30
Working Example 9 : Construction Phase Description .................................................................................... 32
Working Example 10: Determining labour enhanced task opportunities & skills requirements ....................... 34
Working Example 11: Labour Enhanced Task opportunities and costs ............................................................ 35
Working Example 12: Beneficiary Identification ............................................................................................. 37
Working Example 13: Project Empowerment Implementation Strategy ......................................................... 43
Table 1: EmpIA process statement ................................................................................................................. 14
Table 2: Socio-economic indicators ................................................................................................................ 17
Table 3: Local Resources Availability Guideline .............................................................................................. 24
Table 4: Local Resources Availability (ctd) ...................................................................................................... 25
Table 5: BBBEE Levels .................................................................................................................................... 68
Table 6: BBBEE Measurement Categories ...................................................................................................... 68
Table 7: BBBEE Business Categories .............................................................................................................. 69
Table 8: Procurement and BBBEE .................................................................................................................. 69
Figure 1: EmpIA process flow ........................................................................................................................... 3
Figure 2: Unsurfaced road
Figure 3: Housing ............................................................................................ 23
Figure 4: Housing & Electrification ................................................................................................................. 23
Figure 5: Extract from Spatial Development Framework (Prince Albert Municipality) ..................................... 27
Figure 6: Prince Albert IDP extract with projects ............................................................................................ 28
Figure 7 : Unused Transnet building ............................................................................................................... 30
Figure 8: Unused Transnet Building................................................................................................................ 30
Appendix 1: EmpIA Socio-Economic Information Template Form ..................................................................46
Appendix 2: Consolidated EmpIA Targets ...................................................................................................... 48
Appendix 3: Contract Participation Goals ....................................................................................................... 51
Appendix 4: Individual Phase Targets (Site Establishment) ............................................................................ 52
Appendix 5: Individual Phase Targets (Earthworks, Demolition & Building Setout) ........................................ 53
Appendix 6: Substructure: Foundation & Surface Bed .................................................................................... 54
Appendix 7: Individual Phase Targets (Superstructure: Masonry & Wetworks) ............................................... 55
Appendix 8: Individual Phase Targets (Roofs, Ceilings & Drywalls) ................................................................. 57
Appendix 9: Individual Phase Targets (Carpentry & Joinery) ........................................................................... 58
Appendix 10: Individual Phase Targets (Finishes) ........................................................................................... 59
Appendix 11: Individual Phase Targets (Services) ........................................................................................... 60
Appendix 12: Individual Phase Targets (External Works) ................................................................................ 61
Appendix 13: Individual Phase Targets (Site handover) .................................................................................. 61
Appendix 14: EmpIA Report Protocol ............................................................................................................. 63
Appendix 15: EmpIA progress report .............................................................................................................. 64
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government Western Cape
Appendix 16: Extracts from the Guidelines for the implementation of Labour-intensive infrastructure projects
under the EPWP (2005) .................................................................................................................................. 65
Appendix 17: Broad Based Black Economic Empowerment & the EmpIA .......................................................68
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government Western Cape
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
1.
Guideline to the Reader
1.1
Purpose of the document:
1.2
2010
•
This document is intended to provide guidance in the development and implementation of the
Empowerment Impact Assessment (EmpIA) process that is utilised by the Department of
Transport and Public Works in enabling empowerment through certain construction projects.
•
For Empowerment practitioners it provides a methodology for the development of meaningful
EmpIA reports that will enable the Department of Transport and Public Works in its efforts to
facilitate growth and empowerment
•
For other stakeholders as well as practitioners it provides key foundational information
regarding empowerment – in this way the document seeks to facilitate a shared and deeper
understanding of empowerment, its impact and the measurement thereof.
Document flow
The document is set out as follows:
1.3
•
It firstly provides some key information around empowerment and its application and sets out
the EmpIA process with its different phases
•
The document also provides an explanation of each phase together with the reporting
requirements. To assist in this process, working examples are provided together with narration.
•
Practitioners are also provided with certain templates that will assist them in the completion of
reports. The templates do not replace the reports; however they are meant to facilitate a more
meaningful reporting process. Proper completion of the forms will require the practitioner to
engage in a meaningful research process, including actual site visits.
Quick reference guideline
For information on specific terms used in the document go to the Glossary to find the definition
needed
For information on the EmpIA process flow go to Page 2
For more information on Socio-economic indicators go to Page 15
For more information on Empowerment targets go to Page 38
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government Western Cape
1
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
1.4
Process
phase
2010
Quick EmpIA process reference guideline
Description
Notes
1
Project selection & briefing
A specific project is deemed to be suitable for
empowerment purposes. An in-house EmpIA briefing
is held to educate all internal stakeholders
2
EmpIA practitioner appointment
An EmpIA practitioner is appointed to collect
empowerment information and to recommend
empowerment targets
The practitioner gathers information on socioeconomic factors that will impact on or be impacted
by the project.
3.
Empowerment information gathering
The practitioner also gathers quantitative
information concerning:
•
Opportunities for local labour usage
•
Local plant and material resources utilisation
•
Local supplier development
4.
EmpIA report submission
The report is submitted with recommended targets
for empowerment
5.
Tender documentation
Targets are incorporated into the tender
documentation
6.
Project implementation
The contractor is appointed and the project is
implemented. Monitoring of the achievement of
EmpIA targets occurs
See the process flow as illustrated below:
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government Western Cape
2
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Figure 1: EmpIA process flow
3
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2.
2010
Glossary of EmpIA Terms
Term
Affirmable Business Enterprise
(ABE)
Broad Based Black Economic
Empowerment
Community stakeholders
Contract Participation Goal
Cost analysis
Demographic survey
Designated groups
EmpIA briefing
EmpIA practitioner
Empowerment Impact Analysis
Empowerment Impact
Assessment
Empowerment implementation
Empowerment objectives
Empowerment strategy
Empowerment Targets
Enterprise
Enterprise development
Exempt Micro Enterprise (EME)
Exit strategies
Final design
Generic Enterprise
Labour costs
Labour Intensive Construction
Definition
A business that meets the criteria for empowerment and is hence capable
of receiving the benefits flowing from empowerment
The process designed to benefit Black businesses and persons through
various methods including an increase in Black ownership, targeted
procurement and investment in Black owned enterprises, human
resources and skills development and the achievement of employment
equity
Individuals, bodies or organisations that have an interest in the proposed
project and who accordingly need to be consulted.
The final target relating to local labour, local plant and material resources
and training that is converted to a monetary figure expressed as a
percentage of total labour or project cost
An evaluation of the impact that labour intensive construction techniques
will have on overall project costs
The process that examines the community in a comprehensive manner in
order to identify the key issues and needs of the targeted community
Refers to those groups of persons who receive preference in terms of
utilisation on the project. These include Black persons, disabled persons
and women located in the target community
An awareness-raising session to introduce the project team to
empowerment concepts
The practitioner appointed to evaluate and guideline the establishment of
empowerment targets. This could either be an external practitioner or an
internal body or person.
The phase undertaken prior to implementation where research findings
are collated and documented
The overall process of measuring and evaluating the extent to which a
proposed project is able to impact on the well-being of a designated
community
Refers to the process of applying empowerment targets to the project
The broad strategic objectives to which the project responds
The method by which empowerment targets are to be achieved
Targets that are set following the analysis in order to determine the extent
to which parts of the project will be allocated to sourcing local labour, local
enterprises and local resources
A firm or person conducting a trade, business or profession for the
purposes of monetary gain
The development of Black owned enterprises by other enterprises through
strategies such as investment, skills development and mentoring
A business that within the BBBEE frame work has a turnover of less than
R2 million per year
Refers to the strategies that will enable project beneficiaries to gain
access to long-term employment following participation on the project
The final project design incorporating the agreed-upon empowerment
targets
A business with an annual turnover in excess of R35 million
Refers to the overall costs allocated to employment and training of project
workers
A construction method that is able to utilise human labour as opposed to
the use of machinery; thereby creating work opportunities
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
Learnership
Liaison
Local enterprises
Local Labour
Local Resources
Locally appropriate technology
Mentorship
Monitoring and Evaluation
Plant and material
Preferential Procurement
Preliminary design
Principal contractor
Project concept
Qualifying Small Enterprise
Research
Scope of works
Small, medium and micro
enterprises (smme's)
Sub-contractor
Tender
Training
Unbundling
2010
A structured learning programme which includes a theoretical and
practical component and which leads to the achievement of a recognised
qualification
The act of establishing and maintaining contact with appropriate
stakeholders
Refers to those business enterprises that are able to supply certain
required services or supplies to the project
Refers to persons from the community, town or region who receive
preference over others in order to participate as work beneficiaries
Refers to the availability of plant and material resources that can be used
for the duration of the project
The act of using existing facilities and materials to provide project
resources as opposed to sourcing them from elsewhere
The process whereby persons gain experience and knowledge through
working with more experienced, senior persons in the organisation
The process of assessing the degree of empowerment during and after
completion of the project
Refers to machinery and construction materials required for the project
Acquisition of goods and services using a framework that provides for the
allocation of points to certain categories of persons or entities so that they
may receive preferential treatment in the awarding of contracts; thereby
bringing these persons or entities into the economic mainstream
A draft design for the construction of the proposed facility
The entity or firm to whom the overall project contract has been awarded
following the due tender process
The initial response to an identified need that will frame the project
A business that has a turnover of between R2 million and R35 million per
year
The process designed to develop a comprehensive background of the
context in which the project will occur
The envisaged work tasks that will be required in order to deliver the
required end product
Those business that fall into the definition as expressed in the Small
Business Act. However, this document refers to businesses as defined in
terms of the BBBEE framework
An entity that is appointed by the principal contractor in order to
complete a specified task on the overall project
The process of advertising the project in order to obtain contract bids
Refers to the training that is required to ensure the required competence
for participation on the project
A strategy in terms of which the contract is broken up into smaller
components in order to provide greater economic benefit to a wider range
of beneficiaries
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
5
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
3.
2010
Introduction – Purpose & Scope of the EmpIA
The initial Empowerment Impact Assessment process was initiated by the Branch Community based
Public Works Programme in 2002. The process was subsequently formalized and led to the
publication of the Empowerment Impact Assessment Guideline Document in 2004. The initial
document provided the context for the development of the EmpIA as an extension of the Preferential
Procurement Plan and also set out the process to be followed when developing the EmpIA.
The purpose of the Empowerment Impact Assessment (EmpIA), as defined by the initial
Empowerment Impact Assessment Guideline, is to provide a mechanism for measuring the
empowerment impact of specific projects with a value in excess of R2 million. The Guideline also
emphasises the role of the EmpIA as a means to inform the design and construction process of these
projects. The purpose of the assessment is therefore to provide both the means to measure potential
empowerment as well as a stimulus to achieve developmental objectives.
The initial Guideline emphasises that while there is no single institutional model for empowerment
there are certain aspects common to all successful empowerment initiatives - these being:
•
•
•
The development of communal project ownership via inclusion, participation and
information-sharing thus enhancing accountability
The development of local organisational capacity and
The provision of opportunities aimed at facilitating meaningful economic empowerment
This document does not deviate from these key aspects – information and transparency that
enhances participation remain critical. Participation and accountability continue to ensure that
beneficiaries have a stake in developments that affect them directly.
As stated previously, empowerment can be seen as a multi-dimensional social process that helps
people gain control over their own lives. Within a South African context, empowerment also has
specific reference to a process where specifically targeted individuals, who previously were
discriminated against as a result of past practices and legislation, gain access to opportunities aimed
at enhancing economic development.
The revised process takes into account this focus on economic empowerment through addressing
the framework of the Broad Based Black Economic Empowerment Act and its impact on Preferential
Procurement. It also emphasises the notion that empowerment is a process rather than a once-off
event- The EmpIA is able to facilitate and measure aspects of empowerment at a certain point;
however the longer-term impact of interventions must also be considered. For this reason, the
revised document highlights the need for the EmpIA process to underscore those aspects of
empowerment that could lead to longer-term sustainability beyond the project life-cycle.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
6
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
3.1
2010
The EmpIA and its strategic imperatives
It is critical to note that the EmpIA plays a significant role in the achievement and maintenance of the
mission statement of the Department of Transport and Public which is in turn, aligned with the
Provincial government’s mission. The Department’s mission is as follows:
“The Department of Transport and Public Works develops and maintains
appropriate infrastructure and related services for sustainable economic
development which generates growth and facilitates empowerment and
opportunity”
3.2
a)
b)
c)
3.3
How does the EmpIA respond to this mandate?
