Independent Evaluation Hanna Hassif Community Based ...intleval.cipa.cornell.edu/Sessions/UNDP Project... · Executive Summary Executive Summary 1 It is estimated that 70% of Dar-es-Salaam’s

Independent Evaluation

Hanna Hassif Community Based Settlement Upgrading Phase II

Kinondoni District, Dar-es-Salaam, Tanzania.

May, 2005

Prepared by I.T. Transport Ltd.

National Income Generation Programme

University College of Lands and Architectural Studies

International Labour Organisation

Acknowledgements

Acknowledgment The evaluation team from I.T. Transport Ltd. would like to express its sincere gratitude to the residents of Hanna Hassif, members of the CDA, UCLAS, DCC and other individuals met during the course of this evaluation. Without your collaboration and patience this evaluation would not have been possible. The team would also like to thank the ILO for giving them the opportunity to undertake this evaluation. This project has been carried out with financial support from: UNDP/NIGP and Ford Foundation, with technical support from UCLAS, ILO and Dar-es-Salaam City Council. The evaluation has been carried out on behalf of the ILO. Evaluation Team Leader: Marcus Wattam Evaluation Team Member: Hilda Kiwasila Disclaimer This report reflects only the views and opinions of the Evaluation Team which do not necessarily correspond with those of the Government of the United Republic of Tanzania, UNDP, NIGP, UCLAS or the ILO.

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Contents

Contents Acknowledgment...........................................................................................................i Abbreviations .............................................................................................................. iii Executive Summary .................................................................................................... iv 1. Introduction ......................................................................................................... 1 2 Project Context and History ................................................................................ 2 3 Project Concept and Design ............................................................................... 3

Concept ................................................................................................................... 3 Technical design...................................................................................................... 4

4 Project Implementation ....................................................................................... 6 Institutional arrangements ....................................................................................... 6 Training, mobilisation and animation ....................................................................... 9 Construction .......................................................................................................... 11 Credit Scheme....................................................................................................... 14

5 Achieving Objectives and Outputs .................................................................... 15 Objective 1 – The capacity of Hanna Hassif community is increased in: a) implementation and management of urban infrastructure; and, b) micro-enterprise development and solid waste management initiatives. ......................................... 15 Objective 2 – The capacity of Dar-es-Salaam City Commission, private sector and other relevant actors to deal in an enabling manner with Community Based Urban Settlement Upgrading expanded. .......................................................................... 18 Objective 3 – Community based employment intensive construction of storm water drainage, roads, water supply, low cost sanitation systems, successfully, completed, managed and maintained ................................................................... 20

6 Achieving Development Objectives................................................................... 23 Impact of employment generation ......................................................................... 23 Impact on living conditions .................................................................................... 24

7 Conclusions and Recommendations................................................................. 26 Conclusions........................................................................................................... 26 Recommendations and lessons learned ............................................................... 27 Future assistance to Hanna Hassif community ..................................................... 27

Annex 1 – Terms of Reference ................................................................................. A1 Annex 2 – Itinerary .................................................................................................... A6 Annex 3 – People Met............................................................................................... A7 Annex 4 – Bibliography ............................................................................................. A8 Annex 5 – Main Project Events ............................................................................... A10 Annex 6 - Training Carried Out Under Phase II ...................................................... A11 Annex 7 - Hanna Nassif Trainees - Skilled and Semi-Skilled Current Employment Situation .................................................................................................................. A15 Annex 8 - Options and Recommendations For Replication of Urban Labour-Based Works in Low Income Areas ................................................................................... A16

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Abbreviations

Abbreviations CBO Community Based Organisation CDA Community Development Association CDC Community Development Committee COWI (Tz) Ltd. COWI (Tanzania) Ltd: Consulting Engineers and Planners DANIDA Danish International Development Agency DAWASA Dar-es-Salaam Water and Sewerage Authority DFID Department for International Development DCC Dar-es-Salaam City Commission ILO International Labour Organisation ILO/ASIST Advisory Support Information Services and Training – International

Labour Organisation KMC Kinondoni Municipal Council MRALG Ministry of Regional Administration and Local Government NIGP National Income Generation Programme TOR Terms of Reference TSh Tanzanian Shilling TST Technical Support Team UCLAS University College of Lands and Architectural Studies UNDP United Nations Development Programme WEO Ward Executive Officer (DCC) SCP Sustainable Cities Programme UNV United National Volunteers Rate of Exchange 1US$ = 800 TSh.

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Executive Summary

Executive Summary 1 It is estimated that 70% of Dar-es-Salaam’s three million population live in

unplanned settlements. Many of these settlements do not have adequate basic services such as water supply, sewage system, healthcare provision, schools or solid waste collection. Hanna Nassif is one of these unplanned settlements that suffered from a lack of basic services as well as being at risk from frequent flooding.

2 Following a request from the local community the International Labour Organisation (ILO) initiated the Hanna Hassif Community Based Upgrading Project in 1993 and continued with Phase II, which started in March 1997 and (funding) finished in September 2000. The project took an innovative approach in both its institutional set up and the use of labour-based community contracting and community management in an urban environment. This Independent Evaluation was commissioned by the ILO, to evaluate the project and learn from its successes and failures.

3 It is considered that the overall concept was well conceived and has met the needs of the local population. Overall the concept was that local infrastructure should be built by building local capacity, specific elements were:

• Community participation through the Community Development Association (CDA) and wider involvement of residents in all levels of the project from planning to evaluation.

• Clever design of infrastructure to fit within the existing environment.

• The use of construction modes and techniques to maximise the benefit to the local community such as labour based methods and community contracts.

4 The project was implemented by UCLAS who provided an eight strong Technical Support Team (TST). The ILO took an advisory role for design and labour-based community contracting. COWI (Tz) Ltd. undertook the technical design. Overall fund management was by the National Income Generating Programme (NIGP) and funding was by the United Nations Development Programme (UNDP) and the Ford Foundation.

5 The budget and expenditure for the programme is given in the following table, all figures given are in TSh.

Item Budget Expenditure BalanceProject personnel and capacity building 381,495,741 334,716,677 46,779,064 Construction work 307,284,838 174,064,455 133,220,383 Others 55,039,000 38,429,837 16,609,163 Total 743,819,579 547,210,969 196,608,610

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Executive Summary

6 A summary of the achievements of the project is given below against the objectives set at the beginning of the project.

Development Objective Progress To contribute to the improvement of the living conditions and access to urban services and expanding employment opportunities for the residents in unplanned settlements

Achieved Living conditions have been improved through an improved environment, with less flooding, decreased levels of diseases, greater access to social and economic services and increased opportunities to generate income.

Immediate Objectives The capacity of Hanna Nassif community is increased in

Implementation and management of urban infrastructure

Micro-enterprise development and solid waste management initiatives.

Achieved The capacity of the CDA has been physically and financially increased to undertake the specified activities. The capacity of the wider ‘community’ has not been greatly increased, but they are aware of the CDA and what assistance they can provide.

The capacity of the Dar-es-Salaam City Commission (DCC), private sector and other relevant actors to deal in an enabling manner with community-based urban settlement upgrading expanded.

Partially achieved On a higher policy, strategy and management level within the government capacity has been increased. However, within current implementing staff it has not. Limited capacity has been built in the private sector.

Community-based employment intensive construction of storm water drainage, roads, water supply, and low cost sanitation systems successfully completed, managed and maintained.