It concerns itself with the impact that infrastructure projects has on specific communities – projects
have to be “appropriate” to meet specific community needs. The EmpIA is able to assess the degree
of appropriateness
It concerns itself with providing a platform for sustainable economic development by implementing
skills development targets for community participants so that there is empowerment both in relation
to immediate skills requirements that will enhance service delivery that could assist in enhancing
further employment possibilities.
It concerns itself with the development of growth and economic opportunity through targeting the
use of local material and plant suppliers as well as other appropriate enterprises that are able to play
a role in the delivery of the required infrastructure. The Department’s Preferential Procurement
Strategy and Implementation Plan play a critical role in facilitating the entry of such targeted
enterprises into economic activity that will facilitate longer-term sustainability.
The revised EmpIA process
In 2009, the Department of Transport and Public Works commissioned an assessment of the EmpIA
to determine the extent to which the mechanism was fulfilling its objectives. Although the EmpIA
had become an established process, key questions around the extent to which the process was able
to be mainstreamed into operations as well as around the quality of EmpIA reporting had arisen.
Detailed information on the research around the EmpIA can be found in the document ‘Towards a
redesign of the EmpIA’. For the purposes of this document, which sets out the methodology for
implementing the practice of empowerment assessment, it is important to note that one of the key
findings related to the need to broaden the scope of empowerment to include socio-economic
aspects. This finding is given voice through an increased emphasis on deeper community
engagement and research.
3.4
How does the revised process differ from the initial EmpIA process?
While the EmpIA is an established mechanism in the Department, the research process highlighted
certain key areas where possible improvement could occur. These improvements related both to the
process flow as well as the substance of the EmpIA.
In terms of process flow, the initial document stipulated that the EmpIA is meant to inform the
design and construction process to maximise the extent of empowerment. This means that
empowerment concerns should be considered upfront in the initial planning and conception stages
of any applicable project. The revised EmpIA makes provision for this by stipulating that an EmpIA
briefing be held at the initial stages of project concept with an intended client Department so that
the EmpIA and empowerment are in the forefront of planning.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
In relation to content, it was noted that there needed to be greater emphasis expanding the
understanding of empowerment beyond the achievement and measurement of specific targets. The
targets remain critical because they are clear yardsticks for an initial assessment of empowerment –
however there needs to be a greater examination of the intended and actual impact that the targets
bring about. This means that there is more emphasis on deeper research that will ensure the setting
of appropriate and meaningful targets.
Following on from this, it should be noted that in order for the EmpIA to be fully aligned with the
Department’s commitment to sustainability, there needs to an increased emphasis on the impact of
projects post their construction. While this lies outside the immediate scope of the EmpIA, the
revised process makes provision for this by requiring practitioners to assess the extent to which any
relevant project can provide exit strategies that would enhance the possibilities of employment for
beneficiaries beyond the project
3.5
The Preferential Procurement Implementation Plan (PPIPP) and the EmpIA
The Preferential Procurement Policy Framework Act (PPPFA) was promulgated in 2000 to provide
for the Constitutional requirement that the state must procure goods and services using a system
1
that is “fair, equitable and transparent, competitive and cost-effective”
Preferential procurement refers to the action or principle of using state procurement as the means to
2
address socio-economic imbalances that have been caused by previous discriminatory practices.
In order to give effect to Constitutional imperatives, each organ of state must determine their own
preferential procurement policy in accordance with the provisions of the PPFA. Accordingly, the
provincial PPP of 2004 provides that procurement can be used to address economic imbalances
through providing opportunities for historically disadvantaged individuals and small, medium and
micro-enterprises.
The PPIP prescribes the mechanisms that will enable the participation of targeted groups in service
provision and in so doing creates opportunities for empowerment via, inter alia, the creation of job
opportunities, support for small enterprise development and income generating opportunities.
Specific objectives of the PPIP that are relevant in this regard are:
•
•
•
•
•
The creation of new jobs - this is achieved particularly through the strategy of utilising local
resources and through maximising labour input where possible in capital projects.
The promotion of rurally-based enterprises.
A target of 40% participation by previously disadvantaged individuals in the carrying out of
Departmental contracts. This strategy also complements the Department’s objective of
encouraging enterprise and entrepreneur development.
The growth in size and capacity of participating business enterprises owned by historically
disadvantaged individuals.
The empowerment of the work force by providing the required capacity building and through
standardising the level of skill and knowledge of workers.
The EmpIA is therefore the mechanism that provides for the measurement of the extent to which
these objectives are achieved via the implementation of various construction and maintenance
1
2
The Constitution of the Republic of South Africa, section 217 (1-3)
See CIDB Best Practice Guideline B1: Formulating and Implementing preferential procurement policies @ 4
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
3
projects with a value in excess of R2 million . The PPPIP aligns itself fully with the EmpIA in stating
that:
•
•
•
Project specifications will provide minimum targets for employment of local labour and for
training of labour and ABE’s (affirmable business enterprises).
Design specifications and contract documentation will be such to maximise the impact on
empowerment.
Prior to the finalisation of specifications all tenders above R500 000.00 must be subject to an
4
EMPOWERMENT IMPACT ASSESSMENT.
Therefore, EmpIA is a tool consisting of quantitative and qualitative measures that enable the
empowerment impact of specific projects to be evaluated. Quantitatively it provides measurable
yardsticks that will enable the assessment and evaluation of project empowerment deliverables. It is
also able to provide the means for a qualitative assessment of the impact that the project in question
has on the quality of life of individuals or communities. Consequently the revised process places
greater emphasis on meaningful research that can result in the generation of socio-economic
indicators that are able to provide empowerment yardsticks.
Prior to project commencement, the EmpIA process informs the design and construction process in
such a manner so as to ensure that empowerment objectives are borne in mind at the design and
construction phases. The revised process specifically calls for the raising of awareness amongst
stakeholders at the inception phase through an EmpIA briefing. Similarly, during and post project
implementation, the EmpIA process serves as a tool to record actual empowerment impact in respect
of HDI economic empowerment.
3.6
Broad Based Black Economic Empowerment (BBBEE) and the procurement
framework
Subsequent to the development of the initial EmpIA Guideline BBBEE has begun to play an
increasingly important role as a transformation mechanism. Preferential Procurement is one of the
key aspects of BBBEE and in fact is the driver of the BBBEE framework. Obtaining BBBEE certificates
that set out the extent of BBBEE compliance is essential for the award of certain government tenders
and other regulatory processes such as the issuing of certain licences. Certification is obtained
5
through an assessment of overall BBBEE compliance . (See Appendix 14 for an explanation of
procurement recognition levels and for an explanation of the elements of BBBEE)
In 2009 government moved to align the frameworks through the introduction of revised
6
Procurement Regulations that aimed to align the different frameworks. Essentially the revised
regulations call for the use of BBBEE ratings as a criterion in the award of state contracts. An
important factor to note is that the BBBEE framework does not make use of the former
categorisation of small, medium and micro-enterprises – it rather refers to exempt micro-enterprises
7
(eme), qualifying small enterprises (qse) and generic enterprises. However, this alignment has not
3
Although the PPPIP refers to a threshold value of R500 000, in practice this amount is R2 million
See Sections 7.1.2 – 7.1.4
5
Overall BBBEE compliance is measured through an assessment of Ownership, Management Control, Employment Equity compliance,
Skills Development compliance, Preferential Procurement, Enterprise development and Socio-Economic Development. Each of these
factors has a weighting and the enterprise is measured in terms of these weightings.
6
Draft regulations were published in September 2009 for comment – to date there has been no word on the actual implementation of the
Regulations
7
EME’s are defined as having an annual turnover of under R2 million, QSE’s have a turnover of between R5 and R35 million and Generics
have a turnover in excess of R35 million.
4
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
9
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
yet been completed. It is noted however that the EmpIA, if required to do so, is able to play a role in
bridging the gap between the BBBEE framework and the procurement regulations and can therefore
assist in better coordination between the two. As part of their research, EmpIA practitioners are
required to not only assess potential suppliers in terms of their capacity but also in relation to their
BBBEE status; hence this document makes use of the terms and definitions as expressed in the
BBBEE framework. The EmpIA can therefore assist decision-makers in the awarding of contracts
where it is necessary for the BBBEE status of potential suppliers to be taken into account.
3.7
The EmpIA process
3.7.1
Project concept
Within the framework of government, not all Departments necessarily build or maintain
their own infrastructure. For this reason the Department of Transport may take on work
required by external ‘Client Departments’ and then acts as the ‘Implementing Department’
on behalf of those clients. The Department of Transport and Public Works also initiates
public infrastructure projects, such as roadworks, independently. Within the Department of
Transport and Public works there is an Empowerment Impact Assessment Unit, located
within the Directorate Construction Industry Innovation and Empowerment. This Unit is
mandated to carry out Empowerment Impact Assessments, either on DTPWP projects or on
those projects initiated by external departments and on whose behalf the DTPWP acts as
implementing agents.
The Project Concept Phase in the process refers to the point at which a specific project is
identified in order to respond to a specific need – for example, the building of a road or the
construction of a clinic. For a full listing of the types of projects to which an EmpIA may
apply see Appendix 6)
The Implementing Department (for example the Department of Transport and Public
Works) must then appoint a Project Design Team. It is at this point that the EmpIA requires
consideration since it is meant to inform the design process in order to maximise possible
empowerment opportunities. It is a requirement that an EmpIA be carried out on projects
with a value in excess of R2 million.
3.7.2
EmpIA briefing
This phase represents a key departure from the initial EmpIA process. Its purpose is to
ensure that empowerment considerations are taken into account upfront. It is an in-house
process that is designed to provide the project team responsible for the overall
implementation of the project with an overview of empowerment principles so that the
project design may take these principles into account.
3.7.3
The appointment of the EmpIA practitioner
The role of the practitioner is to conduct the EmpIA and to develop recommended
empowerment targets taking project specifications into account. The Practitioner must
therefore have good knowledge and experience of the empowerment framework insofar as
it applies to the field of construction and related fields. The practitioner is required to
conduct an EmpIA generally within a period of 1 month following appointment.
The Practitioner must conduct the EmpIA once the Preliminary project design is completed.
The EmpIA report is based on in-depth research carried out at the site of the intended
project – it involves extensive liaison and investigation undertaken in conjunction with the
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
intended beneficiary community. Empowerment targets are developed based on the
reporting undertaken by the Practitioner.
3.7.4
Empowerment Impact Assessment Reporting and Implementation
The Practitioner must take the following factors inter alia into account when compiling the
EmpIA:
•
The nature of empowerment opportunities
•
The capacity of local resources in relation to project requirements. This includes an
assessment of any locally available raw materials that can be used in project
implementation.
•
Any locally appropriate technologies that can be used in the achievement of project
aims
•
The appropriate training
•
The appropriate methodology to achieve required empowerment targets
•
Appropriate socio-economic factors that impact on the project and that are impacted
by the project
•
Opportunities for meaningful exit strategies that could exist within the beneficiary
community so that beneficiaries are able to take advantage of any opportunities for
longer-term employment following the completion of the project.
Based on the report findings, the EmpIA practitioner will be able to set empowerment
targets in relation to the utilisation of local labour and local suppliers as well as in relation to
appropriate training. Final empowerment targets must then be set after consultation
8
between the practitioner, Empowerment Manager , Project Manager and Design
practitioner.
The practitioner must note that the implementation strategy not only sets out the targets
but must also provide a Method Statement stipulating the methodology whereby the
targets are to be achieved.
Targets are incorporated into the final project design and are transferred into the Tender
document. Targets in relation to labour, suppliers and training are generally reduced to a set
figure that must form part of the final tender value. To facilitate this process, the project
team must provide an estimate of the labour required and attach this to the project
documentation.
8
That is, the Manager of the EmpIA Unit
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
11
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
3.7.5
2010
Empowerment Monitoring and Evaluation
Monitoring and evaluation are critical to provide feedback to the appropriate stakeholders,
particularly the beneficiary community in which the project is occurring. The purpose of the
M & E phase is to assess the extent to which the Contract Participation goals have been
achieved. During the construction phase, the EmpIA practitioner should submit a monthly
report that reports on the empowerment aspects of the project. As has been previously
suggested, the empowerment process is far more holistic than the achievement of
stipulated targets. Although this is not part of the practitioner’s brief, it will also be
necessary to provide a post-project assessment to determine the extent to which the project
has made an impact on the well-being of the beneficiary community. In this regard it should
be noted that the Department has initiated its own Monitoring and Evaluation Unit.
Empowerment is a critical outcome for the Department and it should be noted that the unit
could play a vital role in this regard. In this event, the unit should be fully aware of any
quantitative indicators that have been set as well as the less tangible qualitative indicators
that require assessment.
4.
Empowerment Impact Assessment: Implementation
4.1
Introduction
This part of the document describes the actual implementation of the EmpIA process. It is intended
to be used as a guideline by EmpIA practitioners and any other person who needs an understanding
of the process. The described process builds on past experience and also takes into account
recommendations aimed at bringing about improvement.
NOTE
Working examples and templates are included in this part of the document to assist in
understanding the application of the EmpIA process. The examples sometimes use specific
documents or forms and in other instances provide certain guidelines. The examples are meant to be
used as starting points – in certain instances practitioners must add information as may be required.
Particularly useful or significant information is marked by a
Practitioners must note the following:
The process as described is intended as a guideline – each EmpIA will be unique because each project
and each community, in which a project occurs, is unique. Practitioners must therefore ensure that
they do not slavishly follow a “template” approach. In-depth research and community interaction are
vital in ensuring a meaningful EmpIA process and eventual Report.
It is essential that the suggested process is followed in a logical and systematic manner as each phase
forms the foundation for the next. The relevant phases are:
•
Project concept and identification
•
Empowerment Information gathering
•
Empowerment Impact Analysis
•
Empowerment Impact Target setting
•
Empowerment Implementation strategy
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
9
The practitioner should note that information gathering and analysis are critical stages –
appropriate targets cannot be set without the proper foundation. The practitioner must therefore at
all times link the information acquired to the central issue of empowerment. Key questions to be
asked are therefore:
•
How does the information impact the empowerment framework?
•
How can the information be used in the development of the appropriate empowerment targets?
The EmpIA practitioner should provide well-reasoned motivation for any statement that is made in
the report – simple statement of facts are not always helpful and proper justifications are able to
provide clearer guidelines in terms of implementation. The practitioner should also note that rather
than simply omitting information where an aspect is considered to be non-applicable, the reason for
the omission of an aspect should be clarified. For example, if no appropriate local suppliers are
available, then this should be stipulated with possible clarification around the reason for nonavailability rather than omitting this aspect completely. Without such explanation, it will not be
certain whether this aspect has been addressed as part of the EmpIA.
For ease of reference, the following table sets out the different phases of the EmpIA process with a
description of its purpose and the proposed methodology to achieve the objectives of each phase.
9
The practitioner may be an external consultant or may be someone from an internal unit such as a Monitoring and
Evaluation Unit. Anyone who is involved with the process must however possess some knowledge of empowerment and
its quantitative and qualitative aspects.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Table 1: EmpIA process statement
Department of Transport & Public Works
Construction Industry Innovation & Empowerment (CIIE) - Empowerment Impact Assessment
Document: EmpIA process statement
Purpose: To set out the EmpIA phases and stipulate the appropriate documentation and proposed methods of completion
Phase
Category
Documentation
Purpose
Method
EmpIA briefing
EmpIA
presentation
high level overview of the EmpIA to
provide insight into empowerment &
its purpose.
Presentation by EmpIA unit to
project team
Empowerment
research
Empowerment
objectives
alignment
Ensure alignment with strategic
objectives
High level document research
(current IDP's & other resources
Community
liaison form
Confirms contact with beneficiaries &
provides for background info.
Questionnaire for Identification
of critical issues
Information
Analysis
Provides project context; identifies
empowerment needs
On site visit
Identifies skills levels
Research skills / educational
levels
Concept
Analysis
Provides assessment of local
resource capacity (labour, plant &
materials)
Identifies potential for use of locally
appropriate technology
Assesses extent of supplier capacity
Project Analysis
Local supplier databases, on site
assessment
On site visit
Local supplier databases, on site
assessment
Identifies potential for BBEEE
business development
Identifies potential exit strategy
opportunities
Local supplier databases, on site
assessment
Identifies construction tasks &
activities
Assess project schedule and
statement of works
Categorises skills requirements to
complete tasks
Assess project schedule and
statement of works
Alignment with CIDB best
practice
Identifies L.I.C opportunities
Research future initiatives
Implementation
EmpIA Targets
Sets targets for local labour work
opportunities, local supplier
development & training
Ring-fence appropriate tasks &
determine costing
Monitoring & Evaluation
Assess achievement of set targets
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
On-site assessment
Post-project survey - extent of
well-being, degree of
employment, extent of business
development
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
4.2
2010
Project Identification
Project Identification refers to the identification of projects which will meet the Department’s
mandate of providing appropriate infrastructure while also serving empowerment objectives.
Although the EmpIA practitioner does not identify the appropriate project, it is nonetheless
important for the practitioner to assess the following aspects when first encountering the project:
•
The extent of Strategic Alignment with Departmental mandates
o Will the project provide appropriate infrastructure that promotes sustainable economic
development?
o Will the project generate economic growth and facilitate empowerment and opportunity?
Generally, the Department will only initiate project that are aligned with its strategic needs. The
practitioner should nevertheless be able to identify the appropriate strategic goals and objectives (as
outlined in the relevant Annual Performance Plan) to which the project is responding.
•
The extent of compliance with thresholds
o Does the project exceed a value of R2 million?
o Does the project fall into the category of projects that is suitable for an EmpIA?
•
The expected empowerment impact of the project on the beneficiary community
o To which need does the project respond?
o How will the project meet or remedy the identified needs?
o What economic benefits will result for the community or individuals?
Upon identification of the project, and prior to the final design of the project, the Practitioner is
appointed to conduct the EmpIA.
Working Example 1: Project Identification
Project identification is the responsibility of the relevant Department. Its purpose is to identify those
projects that will assist in the meeting of Departmental objectives.
Project Identified: Ambulance Station (Leeu Gamka – Central Karoo)
The Department has identified the need to build an Ambulance Station in the town of Leeu Gamka
in the Central Karoo. The current ambulance station provides a critical service in the surrounding
area. The area has achieved some notoriety in recent times because of the high incidence of road
accidents and resulting fatalities. As a result, the current Ambulance Station, situated in the town,
provides a vital and much-needed emergency medical service. It is the only such facility in the
immediate region and has to provide services across a wide radius, occasionally even stretching into
the Outeniqua area. The current facility is housed in an unused part of the local school – however,
the premises are unsuitable for the type of work that needs to be carried out. A major shortcoming is
the lack of on-site training facilities. The proposed ambulance station will therefore fulfil a vital need
in the town and the surrounding area.
The value of the project will exceed R2 million and the project can be utilised to achieve
empowerment objectives. Consequently the EmpIA practitioner will need to determine how best
those empowerment objectives can be achieved in the project’s implementation.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Note to practitioners – the project description should provide a brief overview of the project’s purpose. It is
important to identify how the project is aligned with strategic mandates and how the implementation will meet
the identified need/s.
4.3
Empowerment Information gathering
This phase of the process serves two critical needs:
•
It involves the collection of relevant data relating to the beneficiary community in order to
facilitate better decision-making around the setting and achievement of EmpIA objectives
•
It creates a platform for community participation that allows for greater transparency and
accountability in relation to the project.
Accordingly, the quality of the information collected, the way in which it is collected and the way in
which it is presented are critical. As previously discussed, the revised document places great
emphasis on the gathering of appropriate socio-economic information. The information must be
collected with a view to explaining how and why the information will impact on the empowerment
project. For example, if a population breakdown is presented it is important to explain its relevance
to the empowerment process.
4.3.1
Socio-economic information
The gathering of appropriate socio-economic information is vital if empowerment is meant to be
more than the achievement of numerical targets. The purpose of gathering socio-economic
information is to provide a framework that will allow some measurement of the extent to which a
project can have an empowering effect on the overall quality of life of individuals or communities.
The EmpIA practitioner should focus on the following aspects in gathering the information:
•
•
What are the noteworthy socio-economic concerns in the area?
How will the proposed intervention have an impact on the identified concerns and what are the
indicators that will enable measurement of impact?
Note to Practitioners
Practitioners must note that the exercise cannot simply be a desktop based research exercise. It is
essential that the EmpIA practitioner actually visit the envisaged project site to gather proper on site
evidence. Apart from proper information gathering, this will also enable an engagement with the
community or beneficiaries and will enhance the participatory aspect of the process. Research
resources such as Integrated Development Plans, Annual Performance Plans and other relevant
documentary sources must however be accessed. In engaging with the local community it is highly
recommended that the practitioner contact the relevant local authority – they are able to provide
access to resources such as Community Development Workers and community databases. The key
element of developing the socio-economic context is to assess the extent to which certain factors
may or may not impact on the opportunities that are envisaged as a result of the empowerment
intervention.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
4.3.2
2010
Indicators
Indicators are those aspects of information that can be used to provide base measurements of
quality of life and possible empowerment impact. The following table presents a list of possible
indicators that can be used to guideline the information gathering process.
Table 2: Socio-economic indicators
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Extent of literacy and numeracy
The demographic profile (race, age, gender)
Extent of health facilities and ability to access the facilities
Extent of critical health-related issues
Extent of educational facilities and ability to access the facilities
Extent of community representation and ability to access the representatives
Existence of practices or customs that could hinder empowerment
Extent to which households have access to water, electricity and sanitation
Extent of land / home ownership
Extent of income levels
Level of employment
Existence of the nearest market place / business district and the ability to access it
Extent of community safety and security
Extent of recreational / community facilities
Extent of community organisations
Note to practitioners:
This list is not necessarily all-inclusive – there may well be other factors that are not immediately known or
accessible. For example, in a rural area a project’s implementation could be affected by seasonal employment
as a result of activities such as harvesting. This type of information must be included in the overview, but
would not necessarily be available immediately.
The following example sets out demographic information and provides guidelines concerning the analysis of
such information. (The demographic information relates to the town of Leeu Gamka in the Central Karoo. It is
the site of a proposed Ambulance Station that will serve the immediate community and the surrounding
10
region.) The information seeks to provide contextual information that will add value to the EmpIA process,
particularly in relation to the setting of empowerment objectives.
10
The information was obtained via the Prince Albert Municipality – the assistance of the Council and in particular, Pedro Oliphant (IDP
Practitioner), Viola Petoors (Community Development Worker) and the staff of the Leeu Gamka Ambulance Station is gratefully
acknowledged.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 2: Socio-Economic Information
The purpose of this example is to demonstrate to practitioners certain aspects relating to the gathering of
socio-economic information. A methodology and proposed template for information gathering will also be
presented. Practitioners are reminded of the critical importance of actual on-site visits and of connecting with
appropriate local authorities. The example relates to the town of Leeu Gamka in the Central Karoo.
The following template should be used in the gathering of information. Once completed it forms part of the
EmpIA report that is submitted to the Empowerment Manager. The information contained in the template
forms the basis of the report. See Working Example 3 for an example of how the information is reproduced in
a narrative format.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Form 1: Socio-Economic Information
Empowerment Impact Assessment
Purpose of the form: To provide a framework for
gathering information and research
Project Name
Leeu Gamka Ambulance Station
Client Department
The department
that has initiated
the project
Health
Implementing Department
The department
that is responsible
for implementing
the project
Dept. Transport & Public Works
Project Location
Where is the project
Leeu Gamka, Central Karoo
Project Description
Provide a brief note
on the project & its
purpose
The station is being built to provide EMS facilities to
replace the current ambulance station that is currently
housed in a temporary establishment
Phase 1: Information Gathering
Purpose: to gather sufficient information to provide the foundation for the development of empowerment targets
1a)
Indicate the sources of
information accessed
IDP
Databases
Provincial
documents
Other
1b)
Indicate the extent of
community liaison
Local authority
Contact Details
Summary of discussion
Prince Albert
Municipality
The council was informed of the
role of the EmpIA and EPWP.