Partially achieved The majority of the physical infrastructure planned for has been constructed using labour based methods and is functional. There is no maintenance schedule for common infrastructure such as roads and drains, however, there are some income generating and unplanned emergency maintenance activities.

7 Within the project there were a number of lessons to be learned the most significant of these are given below:

• It is important to focus on institutional building as well as infrastructure, to ensure ownership and sustainability.

• It is import to start devolving responsibility to community organisations as soon as possible.

• The use of a credit scheme to enable some financial stability is an essential element of building local institutions, however, the institution needs to have a certain level of financial management before this can begin.

• Institutional building should be a combination of training and mentoring of individuals and organisations and should be seen as a process of learning by doing.

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Executive Summary

• Similar urban community projects should work within existing local administrative structures as much as possible (or in very close collaboration), with the administration buying in specialist services.

• Mobilisation in large urban communities should be targeted and strategic, using a range of tools to utilise the different modes of communication within a mixed community.

• In large urban communities the collection of funds for works should be through existing structures used for tax collection.

• In unplanned urban environment the promotion and use of labour-based methods and community contracts ensures positive effects and impacts for the local community.

• The use of a credit scheme to stimulate local business, raise awareness of other project activities and work toward CBO financial sustainability should be promoted in other projects.

8 Within Dar-es-Salaam some of these lesson are being taken forward by the Sustainable Cites Programme as well as UCLAS through its consultancy and teaching work. On a global level it is felt that organisations such as ILO-ASIST and HABITAT should collate, disseminate, advise and promote best practise from this and other urban settlement projects.

9 Finally the Evaluation Team was asked to comment on future assistance to the residents of Hanna Nassif. Some assistance is required to raise funds for a solid waste collection system. However, at present it is felt that the CDA need to be given the freedom to use their capacity without the amount of external assistance they have received in the past.

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1. Introduction

1. Introduction 1 The Hanna Hassif Community Based Upgrading Project Phase II started in

March 1997 and (funding) finished in September 2000. The project took an innovative approach in both its institutional set up and the use of labour based and appropriate construction techniques in an urban environment. To evaluate the project and learn from its successes and failures an Independent Evaluation was commissioned by the International Labour Organisation (ILO). There have already been a number of monitoring and evaluation activities that have been conducted by those executing, supporting and advising the project. To have an unbiased evaluation the ILO contracted I.T. Transport Ltd., who have had no involvement with the project, to carry out this Independent Evaluation. The evaluation followed the Terms of Reference (ToR) (given in Annex 1) the main aims being to establish:

1. The relevance of the project objectives for urban upgrading in the Hanna Hassif unplanned settlement. 2. The extent to which the project objectives have been achieved and to which they contribute to the wider development objective of improving living and working conditions and employment opportunities for the urban poor in Hanna Hassif. 3. To extract best practices and make recommendations for possible application in similar urban environments.

2 The aims cover technical, social and economic aspects of the project. Much work has been done on the technical aspects of the project and the evaluation team have only re-affirmed or amended views previously expressed. The evaluation concentrated on the wider social and economic issues specifically an evaluation of the roles and performance of the various project actors, the sustainability and capacity of project built institutions and the impact of project activities on the residents of Hanna Hassif.

3 The two person team worked over two weeks with all project stakeholders (itinerary in Annex 2 and list of people met in Annex 3), or their key representatives using a participatory approach relying heavily on individual and group semi-structured interviews. The project has been well documented (Bibliography in Annex 4) providing the team with a wealth of printed information to check and clarify information gathered during interviews.

4 The report is based on the United Nations Development Programmes (UNDP) ‘In-Depth Evaluation’ format. The document is split into seven chapters including this introduction. The report flows logically from an evaluation of the: initial concept; implementation; and, finally to achieved results. The Evaluation Team have taken the logical framework of the project as a frame for evaluation of the results. However there are some issues requested in the ToR that are beyond the framework and are considered separately. The following report is the final version.

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2. Project Context and History

2 Project Context and History 1 It is estimated that 70% of Dar-es-Salaam’s three million population live in

unplanned settlements. Many of these settlements do not have adequate basic services such as water supply, sewage systems, healthcare provision, schools or solid waste collection. Hanna Nassif is one of these unplanned settlements in the Municipality of Kinondoni. Some 20,0001 people (or 5,045 households) live in an area that is highly prone to flooding due to its location on the edge of a valley.

2 During the late eighties and early nineties representatives of the community through the Ward Executive Officer (WEO) tried, without success, to attract government funds for upgrading the settlement to improve drainage in the area. The Dar-es-Salaam City Council (DCC) then requested the ILO to assist. In the early nineties the ILO connected with Hanna Hassif Community and a pilot project was conceived. Links were then made with the Sustainable Dar-es-Salaam Programme, United Nations’ Volunteers (UNV) and United Nations Centre for Human Settlements (UNCHS – HABITAT).

3 During the next three years (1993-1996) the first phase of the project upgraded storm water drainage and access roads, working within the existing infrastructure using labour based methods and community contracts. A community based organisation was formed called the Community Development Committee2 (CDC)and played a significant role in the implementation of the project. The UNDP, Ford Foundation, ILO and UNHCS, United Nations Volunteers were the main supporters of the first phase.

4 The ILO provided a draft project document for the Second Phase. The National Income Generating Programme3 (NIGP) short listed and tendered for the implementation of the project. The University College of Lands and Architectural Studies (UCLAS) won and subsequently revised and finalised the project document and entered into contract with NIGP.

5 Phase II was funded by Ford Foundation and UNDP, managed and executed by the Technical Support Team (TST) fielded by UCLAS under the management supervision of NIGP with associate technical support by ILO. The approach taken was similar to Phase I, but with a greater emphasis on capacity building. The scope of works included solid waste management, drinking water supply and a credit scheme. Again the majority of works were conducted by labour-based methods with community contracts.

1 All figures given on this page taken from Baseline Study of Hanna Hassif, UCLAS, 1998 2 After the local political problems the CDC was renamed to be the Community Development Association (CDA).

2 3 NIGP was set up as a basket for donors to place funds.

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3. Project Concept and Design

3 Project Concept and Design 1 The following chapter covers the initial conceptualisation of the programme

and evaluates the effectiveness and relevance of the concept in the context of the Hanna Hassif Community and Tanzanian Government Policy.

Concept 2 The basic concept of Phase II was that local infrastructure should be built by

developing local capacity. This flowed from the strengths and weaknesses highlighted in Phase I, and the local need to complete and extend the drainage system as well as improve other types of infrastructure such as roads. Specific concepts were:

• Community participation through the CDA and wider involvement of residents in all levels of the project from planning to evaluation.

• Clever design of infrastructure improvements to fit within the existing infrastructure.

• The use of construction modes and techniques to maximise the benefit to the local community such as labour based methods and community contracts.

3 To enhance sustainability, financial and labour contributions were expected from the community. NIGP were responsible for the development of the project with inputs from the project stakeholders. The concept was, and still is, in line with Government Strategy, specifically the Strategic Urban Development Plan developed by the now Ministry of Regional Administration and Local Government. The use of labour based methods is not part of Government policy, however, their use in a restricted building environment and an area of high unemployment is very relevant and well conceived. The concepts were in line with the needs of the local residents at the time.

4 It is felt that the concepts were relevant and the project document conveys these concepts logically and simply. The formulation of these concepts into a project document was done in a consultative rather than participatory way. For example the CDC members were aware that phase II was being prepared and were involved in a needs analysis, but they were shown the document after it had been formulated. The concepts and document may have benefited from a more participatory process that may have represented the thoughts of the community more realistically. There is no specific mention of sustainability until the outputs level of the framework (See Chapter 5 for a list of outputs). Although perhaps implicit, considering the project was going into a second phase it is felt that sustainability could have been mentioned in the immediate objectives.

5 The institutional arrangements for the project were well outlined in the following key agreements:

• UNDP with NIGP to undertake the financial and physical (limited to approval) management of the project.

• NIGP with UCLAS to undertake the implementation of the project.

• UNDP with ILO to act as associates in advising the project in appraisal and technical support of implementation.



6 There were other agreements that covered technical design and supervision support between UCLAS and COWI (Tz) Ltd. Although the DCC were considered a key stakeholder there was no formal agreement made with them. This was due to uncertainties at the time in the DCC, but it is still considered a weakness in the formulation, even though they did play a significant role.

Lessons learned Conceptualisation and programme document design would benefit from a more participatory approach actually involving community members rather than just expressing their needs. The conceptualisation benefited from the involvement of institutions such as ILO-ASIST, who brought global experience on labour-based community contracting. The local municipal council should be fully involved in conceptualisation and be an integral part of the institutional set up.

Technical design 7 Initial design sketches were done by ILO and the detailed design was

undertaken by COWI (Tz)Ltd4 contracted through UCLAS. The process started in late 1997 and finished in March 1998. The process was a participatory one with a number of initial site surveys with CDA and TST (specifically the Site Engineer) members present. This was followed by ‘walk throughs’, design meetings and technical drawing presentations to visualise and discuss the intended infrastructure. The CDA members present at these meetings felt comfortable with the use of technical drawings and understood the language being used. This can be attributed to the training they received in Phase I and partially in Phase II, coupled with the approach taken by the designers.

8 During the initial design (despite the number of meetings) the actual priorities of the CDA were not sufficiently expressed as the designers took roads to be a priority over drainage. The need to accommodate labour-based techniques was also not considered in the initial designs and the ILO made changes accordingly. Finally, mistakes were made in the drainage design with some draining in the wrong direction. COWI (Tz) Ltd. feel that they could have improved their performance by being involved in the actual setting of priorities in the initial stages of the project. However, their lack of experience in designing this type of infrastructure also contributed to problems and delays.

9 The final design was sound and suitable for labour-based techniques. During the course of construction there were obviously some changes made on site. These on site changes would be raised by TST and CDA, for no objection by COWI (Tz) Ltd.

4

4 COWI (Tz) Ltd. worked in partnership with a local consultancy firm Serviceplan. COWI (Tz) Ltd was mostly responsible for the design of the drainage and road works while Serviceplan designed and supervised the drinking water system.



Lessons learned. The coupling of UCLAS and COWI (Tz) Ltd. at an earlier stage (perhaps at bidding) could have produced a better working relationship, as well as a better understanding of the project. Although, this might have proved more expensive. This partnership or association is normal practise in other projects and it would have been appropriate in this situation.

The participation of communities in technical design is not impossible and is made more accurate by their involvement.

A clear brief of the design and implementation requirements should be given to ensure labour-based methods are considered.


4. Project Implementation

4 Project Implementation 1 The following chapter covers the main elements of the project, including

institutional arrangements, training, mobilisation, animation, construction and the credit scheme. A bar chart showing main project activities is given in Annex 5.

Institutional arrangements 2 The institutional set up was implemented as conceived. The following figure

shows the arrangement.

UNDPDonor

FordFoundation

Donor

NIGPProject

Managers

UCLASImplementors

ILOAssociates

COWI (Tz) Ltd.Sub-consultant

CDAExecutors

Residents of Hanna HassifBeneficiaries

WardExecutive

Office

Dar-es-SalaamCity Council

Figure 1. Organigram

3 The lines shown are for information flows. Fund flow from UNDP was through the central line, for the Ford Foundation (who financed the credit scheme) money would flow direct to the CDA bank account for the credit scheme, money for initial overhead cost was through NIGP. The ILO received funds direct from UNDP for their services in the project. UCLAS paid COWI (Tz) Ltd. direct for their services. For private contractors NIGP contracted them direct and so money flowed from NIGP to the contractors direct.

4 For advise and direction setting a steering committee met every quarter. The committee was chaired by the DCC and included representatives of all the stakeholders plus a Dar-es-Salaam Water and Sewage Authority (DAWASA) representative. The committee was active and had a great influence on project activities.

5 The TST included: a Project leader; a Team manager; Project Consultant; Project and Field Engineers; two field animators and an accountant. Although a large team the project leader and consultants were not full time and continued to undertake some of their teaching responsibilities at UCLAS. The Project Engineer undertook the majority of the responsibility for liasing with the



design consultants, contract preparation, etc. and the Field Engineer was responsible for overseeing the actual construction.

6 During the first year ILO provided support to the TST to ensure a smooth transition from Phase I to Phase II. This focused on training the TST in labour-based methods and community contracting. During the entire project duration ILO monitoring missions were conducted with an emphasis on the infrastructure improvements (design, quality and cost effectiveness of works, employment and training). Specific support was given to the base line study, developing the community contracting and private contract documents and procedures, contract monitoring and ensuring the quality of the labour-based works. Under the ILO agreement specific training was provided to the TST engineer (to Kisi Training Centre, 1998), to the trainee engineer (in the international urban planning and engineers course in Dar-es-Salaam, 1999), for the community site supervisors, for private contractors and for the water kiosk operators (through Kenyan Water Institute, Sept 2000).

7 The CDA is comprised of a number of sub-committees as shown in the following figures. The set-up appears to work well and within the constitution of the CDA. No elections have been made to date.

ExecutiveCommittee

FinancialCommittee

ConstructionCommittee

Water andMobilisationCommittee

HealthCommittee

Credit SchemeCommittee

Board ofTrustees.

Figure 2. CDA organigram.

8 The many institutions in the project led to some overlap of duties and responsibilities. This was partly due to the high ownership of the project by Phase I implementers, limited experience of UCLAS in the implementation of works during the first year, as well as a lack of clear contact people and deputies.

9 Specific points raised on the performance of the various actors are given below.



Institution Comment on performance UNDP Wanted to be more involved in the project.

Made budget cuts mid-project that effected physical achievement. Ford Foundation Donor

Involved with the project and proactively met with CDA members.

NIGP Initially biased toward physical progress. Initially biased toward private contracting. Many other priorities that are perceived to have affected disbursement of funds. Slow to disseminate information. Sound technical advice, especially on project management such as tendering. Ability to learn from mistakes.

UCLAS Not fully competent in project management initially. Large team having teaching responsibilities so perceived to be part time and over bearing with so many people. Slow at disseminating information. ‘Not just in it for the money’ – gave more time than budgeted. Cutting edge theoretical knowledge. Experience in relevant training. Continuity of staff between phases. Ability to learn from mistakes, especially in team working. Able and willing to disseminate information to a wider audience. Took innovative approaches.

ILO (ILO-ASIST) Strong involvement in Phase I so found it difficult to let go in Phase II. Sound technical advice on labour-based community contracting. Worldwide experience and network enabling urban best practise to be brought into the project.

COWI (Tz) Ltd. Mistakes made in initial designs. Not flexible in timing. Wanted to be involved earlier in project.