They directed the practitioners to
the CDW
Local Leaders
Community
Development
Worker
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
The CDW accompanied the
practitioners on a visit around the
community. Up to date
demographic information was
provided.
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2.
Please indicate information that addresses the
following aspects
Provide brief notes with references
Population
breakdown
What is the race, gender and disability
profile of the community?
Predominantly Coloured
Languages
spoken
What languages are spoken in the
community?
English, Afrikaans
Infrastructure
Types of road (Indicate condition &
state of completion)
Access road tarred, minor roads gravelled
Types of housing (what types of
housing are present - informal /
formal?
Mostly formal, some backyard dwellings
Water /Sanitation
Sanitation is present, future upgrades planned
Community
facilities
What facilities exist for community
use? (Halls, library etc). Unused hostel
outside the town close to N2.
Community hall & library, medical clinic
Educational /
Training
institutions
List the institutions and extent of
attendance and accreditation
1 Junior school, not fully used
Recreational
facilities
4)
2010
Limited
Please indicate the extent of
businesses operating in the
area
Informal (shebeens, cafes)
No.
sector
Provide brief details
Businesses are largely informal- “spaza” shops & shebeens
Formal
1
Financial
Nearest bank is in Prince Albert
Retail
1 supermarket
Construction
Unknown in community, brick-making business in Laingsburg
Engineering
Agriculture
Other
5)
Please indicate the extent of
construction-related businesses in
the area
Type
Business/ Trader name
& contact details
Building /
masonry
Plumbing
Painting
Formally registered?
Yes
CIDB
Category
No
Sole
trader
BBBEE Certified
CC
Pty
Yes
No
NHBRC
Flooring
Carpentry
Roofing
Fencing
Electrical
Practitioner
Name
Signature
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
Date
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Following completion of the form, the information can then be collated in narrative form as follows:
Working Example 3: Socio-economic information
1)
Background Information
1.1
Geographical location
(Provide background information concerning the geographical location of the town as well as
noticeable features)
The town of Leeu Gamka lies on the edge of the N1 route, between Laingsburg 125km to the
south, and Beaufort West 75km to the north, with Prince Albert lying 85km to its east.
Although the N1 is a national road, Leeu Gamka as a town does not necessarily benefit from it,
remaining isolated and predominantly ‘out of sight’. The relative isolation of Leeu Gamka is
manifested in the absence of any visible business activity or business centre. This is
problematic for residents in that necessary living items have to be purchased from surrounding
towns, which are some distance away – hence additional transport costs are incurred and
items become more expensive. Although the nearby town of Prince Albert has significant
tourism infrastructure this does not spill over into Lee u Gamka. The town is located in an arid
area with no visible natural water sources.
1.2
Demographic information
(Provide an overview of relevant demographic information with an indication of the implications
for any empowerment initiatives)
The demographic profile of the town (as per a Municipal Survey undertaken in December
2008) indicates that the majority of the town’s population (85%) is 24 or younger. This is
attributed to the fact that most persons seek employment elsewhere as the employment
opportunities in the town are virtually non-existent and are limited in the surrounding region.
The vast majority of persons in the town are Coloured. Potential beneficiaries are therefore
likely to be drawn from the grouping of designated persons. The youthful profile of the town
also indicates that there is likely to be a shortage of skills and experience.
1.3
Infrastructure information
(Provide details of the town or community’s infrastructure – existing or ongoing infrastructure
could be useful in providing indicators concerning possible future interventions. Photographs are
also valuable sources of information)
Note the link
between skills &
potential impact
on the project
In general, infrastructure provided is sufficient to meet the needs of the towns’ inhabitants.
The majority of dwellings are solid construction dwellings which are electrified. There are
certain shortfalls in terms of sanitation and stormwater provision and there is a housing
backlog in relation to 25% of the towns’ residents. Access roads into the town are tarred but
the majority of the towns’ roads are gravel surfaced with the majority of pavements unpaved.
In terms of future planning it is important to note that provision has been made in terms of the
municipality’s future planning to address infrastructural shortcomings – The Prince Albert IDP
refers to the upgrading of the bulk sanitation infrastructure as well as the provision
infrastructure for projected housing units. Another notable item is the planned rehabilitation
of primary access roads and the upgrading of roads and sidewalks. This means that there are
possible opportunities for future work creation.
Note the reference to
potential future work
opportunities.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 4: Supporting Documentation
Supporting information may be drawn from various resources – at all times it is important to ensure
that information is as up to date as possible. Interviews and surveys are able to form a valuable
resource. The following questionnaire sets out information for the town of Leeu Gamka. The
questionnaire may be adapted for other towns or regions. Photographs are also provided.
Form 2: Sample Demographic Survey Questionnaire
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
Population of the town in numbers
2123
Unemployment figures
75%
Number of people who live in Leeu-Gamka, but work elsewhere.
+/- 104
Where do those who are employed outside the town work?
Farms (seasonal workers)
What kind of employment do people find in Leeu-Gamka? (Examples are government employment, farming,
trade)
Farm work
What % of the people have access to:
Water from a tap inside Water from a tap in the Water
from
a Water from a source more
the house
yard
communal tap
than 200 metres from the
house
15%
85%
What % of the people have electricity in the house?
100%
What % of the people have the following access to sanitary facilities?
Flush Toilet
Chemical Toilet
Pit latrine
Bucket latrine
No access
95%
5%
What % of people live in the following types of housing
Brick dwelling
House made of Informal dwelling Informal dwelling
Other types (please specify)
75%
traditional
in the backyard of NOT in the
materials
another house
backyard of
25%
another house
Are the following state services available in Leeu-Gamka?
Health
Education
Police
Postal
Yes
Yes
Yes
Yes, agency.
If health services are available, what kind are they (examples are a clinic, mobile clinic, health visitors)
Clinic.
Does the population of the town have any particular and significant health problems? Please state what.
TB
If schooling is not available, where do children go to school, and what transport is available for them?
N/A
What is the literacy rate in Leeu-Gamka?
65%
Are there recreational facilities in the town? If “yes”, what kind are they?
Yes, sports field.
Do a significant number of the people in the town fall into the age group 24 and younger?
1806
How many of the people in the town are dependent on state grants?
45%
What are the major social ills in the town? Examples are alcohol or drug abuse, domestic violence, child neglect,
commercial sex.
Alcohol & Drug Abuse
How many shebeens are there in the town?
47
What religious denominations look after the spiritual needs of the town?
AGS, Methodist, Anglican, Lutheran, etc.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
21. What % does Leeu-Gamka contribute to the revenue of the Prince Albert Local Municipality?
5%
22. What are the major problems facing the residents of Leeu-Gamka?
Unemployment.
ANY FURTHER INFORMATION THAT YOU MAY CARE TO GIVE WOULD BE WELCOME.
Contact details of Key Person:
Viola Petoors (CDW Leeu-Gamka)
Phone no: 023 5212 135
Fax no: 023 5212 135
Note the reference
to the local CDW
as an information
resource
Remarks:
The identification of certain key issues such the prevalence of certain illnesses (TB) and a reduced literacy rate
means that training could play a role in educating beneficiaries to begin addressing the situation. This would
have a longer-term effect in terms of empowerment.
Supporting Information (ctd.)
Photographs
Figure 2: Unsurfaced road
Figure 3: Housing
Figure 4: Housing & Electrification
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
4.3.3
2010
Local Resource Availability
Information concerning local resources as well as the presence or lack of economic opportunities is
crucial in terms of determining empowerment targets. Accurate information is essential to ensure
that there is development in relation to job creation, skills development and community
development. As previously indicated it is essential that practitioners make onsite visits and
inspections to ensure accurate information. When reporting, practitioners should include the
following information.
Table 3: Local Resources Availability Guideline
Information category
Key Indicators
•
The extent to which local
business enterprises are able to
play a role in the project and
benefit through participation.
•
•
•
•
•
Local labour availability & skills
Local raw materials and plant
availability
•
•
Availability of designated
enterprises
Extent of legal compliance
(registration with necessary
authorities & bodies)
BBBEE status & ownership
Women & disabled ownership
Extent of experience & track
record
Ability to access local labour
easily
Extent of existing skills that will
enhance project
implementation & completion
Availability of plant and raw
materials in the community
Notes
In certain cases, particularly in
relation to micro-businesses / sole
traders, it may well be that there is
insufficient legal compliance. Part
of the empowerment process
might therefore relate to
addressing these issues
BBBEE status can be proven by a
valid BBBEE certificate or in the
case of a micro-business, an
auditor’s letter
Relevant skills can be determined
through processes such as skills
audits
Significant costs are often incurred
because of the perception that
there is insufficient raw material
locally – Practitioners must
consider and comment on the
appropriateness of using locally
available raw material. In some
instances material can also be
manufactured locally through
locally appropriate technology.
The following working example will indicate how these requirements are implemented. Practitioners
must also note that, where possible, there is always an attempt to link appropriate information with
the project and its empowerment objectives.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 5: Determining Local Resources Availability
The following example illustrates the gathering of information in relation to the availability of local resources.
For ease of reference a guideline form is used. This form can be adapted as necessary by practitioners.
Table 4: Local Resources Availability (ctd)
(Some information provided does not relate to Leeu Gamka but is included for the sake of completion. This is
indicated by a *)
Local resource
category
Business
enterprises
Extent of availability
•
•
•
•
Informal traders (spaza
shops)
Paving and brick making
project
Building contractors
Fencing contractors
Commentary
The paving and brick-making project is in Laingsburg – its
distance from Leeu-Gamka (50km) could be prohibitive in
terms of cost
There are 4 contractors in the Leeu Gamka / Prince Albert area.
2 are BEE compliant business and are registered with a Level 2
CIDB grading. The contractors are experienced in general
works and have participated in EPWP projects relating to
pavement maintenance.*
There is 1 fencing contractor in the area. The contractor has
previously been a beneficiary of the Working for Water
programme.*
Labour
•
Labour is available from the
Leeu Gamka, Bitterwater
and Prince Albert area
Distances between the towns could be problematic in terms of
transport. Although a large proportion of the labour would be
unskilled, indications are that there are appropriate
construction related skills in the community since there are a
number of ongoing roads projects in the area that make use of
local labour
Raw materials
and resources
•
Bricks and pavers
Leeu Gamka has limited resources because of the lack of
commercial activity. The bricks and pavers can be accessed
from a community development project in Laingsburg. The
cost of transporting the materials needs consideration. Also,
the extent to which the products would meet necessary
specifications is uncertain. In all likelihood, some materials
could be used
Concluding Remark
The lack of visible businesses means that it will be difficult to stimulate any local business activity or to source any
resources in the immediate vicinity of the town. Resources would have to be sourced from surrounding towns such
as Prince Albert and Laingsburg. This would have some cost implications.
The lack of older persons in the town’s make-up also has implications for the availability of skilled resources in
relation to the proposed project. However, there is a skills base available because of road works projects in the
area.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
4.3.3(a) Local Economic Opportunities
Attention must be paid to potential economic opportunities that could occur in the area as a result of
the intervention. This is important for local business development. The identification of existing and
potential business opportunities should be made in terms of the ability of the project to initiate or
promote existing business opportunities. Information should be obtained from relevant sources such
as IDP documents and through liaison with local authorities.
Working Example 6: Local business development
The following resources were consulted to determine the potential for business and skills development in
relation to the proposed project as well as future projects:
•
•
The IDP with the Spatial Development Framework and future projects
Liaison with community representatives (IDP practitioner & CDW)
The ambulance station is the initial project; however there are a number of possible related projects that
could spin off from the initial project. The majority of the towns’ roads and sidewalks are not surfaced. There
is also an intention to upgrade stormwater and sewerage infrastructure. These initiatives are in line with the
municipality’s future planning. A copy of the Spatial Development Framework as extracted from the Prince
Albert Municipality Integrated Development Plan indicates future developments that could impact positively
on work opportunities. Consequently there is scope for the development of existing businesses as well as for
the development of start-up businesses that could supply resources.
As previously indicated there is little formal business structure in the town itself. Existing resources will need
to be drawn from more developed, surrounding towns of Prince Albert and Laingsburg. However, the
distances from these towns to Leeu Gamka is prohibitive and will impact on cost.