DCC No cash contribution to project. Staff not geared toward working in unplanned settlements. Unsure of power sharing with new Community Based Organisations (CBO). Transfer of staff took experience out of Municipality. Representation from Ward level to DCC level. Ability and remit to intervene in disputes. Able to take experience and use it in other projects. Authority to create by-laws.

Table 1. Institutional roles with comments.

10 In essence the institutional framework is considered to have worked. However, it could have been simplified with fewer levels of management. Too many levels are perceived to have slowed down the project.

11 Although, there are good reasons for the DCC to not have been directly involved in the management of the project at the time, it is felt that this omission has been a dis-benefit to the continuation of the project ideology in a wider context. Comments from council employees that the work done was sub standard do not bode well for appropriate engineering design and the use of labour based methods and community contracting in the future.



Lessons learned. Project management should be kept simple. With the move to more decentralisation there is a strong argument for the local municipality (in this case Kinondoni Municipal Council (KMC)) to be the implementers of the project buying in the specialist advice and support from the likes of UCLAS and the ILO-ASIST.

Training, mobilisation and animation

CDA members 12 Training, animation and mobilisation used significant amounts of resources in

the project (approx. 60% of the total project budget5). The majority of the actual training was concentrated on the construction and maintenance of infrastructure as shown in Table 2. The table shows training person-days and does not differentiate between people who may have been trained over a number of days.

Male Female Tota lsInstitutiona l building 197 158 355 Construction/technica l skill 1,827 903 2,730 Credit 12 58 70 Tota ls 2,036 1,119 3,155

Table 2 . Training days given under the project.

13 Reputable training institutes such as the Kisii Training Centre and KEWI in Kenya, conducted the training for labour-based construction activities and water kiosk. The training started late in the project and after some of the infrastructure had been built. The majority of the construction courses covered management, design, construction and maintenance issues, giving a good rounded view. There was some follow-up on training activities by the TST and much of the training was reinforced by practical experience. None of the manuals used in training have been produced in Swahili and for a semi (Swahili) literate CDA this has excluded them from following up on what they have learned, or studying further.

14 There were considerably less female training days than male training-days in construction techniques. This is reflected in the number of skilled and semi skilled workers trained under the project – four women and 12 men. This is attributed to the reproductive activities and cultural constraints that limit the time and acceptance of women working in construction activities. However, the project has gone some way to changing these attitudes as can be seen from Box 1.

People don’t laugh at me anymore when I do my masonry work. Melenia Paulo – Female Mason

Box1. Female mason.

9

5 This is considering the expenditure by the project, UCLAS contribution and the ILO assistance.



15 Although the training in institutional issues was a smaller element of project training there was a great deal of mentoring and awareness raising done as part of the day-to-day activities of the project. For example, by reviewing meetings in-terms of each person’s performance.

16 There were also a number of other seminars and workshops that covered broad issues such as community awareness and institutional roles that are considered as part of the mobilisation and animation of the project. A full list of these and other training activities is given in Annex 6.

17 Through the above, the community and specifically the CDA and its members have acquired a range of useful skills. Annex 7 shows how trained construction workers are now getting jobs outside of the project and indeed outside of Hanna Hassif. A small group of skilled workers (male and female) reported that they were now working as a small gang on projects in Dar-es-Salaam and other places such as Morrogoro and Arusha (admittedly for relatives, but it is still employment).

18 In terms of institutional skills the CDA is a strong and reasonably independent body in the community. However, little has been done to hand over or allow the CDA to conduct many of its operations by itself. A small example is that the TST still oversees the procurement of materials for the community contracts.

Other residents 19 Mobilisation and animation activities were focused on all the residents of

Hanna Hassif. Although, there is no fixed record of the days spent in these activities, it can be considered a significant amount, as there were four project staff focused on animation activities as well as members of the CDA.

20 The main aims of this work were varied through the project cycle but can be categorised into three areas:

• Animation/awareness raising on general project activities such as the construction phases, credit scheme, etc.

• Mobilisation of people for labour or cash contributions.

• Campaigning on certain issues such as cleanliness of drains.

21 Awareness was raised with assembly type meetings, traditional dances and through training given during initiation to the credit scheme. During the end of the project a more structured approach was taken with Hanna Hassif being divided into 12 zones, each with a small sub-committee. This structure does not run along any local administrative system.

22 Mobilisation was done in a similar way and often concurrent to awareness raising. Other tools used to mobilise labour were posters and the use of a megaphone, particularly to advertise upcoming community contracts offering paid labour. Campaigning work used a combination of the above methods coupled with direct negotiations with residents, who for example, have constructed outflows for domestic sullage and effluent into the open drains.



Lessons learned. The approach of mentoring for institutional building worked well and should be used in other similar projects.

Training should be done as soon as possible in a community-managed project and take priority over building infrastructure. This will enable effective and actual community management.

Construction

Packaging and tendering for private contracts 23 Works were initially packaged into major and minor sections, but it soon

became apparent that this would lead to alternating works on the same stretches of road or drain. Therefore, repackaging was done in more logical sections. The reason for minor and major works was a lack of confidence in the ability of community contractors. Five packages were intended for private contractors the rest being for community contracts. In reality some of the private packages were merged and changed to have only two private contracts. This was strongly supported by the CDA who wanted to have more community contracts.

24 Only the private contracts were tendered. The selection of contractors was done by UCLAS and seven contractors were asked to submit bids. The tendering process was as follows:

ACTIVITY RESPONSIBILITY Notify contractors of pre-qualification UCLAS

Tender submission UCLAS Site Inspection/Workshop UCLAS/COWI (T) Ltd

Return of tender documents (to UCLAS) Contractors

Tender opening UCLAS/COWI (T) Ltd Tender evaluation COWI (T) Ltd Formal recommendations (to UCLAS)

COWI (T) Ltd

Negotiations UCLAS/COWI (T) Ltd Review by NIGP NIGP Award UCLAS/NIGP Contractor on site Contractor

Table 3. Activities and responsibilities for the tender process. Source: Study on the implementation of community managed and labour based works using community and private contracts, Clifton and van Esch,2000. 25 It should be noted that the CDA did have some involvement with the

procedure, however, it is considered minimal in terms of actual decision making.

26 Two contactors were chosen for the contracts and used local labour and labour based techniques for their works.



Community contracting 27 The majority of the works were done by community contracts (two private and

21 community contracts). The community contracts were initially a force account system with trained CDA members and local (revolving) labour being used to undertake works. The key difference between community contracts and force account is that there were contracts between the CDA, TST and the community contractors. The CDA construction committee with supervision from the TST would estimate the works and then request an advance from UCLAS. The contracts with the community contractor covered the works to be completed and contribution for the community. Over the course of the project this system was to become a normal contracting system with community contractors bidding for works.

28 This change did not fully take place. Although the CDA is competent in estimating costs, preparing and supervising contracts the near force account system remains. The ILO suggested shadow contracting and it has taken place for labour, but not with the procurement of materials. Procurement of materials is still done by the CDA with assistance from the TST. There is no plan to move over to a full contracting system.

Work plans and day to day management, 29 Little detailed annual work planning related to construction6 was done before

April 1999, the majority of works being done on an adhoc basis. Following an ILO consultancy mission a detailed annual work plan was developed in April 1999. This planning was enabled by a more stable local political situation and in response to a need to show that the remaining works could be undertaken within the remaining time. As a result of the planning exercise the project was extended by six months to the end of September 2000. Budget cuts (for all UNDP operations) affected the project so that all programmed works could not be completed.