The following supporting documentation provides an indication of the potential for future business
development and economic growth.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
26
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 7: Supporting documentation
Figure 5: Extract from Spatial Development Framework (Prince Albert Municipality)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
27
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Figure 6: Prince Albert IDP extract with projects
Comment:
The assessment of local economic opportunity is based on research undertaken by the EmpIA practitioner.
Research should be a mixture of onsite assessment with desk-top research. The assessment in relation to the
Leeu Gamka project indicates that although there is a lack of commercial infrastructure in the town there are
possible opportunities for business growth resulting from the spin-offs of the project as well as intended
future projects. Significantly, the IDP notes a number of infrastructure projects that are aimed at addressing
needs of the area.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
28
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
4.3.4
2010
Stakeholder Engagement
Stakeholder engagement and representation in the empowerment process is crucial to the success of
the overall process. It may be assumed that the greater the sense of participation that the beneficiary
community has, the greater sense of control and hence empowerment, that will be manifested.
Meaningful inclusion, participation and information-sharing are critical elements of the
empowerment process. Local stakeholder participation furthermore enhances the element of
accountability. Having engaged with local authorities, the practitioner should then also seek to
directly liaise with community leaders to obtain further socio-economic information.
Practitioners should note that it is critical that any consultation with stakeholders should be
conducted in a manner that does not generate unreasonable or false expectations. In communities
where unemployment is high, the potential for incorrect information or for possible future disputes
around opportunities could increase.
For EmpIA practitioners the following represents a non-exhaustive list of community and other
stakeholders that should be consulted:
•
•
•
•
•
•
Local Municipalities & councillors
IDP Practitioners
NGO’s
Local Business forums
Community Development Workers
Applicable government departments
Evidence of contact made with stakeholders should be included. Registers of meetings, copies of
presentations made and other documents are useful documents to keep.
4.3.5
Exit Strategies
The inclusion of exit strategies is a critical aspect of the revised EmpIA process. Construction projects
can be regarded as a catalyst for community employment opportunities, but this on its own does not
encourage sustainability. The challenge for sustainable empowerment lies in being able to create
alternative work opportunities, independent of the planned municipal infrastructure projects/
interventions. This is the role that successful exit strategies are able to play – they are mechanisms
that enable beneficiaries participating in short-term work opportunity programmes to transition into
longer-term employment opportunities thus ensuring greater sustainability. The transition could
occur as a result of skills development acquired that makes the beneficiary more marketable or it
could occur as a result of business growth in the area that results in an increased demand for labour.
Hence the skills development and other linked training programmes that occur during the
intervention are important for the purposes of exit strategies.
An appropriate recruitment procedure with a screening mechanism is necessary to ensure that
appropriate beneficiaries are selected for participation on the programme – better selection ensures
a greater chance of success.
It is not the role of the EmpIA practitioner to develop these exit strategies. However, the practitioner
should, when assessing empowerment impact, identify possible opportunities for exit strategies and the
EmpIA report should include an indication of potential work opportunities that can result in meaningful
exit from the empowerment intervention.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
29
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
The following example sets out a process for the identification of exit strategy opportunities.
Working Example 8: Identification of Exit Strategies
Within the area, there are a number of possible spin-off opportunities from the ambulance station
intervention. The majority of the town’s roads and sidewalks are not surfaced and there is also the intention to
upgrade stormwater and sewerage infrastructure. This is in line with the municipality’s future planning. Hence
any construction-related skills acquired on the ambulance station project could also be used in relation to the
future projects where appropriate.
Other opportunities
The demographic survey identified that a significant proportion of Leeu Gamka’s population is under the age
of 24; however, there is a notable lack of recreational facilities. However, there are a number of unused, stateowned buildings in the surrounding area with the potential to be converted into recreational and/or
educational facilities. One of the existing buildings conducive to such a facility, stands on the edge of the N1,
and is owned by Transnet. The building is unoccupied and although in need of revamping, the superstructure
appears to be in relatively good condition, i.e. minimal renovation would be needed in order for the building to
operate adequately.
Figure 7 : Unused Transnet building
Figure 8: Unused Transnet Building
Upgrading of this much-needed facility would provide the following work opportunities:
o Construction: bricklaying & plastering (for any internal alterations), painting (including roofs &
floors), tiling and plumbing (bathrooms & kitchenette), basic electric reticulation.
o Carpentry: securing all doors and windows including glazing. Carpenter can also be employed
to make benches and tables.
o Current sewing project can make cushions, curtains & rugs.
o General cleaning – can be done on a weekly rotational basis.
There are other possible upgrading and maintenance projects in the area. The current day clinic is
under-resourced and is too small to accommodate patients as well as medical staff. The current
Ambulance station building, once vacated, could however be used to house a new, revamped clinic.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
30
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
The town’s Crèche is situated on the edge of the N1, in the vicinity of the Police Station. The building has been
deemed “unsafe” and an application for upgrade funding has been submitted to the Municipality. However, due
to the extensive damage, upgrading might not be a feasible option, and an alternative accommodation has not
yet been identified.
The EMS vacated premises could be converted into a crèche successfully. The building is situated directly
opposite the Children’s playground, away from the main vehicular roads. The building has a fenced-in courtyard
that could be turned into a partially-green area of learning.
Within the area there are a number of community development projects currently operational. These include
the brick-making facility in Laingsburg, a bread-baking project and a greening / gardening project. As previously
suggested, there is the possibility that the products of the brick-making facility could be used for the ambulance
station and other projects. Given the correct level of business support and mentoring, these projects could
develop into viable commercial enterprises that could provide future employment opportunities.
Finally, the current ambulance station is in need of adequate training facilities – the high accident rate on the N1
road between Laingsburg and Beaufort-West means that there is an ongoing need for emergency medical
services that require an ongoing and consistent level of training and expertise. A training facility could be
developed in the area to provide for the required ongoing professional training. (Currently, all training occurs in
Beaufort-West with a resulting high cost for transport and accommodation)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
31
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
4.3.6
2010
Project or Construction Phase Description
The inclusion of a description of the construction phase in the EmpIA report is critical for the
development of empowerment targets. A tender unbundling approach should be followed so that
each phase may be broken down, where reasonably possible, into a detailed description of each
construction facet. This approach will help to maximise the utilisation of LIC techniques and will also
assist in the utilisation of smaller sub-contractors.
Working Example 9 : Construction Phase Description
The project involves the construction of an Ambulance Station in the town of Leeu Gamka in the Central Karoo.
The following questions should be addressed:
•
Does the project favour the utilisation of empowerment approaches? That is, can LIC be maximised?
•
To what extent is unskilled & semi-skilled labour required as opposed to skilled and / or professional input?
Answering these questions will also assist in ensuring that the final design takes empowerment considerations into
account.
In order to maximise the extent of small contractors and LIC the project may be divided into the following
activities:
•
Construction of the main building
•
Sidewalk and paving work
•
Furnishings and fittings
•
The phases as identified may then be broken down further as follows:
1. SITE ESTABLISHMENT
Site Clearing
Fencing
Site Office setup & services
Other
2. EARTHWORKS, DEMOLITION & BUILDING
SETOUT
Demolitions
Levels, Setting out of Building
Excavation
Other
3. SUBSTRUCTURE: FOUNDATIONS & SURFACE
BED
Trenches, Foundations
Plinth brickwork, backfill and compaction
Waterproofing
Reinforcing & surface bed
Other
4. SUBSTRUCTURE: MASONRY / WETWORKS
Brickwork, waterproofing, openings
Screeds
Plastering and / or skimming
Other
5. ROOF, CEILINGS & DRYWALLS
Roof structure and / or support columns
Roof covering, insulation, flashings
Ceilings, cornices, insulation
Drywalls
6. CARPENTRY & JOINERY
General carpentry (e.g. skirting, doors, etc)
Joinery
Other
7. FINISHES
Painting
Wall and / or Floor tiling
Alternative floor finishes (timber, carpet, vinyl, etc)
Glazing, shower screens, curtain walls, etc
Other
8. SERVICES
Plumbing, Drainage & Stormwater (building)
Electrical
Mechanical
Security / Access control / Audio-visual
9. EXTERNAL WORKS
Bulk services: water supply, soil & sewerage
Stormwater (site reticulation)
Roadworks & parking
Paving / gravel
Metalwork / Fencing
Landscaping
Irrigation
Other
10. SITE HANDOVER
Cleaning
Dismantle site establishment
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
Practitioners should note
how each phase is broken up to assist
in identifying opportunities for LIC
and smaller contractors
32
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
5.
2010
Empowerment Impact Analysis
The information gathered during the information gathering phases must now be analysed by the
practitioner in order to develop strategies with regard to work opportunities, economic
empowerment and the development of local skills and capacity. This will form the core of the EmpIA
and needs to be reported to the relevant stakeholders in order to finalise the relevant empowerment
targets.
5.1
Determining Labour Enhanced task opportunities
Not every activity related to the project can be reduced to one that is dependent on labour; however
the creation of work opportunities through labour intensive activities is crucial to overall
empowerment. Labour intensive activities not only assist in the provision of infrastructure, but also
play a role in skills and contractor development. Labour intensification is typically created through
using the project design to incorporate activities requiring a larger workforce and / or the use of
11
labour where non-labour methods / plant would have been used otherwise.
Typically the EmpIA practitioner would have to assess the project and determine the extent to which
labour intensive activities can be employed in relation to all of the project’s activities. The
assessment would typically provide the following detail:
o
o
o
o
o
o
o
Possible construction methods that will maximise labour involvement
Labour requirements and allocation for each task
Labour differentiation – skilled or unskilled?
The utilisation of locally appropriate technology where possible
Source of labour
Cost comparison between labour as opposed to plant usage
Motivation for the use of plant as opposed to labour
12
The following table sets out possible work related activities for the Leeu Gamka project and also
indicates the possible level of expertise that will be required in relation to each activity. This process
also assists in determining the skills development that will facilitate project participation and
completion. In this manner, the appropriate training requirements can be identified- thus also
playing a role in the development of exit strategies. (The table is based on the table shown in
Working Example 9).Practitioners should note that although tasks requiring unskilled generally lend
themselves to a LIC approach, this does not mean that all LIC work is unskilled. For example, the
laying of facebrick demands a high experience and skills level. Similarly the practitioner should note
that where work is specialised in nature, a certificate or qualification does not necessarily imply the
possession of required skill and experience. In such instances, a higher degree of supervision is
required.
11
12
See the original EmpIA Guideline document @ 20
The table was compiled with the assistance of CMJ Studio
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
33
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 10: Determining labour enhanced task opportunities & skills requirements
DESCRIPTION OF TRADE ACTIVITY
1.
2.
3.
4.
5.
6.
7.
8.
9.
Unskilled
labour
Semi-skilled
labour
Skilled &
Experienced
labour
Skilled
labour
Supervision
required
Specialist/
professional
input
SITE ESTABLISHMENT
Site Clearing
Fencing
Site Office setup
CIVILS & BUILDING SETTING OUT
Excavation
Establishing site levels
Manual Cutting & Fill
Setting out of building
FOUNDATIONS & SURFACE BED
Digging of trenches
Installing steel reinforcing
Mixing concrete manually
Pouring & vibrating concrete
BRICKWORK, PLASTERING & SCREEDS
Stacking & carrying bricks
Mixing mortar/ plaster/ screed
Bricklaying – stock bricks
Bricklaying – facebrick
Plastering
Laying screeds
Waterproofing (dpcs & dpms)
SERVICES
Plumbing
Electrical
Security/ Audio-Visual
CEILINGS, CARPENTRY & ROOF
Ceiling installation & skimming
Manual assembly: timber rafters & columns
Roof installation
STEELWORK
Supply & Installation of steel structures
FINISHES & JOINERY
Painting
Tiling assistance (mixing grout, etc)
Tiling
Built-in Bedroom & Kitchen cupboards
EXTERNAL WORKS & LANDSCAPING
Compaction of paved & gravel areas
Paving & laying of gravel
Water Feature
Fencing
Landscaping & Irrigation
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
# Manual
#
#
#
#
#
#
#
#
# Mechanical
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
Each component of the table may then be broken down further to specify the estimated amount of labour
and associated cost. This is shown in the following examples. The following examples utilise spreadsheets
that need to be completed electronically since each spreadsheet is linked and will enable the practitioner to
ultimately submit a total figure for the empowerment targets that takes all of the possible construction
activities into account. This document will not show the breakdown of each and every activity but will use
samples of the various spreadsheets. The full spreadsheet is enclosed as Appendix.A spreadsheet is provided
for each trade activity. In turn, each activity is divided into sub-activities. This enables costing to be
established per trade activity. Upon completion of the individual spreadsheets, the information is collated and
is presented in a single spreadsheet that is presented as Working Example 12. This will contain the overall
information concerning empowerment targets.