30 Day-to-day supervision was done by the Field Engineer (seconded from DCC but paid under ILO contract and later under UCLAS contract) and overseen by the Project Engineer of UCLAS. In theory supervision would be carried out by COWI (Tz) Ltd. team, but due to problems this was minimal on the community contracts. There has been conflict with the COWI (Tz) Ltd. team on the amount and quality of supervision actually delivered on site. According to COWI (Tz) Ltd. this is due to more time being spent in the office, however, no timesheets or reports are available to support this. There were some overlap of responsibilities for onsite engineers, however this was not sufficient to cover when one was absent.

12

6 It should be noted that work plans existed for the overall projects activities.



Use of community labour 31 Part of the development objective of the project was to generate local

employment opportunities. Through the use of labour-based techniques the project maximised the potential for employment generation. The wages paid to labourers were lower than the normal private level in Dar-es-Salaam, see Table 4., the difference being a contribution to the overall construction costs. No actual estimate of these costs has been made, but it is considered significant and in the region of 10 to 15 million TSh.

Level Rate TSh/day Hanna Hassif Dar-es-Salaam Skilled 1,600 2,500 to 4,000 Un-Skilled 1,200 1,500 to 2,000

Table 4. Wages rates for labourers at the end of the project. Source: Labours trained under project. 32 For many of the un-skilled workers the concept of community contribution was

not conveyed and many just saw it as a low rate.

Use of labour based techniques. 33 The choice of labour-based techniques was appropriate for an area of high

unemployment and restricted access for machinery. Although, no comprehensive analysis was possible it is felt that the use of labour based techniques, has been more cost effective than using plant machinery. The use of labour-based techniques coupled with appropriate design techniques meant minimal disruption to the neighbourhood environment during construction.

Maintenance 34 There have been some maintenance activities that were given as community

contracts. These were mainly emergency works rather than periodic or routine. There was a contract given to Kinondoni Moscow Womens Development Association (KIMWODA - a local NGO) by the DCC to remove solid waste and clean the drains, however, this has not been successful and is currently not in action. Other routine activities such as cleaning drains have not been scheduled, but the CDA has had a campaign to make people aware of their drains and the importance of cleaning them. To a limited extent this has worked and people interviewed were aware that they should clean their drains and not dump waste into them. However, with no alternative, especially for solid waste removal, people continue to dump waste into the drains or on the road.



35 There is no schedule for periodic maintenance works and no formalised inspection system for any of the infrastructure. Also, no estimates have been made on the approximate costs of maintenance by the CDA. It is noted that cost estimates have been made as part of the maintenance manual prepared by ILO. However, there is no budget or plan on how to carry these out within the CDA. Ten percent of each of the community contracts was kept to pay for future maintenance. This was to be kept by the TST for disbursement to the CDA when the project finished. Due to UNDP budget cuts this ten percent is no longer fully available (estimated 60 million TSh shortfall). Although, there has been much training done there is little practical maintenance culture above emergency or reactive measures.

Lessons learned. A number of technical recommendations and lessons learned were given in the Clifton and van Esch report, 2000, a summary of these is given in Annex 8. Other general recommendations are given below.

The use of labour based techniques in this type of situation should be promoted further.

The use of community contracting groups should also be promoted. However, a clear exit strategy should be set out and implemented to allow the contractor to become a contractor and not a force account work force.

Maintenance issues should be given more of a priority. There was a missed opportunity in this project where maintainable infrastructure had been built in Phase I.

Credit Scheme 36 The credit scheme in its current form started in early 1998. The Ford

Foundation provided a total of 43,000,000 TSh for a revolving fund, as well as money for overhead and staff costs. The scheme uses the Grameen model based on social and financial capital to secure its loans. The advertising of credit is well done and all residents interviewed were aware of the credit scheme. The CDA currently has ten units made up of between eight and nine groups (five people per group). The credit scheme is administered by the CDA with limited supervision from the TST.

37 A full analysis of the credit scheme was beyond the scope of the ToR, however, the scheme has a repayment rate of 95% and generates approximately 1 million TSh in interest each month. Even when considering inflation it is expected that this would provide an income for the CDA plus the availability of funds to expand the scheme.

Lessons learned. The credit scheme has enabled the CDA to have an income and is a effective way of ensuring stability and a future for the CDA.


5. Achieving Objectives and Outputs

5 Achieving Objectives and Outputs 1 The following chapter gives the overall budget and expenditure followed by a

relative assessment of the results of the project against the logical framework as presented in the Programme Document and the Quarterly Reports.

2 The budget and expenditure is as follows:

Item Budget Expenditure BalanceProject personnel and capacity building 381,495,741 334,716,677 46,779,064 Construction work 307,284,838 174,064,455 133,220,383 Others 55,039,000 38,429,837 16,609,163 Total 743,819,579 547,210,969 196,608,610

Table 1. Summary of all project budgets as of June 2000, All figures in TSh.. Source: Quarterly report 13, TST June,2000, ILO contract with UNDP, 1997.

3 A crude estimation of 20,000 residents in Hanna Hassif gives an expenditure

per person of 27,000 TSh or 135,000 TSh per household (assuming average five people per household), over three years or 45,000 TSh per year. To put this into context, in the baseline study of 1998 the majority of the households (62%7) earned between 31,000 and 90,000 TSh. per month, or between 372,000 and 1,080,000 million TSh per year. If there is a follow up socio-economic study and these yearly incomes have risen by 45,000 per year the project is cost effective. Incomes have reportedly risen, but the team hesitates to make any conclusion from its limited quantitative information base.

Objective 1 – The capacity of Hanna Hassif community is increased in: a) implementation and management of urban infrastructure; and, b) micro-enterprise development and solid waste management initiatives.

Community of Hanna Hassif aware of Project Achieved 4 In the areas where the project has built infrastructure there is awareness of the

CDA, but only in terms of what was done in their locality and not in terms of the CDA’s wider objectives. In areas where there were no works done there is often no awareness of the CDA. What has significantly raised the awareness of the community is the credit scheme. With new members being inducted on the scheme with a brief on the CDA, the credit scheme has been an effective tool for awareness raising.

5 Withstanding the above it is recognised that the CDA receives requests from the wider community that shows they believe the CDA to be agents for change within their community.

15

7 Source. Socio-economic baseline study of Hanna Hassif, UCLAS, 1998.



Legal and democratic community development association in place Achieved 6 The CDA are definitely in place in the community of Hanna Hassif and with

community conflicts they have fought for their right to remain there. Now a registered body, they have won the right to hold elections, but none have been conducted to date. It is considered that the CDA are democratic in that they represent the community, however, there is a great need for elections to ensure this.

Community’s project planning, implementation and management in place Partially achieved 7 The CDA has developed and retained skills in surveying, estimation of works,

construction, maintenance and mobilisation. They feel that they are weak in the areas of design and feel that mobilisation is difficult. They feel there should be a full time mobiliser from the CDA. It is understood that this started but the animator left and no follow up has been made.

8 The CDA also has skills in negotiating and were able to give a number of examples where they have been able to resolve differences for example between landowners and themselves for water kiosks. The approach used is one of rational and calm discussion that does not rely on who shouts the loudest. This was clearly shown in the CDA meetings held with the evaluation team, where members of the CDA would asks others’ opinions and request others to speak – rare in other community meetings. However, for much of the negotiation a member of the TST has been present and the performance of the CDA acting alone remains to be seen.

9 The CDA has the skills to plan for construction activities, but as they said mobilisation is a little more difficult. There is a lack of skills for long term planning for the organisation. It is felt that more could have been done in this area and the CDA could for example have been included in the planning of the proposed Phase III of the project.

10 To date the majority of the management has been conducted by the TST and there has been little handing over or consideration of what specific role the CDA should take. In an urban environment there is a need to earn money to survive, therefore the CDA cannot rely totally on voluntary contributions and will need fulltime management and paid people for them to sustain their current activities.

Sustainable local funding system in place Achieved 11 The original assumption was that the community would make contributions to

enable the sustainability of the CDA and the infrastructure it has constructed. The mobilisation of money from the community has not really materialised and only 800,000 TSh (approx) of the expected 10 million was raised from direct community contribution. Many attribute this to the fact that the infrastructure was built anyway, without this contribution, which obviously has ramifications for future contributions. Secondly, it is the opinion of the consultants that in the local political environment at the time of inception to collect that much was highly ambitious. This was realised in the project and a member of the CDA has been trained in fundraising skills. Current activities that raise money for the CDA are listed in the below table, along with expenditure for October 2000.



Item Income/TSh Outgoing/TShSecretarial service 26,340 Water kiosk share 51,245 Telephone 2,700 Interest from credit scheme 1,212,869 Electricity 30,000 Telephone 174,000 Water rates 23,265 Stationary 15,000 Staff 145,000 Total 1,293,154 387,265 Balance 905,889

Table 2. Monthly balance for the CDA. October '00 Notes: The interest from the credit scheme has not had any thing removed from it, for example scheme growth fund. The staff costs do not include credit scheme officers paid by the Ford Foundation or TST staff. However, it does include the 40,000 TSh monthly grant given for the chairman. 12 It can be seen that the CDA have a sizable balance at the end of the month,

which can be mainly attributed to the credit scheme. However, consideration must be given to how this is used and whether it should be used to expand the credit scheme, pay for the administering of the fund, pay for maintenance works, employ a manager, etc. Also, it should be noted that without the credit scheme the balance would be negative.

13 The outgoings of the CDA depends on the intended role of the CDA. At the moment they are perceived more as an organisation, which has a credit scheme and improves infrastructure, rather than the awareness raising and lobbying group that is set out in the constitution. Obviously a lobby group’s costs are far below those of a body who constructs infrastructure. Serious decisions need to made by the CDA committee to enable it to set out its role in the future. It is the evaluation teams feeling that this is being hampered by the hope that there will be donor money and the project will continue as at present, with support from the TST.

Capacity to guide information and co-ordination available Achieved 14 Within Hanna Hassif there is a capacity to give information and co-ordinate the

activities the project has undertaken. This was done and is shown through meetings and workshops with other CBOs. To the extent that the CDA is now training other community credit scheme officers.



Lessons learned. The methods used to grow and nurture the CDA have been effective and should be promoted. However, more emphasis should be given to delegating and then devolving financial and physical responsibilities.

A partnership between communities and other actors in urban infrastructure development should be promoted.

The blanket mode of mobilisation for the wider community did not effectively work. A more targeted strategy may have been more appropriate, as with the campaign for cleaning drains. Other tools such as local school or adult theatre could have been successful as well as generating more community spirit.

The mobilisation of money is always a difficult issue. With the decentralisation of revenue collection - at the street level with the street retaining half of revenue collected. It is felt that the CDA should not try to collect money, but work with the street, ward and KMC to guide the spending priorities.

The use of a credit scheme using the current model should be promoted in other CBOs as a way to generate income.

Objective 2 – The capacity of Dar-es-Salaam City Commission, private sector and other relevant actors to deal in an enabling manner with Community Based Urban Settlement Upgrading expanded.

Five DCC staff members and two private firms trained in community based infrastructure upgrading Achieved 15 As the quarterly reports states five members of the DCC have been or are

involved in the project – planner, surveyor, engineer and two street leaders. However, the involvement of the DCC staff was limited - unless they were paid by the project or actually taken from their office to the site. However, those DCC members involved with the project do have some commitment to the upgrading of unplanned settlements using community groups. However, this does not extend to the use of ‘non-standard’ infrastructure or labour-based techniques – none of the current upgrading of unplanned settlement projects in Tanzania are using either of these techniques.

16 The two private firms contracted have learned a great deal about labour-based techniques and working with communities. However, neither have used these experiences in subsequent jobs.

Training manual prepared Not achieved 17 There are a number of manuals that have been prepared and are available to

the CDA and its members. These are mainly for construction activities including maintenance. It is reported that a manual for office procedures and mobilisation is also being prepared. However, it is unlikely that this will come to fruition.

18 The main problem with the manuals is that they are in English and the majority are very text orientated. For a semi Swahili-literate group this presents some obvious constraints.



Activities to replicate positive experiences Achieved 19 The project has been well promoted inside and outside of Tanzania. The TST

has activity promoted the project and used the ideas in other areas of Dar-es-Salaam notably Tabata, Mbezi and Mburahati. This has been done through site visits as well as the CDA members training other CBO members – this has mainly been in credit facilities.

20 Others such as the ILO-ASIST and SCP have also promoted the project and used its experience in other African and global cities. The experiences of Hanna Hassif have contributed greatly to the SCP in Tanzania and Danida and the Department for International Development (DFID) along with HABITAT are supporting initiatives.

Conducive environment established Achieved 21 During the project the environment for the project activities was far from

conducive, with rival groups spreading rumours about the project and generally discrediting it. This led to a court case regarding the election of CDA executive committee members, which was resolved and allowed elections to be carried out.

22 During the period of unrest the CDA was suspended and the DCC stepped in and formed an arbitration committee that along with the court case resolved the differences and allowed the CDA to continue. This shows the commitment of the DCC to this project at the higher levels. As a follow on the DCC appointed a new WEO for Hanna Hassif to work more closely with the CDA and the project.

23 Through this process the environment for CDA activities is now relatively conducive. By-laws to cover some of the solid waste issue have been prepared and are awaiting approval. It is felt that with the change to a more decentralised system of three Municipal councils in Dar-es-Salaam issues like By-laws and others will be made easier as representation will be more direct.

Social and economic study conducted Achieved 24 A socio-economic study was carried out by UCLAS/ILO in early 1998 and

provided a wealth of information regarding the residents of Hanna Hassif. The DCC/KMC under the SCP have being carrying out a number of surveys using participatory techniques to assess the environmental characteristics and resources of urban wards. There has been little linking with the project and it is felt that more could be done on both sides to establish these links.

Capacity of contractors/NGOs increased Partially achieved 25 For contractors see comments made in first paragraph of Objective Two. The

team did not evaluate the capacity of NGOs in Dar-es-Salaam as the Government and CBOs conducted the majority of works.

26 Although possibly outside of the scope of this output, it is worthy to note that the capacity of graduates in these areas has been increased. Students of engineering at UCLAS and others of the University of Dar-es-Salaam are now taught in labour based techniques and community issues. ILO-ASIST has also developed and conducted training courses in urban planning and construction techniques based on experience from Hanna Hassif.



Lessons learned. The local municipality should be more involved in projects of this type. There is a tendency to write them off as simply not interested. It is recommended that proper identification of staff members coupled with training and other capacity building incentives would generate awareness and mobilise staff. Secondly, seconded staff should be given a job description that they should be able to fill.

Manuals should be prepared to accompany the training, be in the local language and be made readily available.

Promotional activities to disseminate the project have been well done and should continue. The openness to visits from other organisation and projects, has enabled best practise from Hanna Hassif to be taken and used elsewhere.