The Empowerment Targets will then be transposed onto the Contract Participation template, attached as
Appendix 3.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
34
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 11: Labour Enhanced Task opportunities and costs
DEPARTMENT OF TRANSPORT & PUBLIC WORKS
EMPOWERMENT IMPACT TARGETS
Project Name /
Description
Project Location (Town / suburb)
Estimated project
cost
District Municipality
Local Municipality
Work Category
Site Establishment
Beneficiary
category
Local Labour Resources
Total time for completion
Task Description
Task
Duration
Site Clearing
Local Labour Involvement (# Target persons required per category)
Unskilled
Daily Wage
Rate
Sub-total
beneficiary
cost
Semi-skilled
labour
Daily Wage
Rate
Sub-total
beneficiary
cost
CPG %
Breakdown
Comments
Total #
Target
beneficiaries
required
Total #
work days
Total
beneficiary
cost
Commentary
Fencing
Site offices &
services
Other
TOTAL
SUMMARY
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# SemiSkilled
Total number
targeted
beneficiaries
(B)
Total #
number
work days
(C)
Total
Labour Cost
HDI
Women
Youth
Disabled
TOTALS
% in relation to Overall Contract
%
%
CPG: %
A= % Total # Beneficiaries required for the Contract
B = % of Total Contract Duration
C = CPG (% Total Labour Cost in relation to the Overall Contract Value)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
35
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Beneficiary
category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local
enterprises / Refer to Annexures
Task
Description
Task
Duration
(Days)
# Teams /
Enterprises
Required
Required
Supervision
Level
# Skilled
Total #
work days
Estimated
Component
Cost
CPG (%
Total
Contract
Value)
Commentary
Site
Clearing
Fencing
Site offices
& services
Other
TOTAL
Targeted Skilled Beneficiaries:
(Equivalent to …. % of overall workforce)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
36
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
5.2
2010
Determining opportunities for local business development
The identification of business opportunities related to the intervention serves to promote the
interests of small local business that would in normal circumstances not necessarily be able to
participate in large, mainstream contracts. Through an unbundling approach it becomes easier to set
aside opportunities for smaller business development. The selection process is largely dependent on:
• The ability of the local business to sustain services and product during the contract period
• The locality of the business – it must be in the environs of the beneficiary community
• The extent of BBBEE compliance that will indicate that the business can be a beneficiary
The unbundling of the project into activities assists in identifying those aspects that could be
completed by local beneficiary businesses. Consequently the EmpIA report must include
•
•
•
•
5.3
Identified business opportunities
The quantity of businesses that are required to complete the activities
The cost of utilising the services of such businesses
The source / location of the identified businesses
Determining local plant / material resources opportunities
The identification of local plant and material resources is critical in stimulating economic activity
within beneficiary communities. The identification of such resources is often a springboard for
further economic growth.
5.4
Beneficiary identification & quantifying needs
This phase is important in identifying the target groups that will benefit from empowerment
initiatives. Typically, the socio-economic information that has been gathered will form the source of
the information.
Working Example 12: Beneficiary Identification
The town of Leeu Gamka has a predominantly Coloured population. The socio-economic survey indicates
that there is a literacy rate of 65%. The town does have a school, but it does not accommodate learners all
the way to matriculation level. Significant numbers of persons are dependent on State Grants due to high
levels of unemployment. Since the proposed project is in the town itself, the towns’ inhabitants would
form the bulk of the beneficiaries. In relation to beneficiaries there needs to be a specific focus on women
and youth. Typically, youth do not see a future for themselves in the area and end up migrating to urban
areas where there are more possibilities and opportunities. The initiation of the project could serve as a
tool to galvanise interest in the town.
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
37
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
5.5
2010
Skills identification & training
Skills development and training are critical parts of the empowerment process. Apart from ensuring
the appropriate skills levels for the project, proper skills training can also lay the foundation for future
use. Education and training programmes should, where possible, focus on providing skills that will
also be beneficial for future community projects, thereby providing a sustainable skill, which the
13
individual can use in the future. Training should therefore be done with a view to the future so that
the individual has some form of exit strategy. The EmpIA report should include an indication of:
•
•
•
•
13
The type of training to be implemented
The identified beneficiaries
The cost of training
The identified training provider (typically, the training should lead to some form of accreditation
that can be used to further the individuals education)
See EmpIA Guideline Document @22
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
38
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
6.
2010
Setting Empowerment Impact Targets
The setting of targets refers to contract participation goals (CPG). The targets are thus largely
quantitative in nature. The setting of targets creates a benchmark for the implementation of the
project and provides the foundation for future monitoring and evaluation. The targets are focused on
the extent to which individual beneficiaries and enterprises are able to benefit from work
opportunities, training and business opportunities. The setting of the targets is therefore derived
from the information provided by the practitioner and it is used to form the basis of the CPG that is
inserted into the final tender document.
6.1
Who are the intended beneficiaries of empowerment initiatives?
(a)
Individual beneficiaries are generally those persons who are referred to as Previously
14
Disadvantaged Individuals (PDI’s) . Within the framework of Broad Based Black Economic
Empowerment (BBBEE), these would be Black persons (a generic term for African,
Coloured, Indian and Asian persons). Women and youth would form sub-groupings of this
broader group. For the specific purposes of project involvement, beneficiaries must be
unemployed. In general, beneficiaries must be resident in the area in which the project is
located. Often, involvement is determined by access to transport, accordingly, persons who
come from the appropriate region (particularly in rural areas) might not be able to access
the opportunities because of the distance or remoteness of locations.
(b)
Empowerment initiatives are also meant to encourage the development of small local
businesses and contractors. From the contractor perspective, the Department of Transport
and Public Works runs contractor development programmes that are meant to bring more
previously disadvantaged contracting firms into the mainstream. Local businesses are
targeted in order to supply the plant and/or resource requirements of the project. Typically,
target requirements are incorporated into the main tender contractor and the preferred
contractor has to include and make provision for the achievement of the appropriate
targets. The cost of the beneficiary involvement would typically be represented as a
percentage of the total project cost. For example where the total budget of the project is
R18 million, and where three beneficiary businesses are identified to participate at a cost of
R2 million; the cost of that participation would be 11.1% of the total project cost. The target
for local enterprises with the potential to benefit could be set at 11.1%. The same approach
would be used for all of the different empowerment components, including training and job
creation.
Practitioners must refer to Working Example 12 for an example of the presentation of
targets. The tables shown are an amalgamation of all the information that has been
collected in relation to each of the construction phases, the training and relevant cost
related to each of the phases and the cost related to sourcing local plant and material
resources and finally the cost of incorporating local suppliers.
14
A South African citizen who, due to apartheid, would have had no franchise in elections prior to 1993. (It has also been legally decided
this grouping includes persons of Chinese descent)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
39
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
Working Example 12: Empowerment Impact Targets
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name /
Description
Project Location (Town / suburb)
Estimated project
cost
District Municipality
Estimated total
labour cost
Local Municipality
Estimated total
project time
allocation
Note: Complete each individual worksheet first.
SUMMARY
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# SemiSkilled
Total number
targeted
beneficiaries
(B)
Total #
number
work days
(C)
Total
Labour Cost
CPG %
Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
% in relation to Overall Contract
%
%
CPG: %
A= % Total # Beneficiaries required for the Contract
B = % of Total Contract Duration
C = CPG (% Total Labour Cost in relation to the Overall Contract Value)
SUMMARY
TRAINING & DEVELOPMENT REQUIREMENTS
Skills Development programmes
No. of beneficiaries
Cost
Comment
National Youth Service
Learnership
Other (refer to annexure for details of
training
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
40
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
Beneficiary
category
2010
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration
(Days)
# Teams /
Enterprises
Required
Required
Supervision Level
# Skilled
Total # Skilled
persons
Site Establishment
Earthworks,
Demolition &
Building Setout
Substructure:
Foundations &
Surface bed
Superstructure:
Masonry /
Wetworks
Roofs, Ceilings &
Drywalls
Carpentry &
Joinery
Finishes
Services
External Works
Site Handover
TOTAL
Targeted Skilled beneficiaries:
(Equivalent to …… % of overall workforce)
LOCAL PLANT AND MATERIAL RESOURCES
CHECK (depending on project requirements)
Tick
No. of suppliers
Is there a toilet hiring company?
Availability of plant hiring companies (trucks /
machinery)
Availability of tool hiring companies (smaller scale
compactors, vibrating machines etc)
Availability of raw materials (suppliers, quarries, brickmaking plant etc)
Availability of hardware stores (general building,
electrical & plumbing)
Specialist suppliers (finishes – tiles, sanitaryware,
shower screens etc)
% of Total Project Cost
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
41
Total # Work days
Estimated Component Cost
Empowerment Impact Assessment (EmpIA) Guideline Document (Revised)
2010
OVERALL PROJECT SUMMARY
Local Labour
HDI
Women
Youth
Total #
Work
days
Total
Labour
Cost
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
#DIV/0!
0
#DIV/0!
#
Unskilled
# SemiSkilled
0
0
0
0
Disabled
Total
Category
Local Labour
Targeted
Enterprises
Local
Resource
Availability
Training
Requirements
0
Total #
Target
Beneficiaries
0
CPG % Breakdown
0
Overall
Costs
0
#DIV/0!
% of total
labour cost
0
#DIV/0!
% of total
project cost
0
#DIV/0!
% of total
project cost
#DIV/0!
% of total
labour cost
Total
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
42
7.
Empowerment Implementation Strategy
Having considered the findings of the EmpIA process it will be necessary to implement them in a
manner that will enable the achievement of empowerment targets. Methods that are used include:
•
•
•
•
Utilising the scheduled task method statement
Running appropriate, scheduled training programmes
Engagement with community representatives and stakeholders
Project break-out and procurement strategies
Using the proposed Leeu Gamka ambulance station as an example, the following could apply:
Working Example 13: Project Empowerment Implementation Strategy
The construction project involves construction of the main building, sidewalk and paving work and
furnishing and fitting. Accordingly, the project could be unbundled and broken down into distinct phases
that will maximise the opportunities for participation by targeted beneficiaries. The phases could include,
inter alia, the previously mentioned facets. Consequently, the project could be advertised as 1 tender or as 3
separate contracts.
Preference must be given to contractors in the immediate region who comply with the requirements of
BBBEE and who are able to show a commitment to its principles. Allocation of points awarded would be
determined in line with procurement regulations. Main contractors who are not from the area, but who use
local sub-contractors would receive preferential points.
Implementation of the empowerment strategy must ensure that empowerment objectives are met while at
the same time ensuring that service delivery and Departmental policy requirements are met.
8.
Monitoring & Evaluation
It is envisaged that monitoring and evaluation of project deliverables, including the achievement of
empowerment objectives be assessed regularly. Currently, the Department oversees the monitoring
and evaluation process – however, as previously indicated the EmpIA unit in the Directorate is not
able to monitor and evaluate each and every project that has been undertaken with empowerment
objectives in mind.
It is also important to note that the monitoring and evaluation process should not only attempt to
assess the extent to which quantitative targets have been achieved; but should also try to
incorporate some form of socio-economic assessment to determine the extent to which an
intervention is impacting or has impacted on the community’s well-being. Currently, once the project
is underway, monthly summary progress reports are submitted to the Department. As previously
indicated this activity does not fall within the scope of the EmpIA practitioner’s brief. An example of
an EmpIA report review protocol is also included in Appendix 12.
It is envisaged that with more in-depth socio-economic research a more detailed assessment of the
empowerment impact of a project can be made. This applies particularly to the extent to which there
has been successful exit from the programmes initiated by the intervention.
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9.