Coupling the above with the role of ILO – ASIST as a regional and global knowledge base for future urban works involving communities, has worked well and ILO-ASIST should continue and strengthen this.

There should be more co-ordination between UCLAS and the SCP, to enable ‘joined-up’ planning within Dar-es-Salaam.

Objective 3 – Community based employment intensive construction of storm water drainage, roads, water supply, low cost sanitation systems, successfully, completed, managed and maintained

Effective management procedure and financial systems established Achieved 27 As noted above there are physical and financial procedures in place for the

day-to-day management and work planning. There were some glitches, however in essence the system worked. The CDA is now implementing many of these systems with some supervision from the TST.

Infrastructure plan in place Achieved 28 At the end of Phase I the CDC (now CDA) carried out community action

planning and based on the priorities activities for Phase II were decided. The infrastructure was planned and cost estimates were made by ILO during the project formulation. The infrastructure was designed and costed in detail by COWI (Tz) Ltd.. Work planning came later in the project and it would have been beneficial for it to have been at the start of the project.

Implementing procedures and standard contracts available Achieved 29 The majority of works were carried out by using community contracts, which

were more flexible than the private contracts. Community contracts and procedures were discussed and put in place in an early stage. Standard contracts were developed for private contracts and essentially followed FIDIC documents. There were shadow tender contracts for community works, but they have not been fully implemented.



2162m of Main storm water drainage channels constructed, Roads and drainage works completed and Water supply consisting of 10 water points completed Partially achieved 30 For the purposes of the evaluation the above three outputs are grouped

together. The infrastructure constructed is as follows.

Item Target according to project document

Actual implemented

Difference

Main Drainage/m 160 150 10 Roads/m 2,000 500 -1,500 Road crossings/no. 35 16 -19 Side drains/m 4,000 4,500 +500 Water kiosks/no. 10 6

Including 2.5km of water pipe

-4

Footbridges/no. 0 127 +127 Table 6. Target and built infrastructure.

31 There are short falls on most of the built infrastructure. This is due to differences in the estimated and designed targets as well as budgetary cuts. The drainage system is adequate for current needs, however, roads and water points are not sufficient.

Employment created Partially achieved 32 The workdays created by the project are as follows.

Employment Type of contract Men Women TotalLong term Support staff 5,944 2,401 8,345 Short term Community 9,933 7,534 17,467 Short term Private 2,540 1,294 3,834

Total 18,417 11,229 29,646 33 Table 3. Employment days created

34 The target for works days was 50,000 for skilled and unskilled workers. Therefore, the project has reached 60% of its target. Again the shortfall can be attributed to estimate and design differences as well as budgetary cuts.

35 Labour policies and workers rights were in the whole adhered to and issues such as minimum wage, minimum age, safety, female rights, etc. were adequately addressed. In the minutes of CDA meetings these types of issues have been discussed and good workers’ rights are seriously considered. This is perhaps made more pertinent by the fact that many of the workers are neighbours of CDA members. The level of remuneration was low as labour is considered to be part of the community contribution, but it is apparent this was not fully expressed to the un-skilled labourers. Women’s needs were considered in-terms of working hours and flexibility.



Operation and maintenance procedures for created assets established and supplied Partially achieved 36 The operation and maintenance of the infrastructure varies with its use.

Roads and drains are for the common good with no specific direct beneficiary however, water kiosks are for the private individual (or household) who are direct beneficiaries. This has effected the way they are dealt with in-terms of operation and maintenance.

37 The maintenance of the drainage and roads is done on an emergency level with few scheduled works. Training has been done on these elements and a manual produced (in English), however, this has not been formally put in place. There is awareness in the CDA that regular cleaning of the drains needs to be done.

38 The operation and maintenance of the water kiosks is partly the responsibility of the landowners on which the kiosk is sited. Training has been conducted in operation and maintenance and kiosks are being operated, and are making money. Inspection of the kiosks by the owners is being conducted and repairs have been made. However, with the kiosks being relatively new these repairs are mainly due to problems in construction rather than through use.

Lessons learned. The use of labour based, community managed approaches to create appropriate infrastructure has worked and is functional – flooding is reduced, clean water is available, etc. It is recommended that this approach be promoted and possibly standardised to enable it to be more palatable to engineers. This task could be taken on at the local level by UCLAS and on a global scale by ILO-ASIST.

Links with the KMC and CDA should be established to enable discussions on funds for maintenance and construction works as well promotion/replication in other areas of Kinondoni Municipality.


6. Achieving Development Objectives

6 Achieving Development Objectives 1 The project’s development objective was ‘To contribute to the improvement of

the living conditions and access to urban services and expanding employment opportunities for the residents in unplanned settlements’. The following chapter evaluates and comments on the contribution the project has made to this.

Impact of employment generation 2 Employment was generated for skilled and unskilled workers on both a long

and short-term basis. For unskilled workers the combination of low rates and the revolving of the work force meant that the money earned was not sufficient to do anything substantial with, but was more an uplift for the month or a means to pay off small debts.

3 For the skilled workers the impact has been more substantial. Again the money earned has not been sufficient to make a significant difference. The more significant impact has come from the income they can earn with their newly acquired skills. No assessment was done of their potential earnings however, they reported that they get paid full rates, Annex 6 gives a summary of current employment status.

4 In both levels of work women have benefited from the increase in income, but more so from a positive attitudinal change allowing women to work on such projects. It is not concluded here, but it is expected this has other impacts on wider society. It would be beneficial to investigate these gender issues further. Other vulnerable groups such as unemployed youths have benefited from the works as they are more available and able to under take un-skilled work.

5 The CDA is looking to register themselves under the Class Seven of labour-based contractor that does not require a trained engineer. This would help them in getting other jobs. Some workers (men and women) also expressed the wish for the CDA to assist them in looking for work and providing information such as a list of contractors, etc. they could contact.



Impact on living conditions 6 The evaluation was not intended to be a full impact study and it is

recommended that one be carried out in 2001. However, the evaluation did take some of the main themes from the 1998 impact study and investigated them in a participatory manner, collecting impressions of local residents. The following table represents a summary of those impressions of impact.

Benefits Dis-benefits Employment creation. Disease reduction. Market areas cleaner and easy to use. More business with a greater range of goods. Housing market better. No more flooding. Children can play safely in the streets. Credit facilities available. Greater availability of clean water. Crime reduced. Increased confidence in the DCC and KMC to build social infrastructure in the area.

Project has created a rift in the community. Credit scheme defectors forced to move out of area.

Table 7. Impressions of impact.

7 The fact that the area of Hanna Hassif does not flood when it rains is considered to be the main impact of the project. This has enabled a number of direct and indirect benefits most of which were identified by the residents above. The team was unable to gain access to quantitative information from health centres. However, they reported that there had been a decrease in the number of illnesses due to water borne diseases such as diarrhoea. For water vectored diseases such as malaria there was no reported difference. Other significant observations from residents are given in the boxes on this page.

Since the drains were put in,there have been lessfunerals.

Box 2. Impressions of impact from Hanna Hassif

8 There has also been an increase in access to services. This change has been brought about by increased transport services in the area, such as taxis, service trucks, supply lorries and mini buses. However, it is questionable

whether this benefit has accrued to all residents or just those who can afford the transport services. There is also better access to markets and the variety of goods available, mainly due to new business starting in the area. There is also a new health centre being built by the KMC, which will improve access to health care services.