Conclusion
This document originated from a review of the current EmpIA process – although the EmpIA has to
some extent been entrenched in Departmental practice, it may be said that the role and practice of
empowerment is still misunderstood to some extent. Implementing agents are often not aware of
how to incorporate empowerment principles and practice into projects. The initial empowerment
guideline provided a template for practitioners to put empowerment into practice. This document
has drawn extensively from that document where necessary. Having said that, the review indicated
that there was a need for a greater socio-economic emphasis in relation to empowerment practice. A
focus on quantitative elements only, ignores the need to also assess the impact that interventions
may have on individual or community well-being. Consequently, the document has made reference
to a number of socio-economic indicators that can be used during the research as well as the
evaluation phase.
This document has advocated for a greater emphasis on socio-economic aspects; firstly through
more in-depth initial research and then in relation to an improved, deeper monitoring and evaluation
process that will consider socio-economic aspects. Focusing on better research and more sustained
monitoring and evaluation are seen as the keys to a more integrated process that will consider
empowerment in a broader sense.
The role of the BBBEE framework can also not be ignored. The proposed and impending alignment
between the Procurement Regulations and the BBBEE framework means that the manner in which
contracts were assessed and allocated will change. The Department will consequently need to
consider this in its contract allocation procedures. Moreover, when contractors make provision for
empowerment targets they will also need to consider the BBBEE status of the contractors that are
brought on board as this will have a bearing on their own BBBEE status.
Internally, the Department will also have to consider how it will monitor the implementation of the
EmpIA across all client and implementing Departments. The EmpIA unit is not able to assess each
and every empowerment-related contract and individual Departments will need to take
responsibility for ensuring that the principles of empowerment are adhered to.
Each empowerment-related intervention is unique – different criteria and challenges will apply in
each case. It is hoped however, that this document, together with the experience of past EmpIA
practice will provide some guidelines for practitioners and other related stakeholders in the
formulation and implementation of empowerment related strategies and interventions.
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Department of Transport & Public Works, Provincial Government, Western Cape
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10.
Appendices
Appendix 1: EmpIA Socio-Economic Information Template Form .................................................................. 46
Appendix 2: Consolidated EmpIA Targets ...................................................................................................... 48
Appendix 3: Contract Participation Goals ....................................................................................................... 51
Appendix 4: Individual Phase Targets (Site Establishment) ............................................................................ 52
Appendix 5: Individual Phase Targets (Earthworks, Demolition & Building Setout) ........................................ 53
Appendix 6: Substructure: Foundation & Surface Bed .................................................................................... 54
Appendix 7: Individual Phase Targets (Superstructure: Masonry & Wetworks) ............................................... 55
Appendix 8: Individual Phase Targets (Roofs, Ceilings & Drywalls) ................................................................. 57
Appendix 9: Individual Phase Targets (Carpentry & Joinery) ........................................................................... 58
Appendix 10: Individual Phase Targets (Finishes) ........................................................................................... 59
Appendix 11: Individual Phase Targets (Services) ........................................................................................... 60
Appendix 12: Individual Phase Targets (External Works) ................................................................................ 61
Appendix 13: Individual Phase Targets (Site handover) .................................................................................. 61
Appendix 14: EmpIA Report Protocol ............................................................................................................. 63
Appendix 15: EmpIA progress report .............................................................................................................. 64
Appendix 16: Extracts from the Guidelines for the implementation of Labour-intensive infrastructure projects
under the EPWP (2005) .................................................................................................................................. 65
Appendix 17: Broad Based Black Economic Empowerment & the EmpIA ....................................................... 68
Empowerment Impact Assessment Unit
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Appendix 1: EmpIA Socio-Economic Information Template Form
Empowerment Impact Assessment
Purpose of the form: To provide a framework for
gathering information and research
Project Name
Client Department
The department
that has initiated
the project
Implementing Department
The department
that is responsible
for implementing
the project
Project Location
Where is the project
Project Description
Provide a brief note
on the project & its
purpose
Phase 1: Information Gathering
Purpose: to gather sufficient information to provide the foundation for the development of empowerment targets
1a)
Indicate the sources of
information accessed
IDP
Databases
Provincial
documents
Other
1b)
Indicate the extent of
community liaison
Contact Details
Local authority
Summary of discussion
Prince Albert
Municipality
Local Leaders
Community
Development
Worker
Empowerment Impact Assessment Unit
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2.
Please indicate information that addresses the
following aspects
Population
breakdown
What is the race, gender and
disability profile of the community?
Languages
spoken
What languages are spoken in the
community?
Infrastructure
Types of road (Indicate condition &
state of completion)
Provide brief notes with references
Types of housing (what types of
housing are present - informal /
formal?
Water /Sanitation
Community
facilities
What facilities exist for community
use? Halls, library etc). Unused
hostel outside the town close to N2.
Educational /
Training
institutions
List the institutions and extent of
attendance and accreditation
Recreational
facilities
4)
Please indicate the extent
of businesses operating in
the area
Informal (shebeens, cafes)
No.
sector
Formal
Financial
Retail
Construction
Engineering
Agriculture
Other
5)
Please indicate the extent of
construction-related businesses in
the area
Type
Business/ Trader
name & contact
details
Building /
masonry
Plumbing
Painting
Formally registered?
Yes
CIDB
Category
No
Sole
trader
BBBEE
Certified
CC
Pty
Yes
No
NHBRC
Flooring
Carpentry
Roofing
Fencing
Electrical
Practitioner
Name
Signature
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
Date
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Appendix 2: Consolidated EmpIA Targets
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name /
Description
Project Location (Town / suburb)
Estimated project
cost
District Municipality
Estimated total
labour cost
Local Municipality
Estimated total
project time
allocation
Note: Complete each individual worksheet first.
SUMMARY
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# SemiSkilled
Total number
targeted
beneficiaries
(B)
Total #
number
work days
(C)
Total
Labour Cost
CPG %
Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
% in relation to Overall Contract
%
%
CPG: %
A= % Total # Beneficiaries required for the Contract
B = % of Total Contract Duration
C = CPG (% Total Labour Cost in relation to the Overall Contract Value)
SUMMARY
TRAINING & DEVELOPMENT REQUIREMENTS
Skills Development programmes
No. of beneficiaries
Cost
Comment
National Youth Service
Learnership
Other (refer to annexure for details of
training
TOTAL
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Beneficiary
category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration
(Days)
# Teams /
Enterprises
Required
Required
Supervision Level
# Skilled
Total # Skilled
persons
Site Establishment
Earthworks,
Demolition &
Building Setout
Substructure:
Foundations &
Surface bed
Superstructure:
Masonry /
Wetworks
Roofs, Ceilings &
Drywalls
Carpentry &
Joinery
Finishes
Services
External Works
Site Handover
TOTAL
Targeted Skilled beneficiaries:
(Equivalent to …… % of overall workforce)
* Depending on capacity, may refer to multiple Enterprises / multiples teams per Enterprise
LOCAL PLANT AND MATERIAL RESOURCES
CHECK (depending on project requirements)
Tick
No. of suppliers
Is there a toilet hiring company?
Availability of plant hiring companies (trucks /
machinery)
Availability of tool hiring companies (smaller scale
compactors, vibrating machines etc)
Availability of raw materials (suppliers, quarries, brickmaking plant etc)
Availability of hardware stores (general building,
electrical & plumbing)
Specialist suppliers (finishes – tiles, sanitaryware,
shower screens etc)
% of Total Project Cost
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Total # Work days
Estimated Component Cost
OVERALL PROJECT SUMMARY
Local Labour
HDI
Women
Youth
Total #
Work
days
Total
Labour
Cost
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
0
#DIV/0!
#DIV/0!
0
#DIV/0!
#
Unskilled
# SemiSkilled
0
0
0
0
Disabled
Total
Category
Local Labour
Targeted
Enterprises
Local
Resource
Availability
Training
Requirements
0
Total #
Target
Beneficiaries
0
CPG % Breakdown
0
Overall
Costs
0
#DIV/0!
% of total
labour cost
0
#DIV/0!
% of total
project cost
0
#DIV/0!
% of total
project cost
#DIV/0!
% of total
labour cost
Total
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Appendix 3: Contract Participation Goals
WESTERN CAPE PROVINCIAL ADMINISTRATION
DEPARTMENT OF TRANSPORT AND PUBLIC WORKS
PROJECT NAME
SCHEDULE : CONTRACT PARTICIPATION GOAL
Standardised Specifications for Targeted Construction Procurement D20500 : Participation of Targeted
Enterprises and Targeted Labour is included as an Appendix to 3.3 : Procurement in
the Scope of Works and shall apply as additional Works Specifications to this contract. Project Specifications
are set out in section 3.3 : Procurement in the Scope of Works.
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Appendix 4: Individual Phase Targets (Site Establishment)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
District Municipality
Work category
Site Establishment
Local Municipality
Estimated total labour cost
Estimated total project time allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
Total number
targeted beneficiaries
(B)
Total # number
work days
(C)
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Site Establishment
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 5: Individual Phase Targets (Earthworks, Demolition & Building Setout)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Earthworks, Demolition & Building Setout
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Earthworks, Demolition &
Building Setout
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 6: Substructure: Foundation & Surface Bed
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Substructure: Foundation & Surface Bed
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Substructure: Foundation &
Surface bed
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 7: Individual Phase Targets (Superstructure: Masonry & Wetworks)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Superstructure: Masonry & Wetworks
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Superstructure: Masonry &
Wetworks
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Appendix 8: Individual Phase Targets (Roofs, Ceilings & Drywalls)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Roofs, Ceilings & Drywalls
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Roofs, Ceilings & Drywalls
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 9: Individual Phase Targets (Carpentry & Joinery)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Carpentry & Joinery
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Carpentry & Joinery
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 10: Individual Phase Targets (Finishes)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Finishes
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Finishes
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
59
# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 11: Individual Phase Targets (Services)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Services
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Services
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 12: Individual Phase Targets (External Works)
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
External Works
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
External Works
TOTAL
Appendix 13: Individual Phase Targets (Site handover)
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
61
# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
EMPOWERMENT IMPACT ASSESSMENT
EMPOWERMENT IMPACT TARGETS
Project Name / Description
Project Location (Town / suburb)
Estimated project cost
Work category
District Municipality
Site Handover
Local Municipality
Estimated total labour cost
Estimated total project time
allocation
SUMMARY
Note: Complete each individual worksheet first.
Local Labour Breakdown (Regarded as an indicator only)
(A)
Local Labour
# Unskilled
# Semi-Skilled
(B)
Total number
targeted beneficiaries
(C)
Total # number
work days
Total Labour Cost
CPG % Breakdown
Comments
HDI
Women
Youth
Disabled
TOTALS
Beneficiary category
LOCAL ENTERPRISE DEVELOPMENT (identify opportunities for participation of appropriate local enterprises / Refer to Annexures
Task Description
Task Duration (Days)
# Teams / Enterprises Required
Required Supervision Level
Site Handover
TOTAL
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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# Skilled
Total # work days
Estimated Component Cost
CPG (% Total Contract
Value)
Commentary
Appendix 14: EmpIA Report Protocol
This form is used to assess the extent to which EmpIA practitioner has addressed various aspects of reporting
DEPARTMENT OF TRANSPORT & PUBLIC WORKS EMPOWERMENT IMPACT ASSESSMENT REPORT REVIEW PROTOCOL
SCOPE OF SERVICES
GOOD
RATING
AVRG
POOR
Information Gathering
Consult the IDP's and community forums to determine the infrastructure requirements
Obtain relevant demographic statistics from Stats SA, Social Services and Local Municipalities.
Access Police Reports, Social Services, Health reports and other environmental reports
Investigate local resources by: Visiting community, recent projects in area from business associates, Dept. of Labour
Identify Economic opportunities from academic research, municipalities & business-persons
Consult & liaise with key individuals from community development forums & representative structures
Empowerment Impact Analysis
Assess and scrutinize the information gathered above in terms of how best the information can capacitate and empower
the community and ABE’s / SMME’s in the project
Empowerment Impact Targets
Develop targets to quantify objectives in relation to the identified empowerment indicators. Targets must be set in terms of the following:
Job Creation
Contract participation by ABE’s, SMME’s, Women and Disabled
Training
Contractor Development Training
Use of local material resources, ABE’s, HDI’s
Level of community and youth participation
Empowerment Implementation Strategy Proposals
Determine implementation strategies that will maximize the degree of empowerment while at the same time ensuring that the Departmental requirements, both in terms of service delivery
and policy, are met. Strategies to be used to ensure empowerment targets are met are:
Use of scheduled task method statement
Time scheduled training programmes
Interventions to prepare community development workers for participation.
Link project capacity building to potential economic opportunities
Project break-out and procurement strategy
Engage community representatives on project implementation for planning, design and construction phase.
Empowerment Impact Assessment Unit
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COMMENTS
Appendix 15: EmpIA progress report
This form is used to provide the framework for regular EmpIA reporting during project implementation:
Empowerment Impact Assessment Unit
Department of Transport & Public Works, Provincial Government, Western Cape
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Appendix 16: Extracts from the Guidelines for the implementation of Labour-intensive infrastructure
projects under the EPWP (2005)
1.
Introduction
This Annexure provides guidance on the identification of labour intensive projects and the utilisation of labour
intensive methodologies to achieve the aims of labour intensive construction – its chief aim being the maximisation
of labour where economically feasible in construction projects. For the full text of the Guideline see Guidelines for the
Implementation of Labour-Intensive Infrastructure Projects under the Expanded Public Works Programme (EPWP)
(2005) (See also Code of Good Practice for Employment and Conditions of Work for Special Public Works
Programmes and Ministerial Determination, Special Public Works Programmes, issued in terms of the Basic
Conditions of Employment Act of 1997 by the Minister of Labour (The following notes are taken from the Guidelines
as referenced above)
2.
Preliminary requirements
The following types of construction projects are specifically suitable for labour-intensive implementation:
•
low-volume roads and sidewalks
•
stormwater drainage
•
trenching
Other types of infrastructure and building can also provide opportunities. Prior to designating a project as
labour-intensive the relevant authority must ensure that there is sufficient local labour available and that the
project is capable of facilitating labour intensive construction. It is precisely the role of the EmpIA practitioner is
to assess these aspects.
3.
Records
The following records are to be maintained during the course of the project:
•
Project budget
•
Actual Project Expenditure
•
Number of job opportunities created
•
Demographics of workers employed (disaggregated by women, youth and persons
•
with disabilities)
•
Minimum day-task wage rate earned on project
•
Number of person-days of employment created
•
Number of persons who have attended a standard EPWP 10 day accredited training course
4.
Generic Specifications
The following note provides generic specifications relating to labour intensive construction. These activities
should be completed by hand:
a)
trenches having a depth of less than 1.5 metres
b)
stormwater drainage
c)
low-volume roads and sidewalks
The following table sets out labour intensive activities. Where applicable, explanatory notes are provided:
Table: Basic Labour Intensive Activities
Category
Note
Trench Excavation
Less than 1,5 metres deep
Excavation
Excavatable material classified as soft, material can be loosened
mechanically before hand excavation
Clearing and grubbing
Of grass and bushes
Shaping
Hauling
Use of wheelbarrows, distance < 150 m
Loading
By hand
Offloading
By hand unless tip trucks used
Grassing
Stone pitching & concrete
masonry
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5.
Labour Intensive Construction Design Guidelines
The Guidelines to labour Intensive Construction Works also sets out the following notes to bear in mind when
designing with labour intensive construction in mind:
1.
Earthworks must be designed taking consideration of the method of construction being hand
labour and tools and wheel barrows or small transportation units.
2.
Vertical and horizontal alignment of the works (roads, pipelines and stormwater channels)
should be such to optimise cut and fill, minimise deep or hard excavation or areas requiring
specialist engineering input for example dewatering or specialist ground stabilisation.
3.
During the design of gravel roads, suitable construction material must be sourced in close
proximity to the site of the Works.
4.
Drawings should be produced and presented in a clear easily understandable way. Where
setting out information is provided in the form of coordinates it should be backed up with
methods, not relying on sophisticated surveying instruments, such as offsets measurable will
the use of a standard tape. Where possible and appropriate drawings should be produced
using a background of ortho photos to provide for easily identification of surrounding
features.
5.
Except in special circumstances, drawings should be produced in a form that is easily readable
in A3 format.
6.
Where the haul distance is greater than 150m, and less than 5000m the use of small volume
local transport, particularly using animal drawn vehicles should be considered.
7.
Excavation in material which may constitute a safety hazard for works must be excluded.
8.
All pre-manufactured materials which are incorporated into the Works must be sized such
that the mass of individual elements does not exceed 320kg.
9.
Hazardous material such as lime or harmful chemical stabilizing agents must not be included
in the Works.
10.
Stone masonry and grouted stone pitching should be included wherever suitable material is
available to the exclusion of precast or cast in situ concrete stormwater structures.
11.
Where compaction of road layer works is required, it must be carried out using conventional
compaction equipment (mechanised pedestrian rollers where possible). Compaction of small
areas and in trenches may be carried out using hand stampers.
12.
Construction compaction monitoring should be carried out using a DCP with controls being
done either by nuclear or sand displacement methods. Compaction of trenches is to be
tested with a DCP using a method of comparative testing of adjoining undisturbed soil as the
control.
13.
Consideration must be given to alternative design of gravity pipelines to reduce depth of
excavation.
14.
Where there is an indication of local skills, e.g. bricklaying structures should be designed to
make use of such skills.
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Department of Transport & Public Works, Provincial Government, Western Cape
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6.
Practice Note:
The following types of construction could be subject to labour intensive construction methods:
Category
Roadworks
Subcategory
Layer work construction (loading, hauling & spreading)
Road markings
Cast in-situ block pavements
Segmented block paved roads
Application of bitumen bound surface treatment (cold) including spreading and dragging
of chips.
Macadam base course either dry, water bound or emulsion bound; foamed bitumen
gravel; emulsion treated gravel; or slurry bound or composite macadams .
Fencing
Road signs
Grass maintenance
Road reserve
maintenance
Rubble masonry
bridges & culverts
Stormwater
Gabions & reno mattresses
Small diameter pre-cast elements
Sewers
Sewer manholes (less than 320 kg)
Sewer manhole covers and lids using specially designed pre-cast units.
Maturation or faculative ponds with least dimension not exceeding 100m.
Water
Haulage
Laying of water pipelines, fittings and house connections in all materials (including steel)
where the mass of individual pipe lengths does not exceed 320kg.
Excavation for membrane lined and floating roof reservoirs.
Construction of small masonry reservoirs.
Spring and well protection measures
By hand using wheelbarrows where distance <150 m. Where > 150 m consideration to be
given to use of small local transport (tractors, carts etc)
Electricity
Excavation of trenches for reticulation of all voltages.
Excavation for and erection of poles for overhead lines.
Installation of all electricity cables (joints and terminations by qualified persons).
Housing
Manufacture of masonry elements on site.
Excavation of all foundation trenches by hand.
Manufacture of roof trusses on site.
Adoption of the BESA System
In the BESA system walls are constructed using bitumen emulsion stabilised adobe blocks
and mortar. External and internal wall surfaces can be finished in a variety of ways using a
mortar mix or a cement/sand plaster.
The BESA Building System is the subject of an open certificate issued by Agrèment South
Africa. The concept of an open certificate is that the technology is not the intellectual
property of any company or individual and the information is available to anyone who wishes
to use it. Any competent person, company or institution who wishes to use this system and is
capable of carrying out this work in accordance with the terms and conditions of certification
and undertakes to do so, may apply to Agrément South Africa to be registered as a holder of
this open certificate.
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Appendix 17: Broad Based Black Economic Empowerment & the EmpIA
The purpose of this section is to explain how BBBEE impacts on the empowerment process. By way of
introduction, government procurement as set out in the Preferential Procurement Policy Framework Act and
its Regulations provided the initial drive for BBBEE. Apart from other factors such as Black ownership and
management and training amongst others, a key differentiator when allocating contracts was the extent to
which the prospective entity procured goods and services from other Black empowered providers and
suppliers. The BBBEE framework formalised this in that it provided for the certification of businesses and
entities as being BBBEE compliant. The extent of compliance is measured by level – the level indicating the
degree to which an entity can recognise its expenditure on a provider as being expenditure on black providers
or businesses. Levels are indicated as follows:
Table 5: BBBEE Levels
BBBEE Level
Explanation
Expenditure recognition
Level 1
≥ 100 points
135 % recognition of expenditure
Level 2
≥ 85 but < 100 points
125 % recognition of expenditure
Level 3
≥75 but < 85 points
110% recognition of expenditure
Level 4
≥65 but < 75 points
100% recognition of expenditure
Level 5
≥55 but less than 65 points
80% recognition of expenditure
Level 6
≥45 but less than 55 points
60% recognition of expenditure
Level 7
≥40 but less than 45 points
50% recognition of expenditure
Level 8
≥30 but less than 40 points
10% recognition of expenditure
Non-compliant
<30 points
0% recognition of expenditure
In general, businesses will want to transact with other businesses that have a good BBBEE rating; as
this will benefit that business’s own BBBEE score. The score is calculated by measuring the extent to
which the business complies with BBBEE criteria. There are seven criteria as follows:
Table 6: BBBEE Measurement Categories
BBBEE criterion
Ownership
Management control
Employment Equity
Skills Development
Preferential Procurement
Enterprise Development
Socio-Economic
Development
Explanation
Measures the extent to which Black persons have a beneficial economic
interest in the business
Measures the extent to which Black persons exercise day to day control
over the operations of the business – particularly at an executive level.
Measures the extent to which the business employs Black persons and also
the extent to which there are Black middle managers in the business
Measures the extent to which the business has trained Black persons and
has complied with the requirements of the Skills Development framework
Measures the extent to which the business purchases goods and services
from Black empowered suppliers (as determined by procurement
recognition levels)
Measures the degree to which the business has participated in initiatives to
develop Black businesses (for example in a contract, the principal
contractor plays a role in enterprise development by agreeing to mentor
smaller contractors)
Measures the extent to which the business has participated in initiatives to
empower Black or largely Black communities to bring the community or
individuals into the mainstream of economic activity.
Not all businesses are required to comply with all of these aspects. Smaller businesses are incentivised to
participate in the BBBEE process by only having to comply with 4 aspects of their choosing and they are the
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categorisation of small businesses into small, medium and micro. The categorisations used by the BBBEE
framework are as follows:
Table 7: BBBEE Business Categories
Category of business
Exempt Micro Enterprise (EME)
Qualification
annual turnover less
than R2 million
o
o
o
o
Qualifying Small Enterprise
Generic Enterprise
annual turnover
between R5 to R35
million
annual turnover of R35
million or more
o
o
o
o
o
Explanation
Applies to all businesses;
regardless of race of owner/s;
Achieves automatic rating of
Level 4
Where more than 50% Blackowned receives a Level 3.
Certificate from auditor or
verification certificate is
required
Can choose any 4 aspects
Score is out of 100 points (25
per category)
Verification certificate required
Measured in terms of all 7
categories
Verification certificate required
The new Procurement Regulations and the EmpIA
An awareness of the BBBEE framework is crucial in relation to the EmpIA. Essentially, contractors
and service providers will be assessed (to some extent) on the basis of their certification level. The
allocation of tender points was previously done in line with the 80/20 or 90/10 principle depending on
the value of the contract. The 10 or 20 points allocation is where the impact of the certificate will be
felt. Where the business applying for the tender has a Level 1 certificate it will score the full 10 or 20
points. Where it has a Level 2 certificate it will receive 18 or 9 points. The categorisation is as follows:
Table 8: Procurement and BBBEE
BBBEE Level
1
2
3
4
5
6
7
8
Non-compliant
Points: 80/20
20
18
16
12
8
6
4
2
0
Points: 90/10
10
9
8
5
4
3
2
1
0
The 80/20 system will apply where the applicable contract has a value of between R30 000 to r1
million. The 90/10 system applies where the contract value exceeds R1 million.
Consequently, contractors will have to ensure that valid BBBEE certificates are submitted with their
tender applications. The extent to which contractors engage with empowerment initiatives will not
directly affect the EmpIA process initially – where contractors and providers have however
undertaken initiatives in line with the empowerment categories and where they have measured and
verified as being compliant they will benefit.
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Department of Transport & Public Works, Provincial Government, Western Cape
69