I don’t have to put mychildren on the tableanymore to get away fromwater in our house.




9 Hanna Hassif is in a prime location in Dar-es-Salaam and is close to financial and industrial centres within the city. With the problems of flooding removed, Hanna Hassif is starting to become a desirable area to live. This initiated an increase in the value of properties (8 million to 16 million TSh. average in last three years) and so a flow of people in and out of the area has been generated. This can be seen as having a positive and negative impact. On the negative side the new people coming in have not contributed to the project yet are enjoying the benefits of the project. On the positive side people have got more money and may be more able to contribute financially as well as to the management of the CDA. Interestingly there is no reported similar jump in rent prices, due to improved living

conditions. This may change in the future, but with no mortgage system in Tanzania and little increase in property taxes, there is little to base an increase in rent on. Also, landlords reported that the rent levels are regulated more by the tenant's ability to pay rather than any property costs.

I don’t loose my shoes in themud anymore.


I don’t have to use my gumboots in my house anymore.


10 The credit scheme has significantly contributed to the living conditions for business people and their consumers. The high repayment rate of 95% is the prime indicator of its success, being much higher than average for credit schemes in Africa in the past. Building on social and financial capital the group savings approach has meant that people are financially and socially bound to repay. The scheme has also significantly built on the CDA capacity developed in Phase I to handle and be accountable with money.

11 The scheme has one perceived dis-benefit in that defaulter payments are spread across the group, and people have had to give personal possessions to pay off loans. However, this is normal practice in financial institutions although less directly through higher interest rates rather than direct payments. By using direct payment it is hoped that people choose their unit members more carefully in the future.


7. Conclusions and Recommendations

7 Conclusions and Recommendations

Conclusions 1 In essence the evaluation team conclude that the project has succeeded in

building institutions and infrastructure in Hanna Hassif that have benefited its residents. The following table summaries these achievements in the frame work of the development objective and immediate objectives.

Development Objective Progress To contribute to the improvement of the living conditions and access to urban services and expanding employment opportunities for the residents in unplanned settlements

Achieved Living conditions have been improved through an improved environment, with less flooding, decreased levels of diseases, greater access to social and economic services and increased opportunities to generate income.

Immediate Objectives The capacity of Hanna Nassif community is increased in

• Implementation and management of urban infrastructure

• Micro-enterprise development and solid waste management initiatives.

Achieved The capacity of the CDA has been physically and financially increased to undertake the specified activities. The capacity of the wider ‘community’ has not been greatly increased, however, they know of the CDA and what assistance they can provide.

The capacity of the DCC, private sector and other relevant actors to deal in an enabling manner with community-based urban settlement upgrading expanded.

Partially achieved On a policy, strategy and management level within the government capacity has been increased. However, within current implementing staff it has not. Limited capacity has been built in the private sector.

Community-based employment intensive construction of storm water drainage, roads, water supply, and low cost sanitation systems successfully completed, managed and maintained.

Partially achieved The majority of the physical infrastructure designed has been constructed using labour based methods and is functional. There is no maintenance schedule for common infrastructure such as roads and drains, however, there are some income generating and unplanned emergency maintenance activities.

Table 8. Summary of project achievements.

2 The cost effectiveness of the project is difficult to assess within the bounds of this evaluation. However, it is the team’s opinion that the use of community management, labour-based methods and community contracts, have been of direct and indirect benefit to the local community. Secondly, the skills developed in the project will also remain within the community of Hanna Hassif.



Recommendations and lessons learned 3 The main recommendations and lessons that should be taken forward and

used in future projects are:

Planning

• Conceptualisation and formulation should be a participatory process involving representatives of all stakeholders and informed others.

Institutional issues

• It is important to focus on building institutions as well as infrastructure, to ensure ownership and sustainability.

• Institutional building should be a combination of training and mentoring of individuals and should be seen as a process of learning by doing.

• Urban infrastructure projects should work in existing local administrative structures as much as possible (or in very close collaboration). This could increase the possibilities of funding for maintenance works or possibly the reinstating of the road toll in Hanna Nassif.

• Global organisations such as ILO-ASIST and HABITAT should collate experience and lessons learnt to develop and disseminate guidelines on best practise. Aiding offices within their own structure (such as ILO area offices), governments, NGOs, private firms and others.

Animation and mobilisation

• Mobilisation in large urban communities should be targeted and strategic, using a range of tools.

• In large urban communities the collection of funds for improvements should be through existing structures used for tax collection.

Construction techniques and modes

• In unplanned urban environment the promotion and use of labour-based methods and community contracts ensures positive effects and impacts for the local community.

• Labour-based methods should be used in similar urban situations, in terms of cost effectiveness as well as wider social and economic benefits to the immediate community.

• The use of community contracting groups should be promoted and formalised with classified registration.

Other

• The use of a credit scheme to stimulate local business, raise awareness , pay for maintenance activities and work toward CBO financial sustainability should be promoted in other projects.

Future assistance to Hanna Hassif community 4 The evaluation team were requested to discuss the need for further assistance

to the Hanna Hassif community and the CDA. For physical activities the solid waste in Hanna Hassif is a problem, however private individuals are charging households to remove waste and there are necessity solutions emerging. There is a community waste collection programme working in Dar (with ILO



support) whereby community waste collectors get authorisation from the council to collect waste and fee in certain areas. A strong link with this programme is recommended and further support should be given.

5 Within the above, it is the Teams opinion that there needs to be a gradual pull-out of the existing TST. During this period strong links should be established with KMC and others. This could possibly extend to donors and other bodies such as SDP and CIP who are often only a bus ride away. This needs to be done carefully as at the moment the CDA have little confidence outside of their existing limited sphere. Essentially less external assistance is more assistance to the CDA.


Annex 1

Annex 1 – Terms of Reference Terms of Reference for the Independent Evaluation of

Hanna Nassif Phase II Community Based settlement upgrading – Hanna Nassif

Settlement Kinondoni District Dar es Salaam (URT/97/032/A09 and URT/94/003/F09)

1. Background information Hanna Nassif settlement is located in Kinondoni District, Dar es Salaam. The settlement covers 44 ha and has a population of 19,000 people. In this settlement severe flooding occurred during the rainy season due to absence of drainage channels. The rainwater, which mixed with uncollected garbage and overspill from overtaxed latrines, caused health hazards and limited access in the settlement. 1.1 Phase I The first phase started in 1994 with UNDP, Ford Foundation, EDF and LIFE as donors and ILO as executing agency supported by UNCHS, UNV. The Hanna Nassif project adopted a labour and community based approach to construct storm water drainage and access roads. The main overall objective was to improve the living conditions and expanding employment opportunities in urban low-income communities. The project combined infrastructure upgrading activities with employment creation, skills upgrading and community capacity building. The project demonstrated that upgrading of infrastructure in low income settlements can be successfully carried out by the community and City Council with guidance of a technical team. The community actively participated in planning, design, implementation and maintenance activities. It also demonstrated the advantages of implementing works through community contracts whereby small contracts are issued to the community for the implementation of the works (see evaluation report 1997). 1.2 Phase II The second phase of the project started in May 1997 and is financed by the (UNDP) National Income Generation Programme –NIGP and Ford Foundation. The implementing agency is UCLAS and ILO is an associated agency. A summary sheet of the project document “Community based settlement upgrading programme Hanna Nassif – Kinondoni” (project number URT/97/032/A09) can be found in annex 1. ILO (ASIST) supports UCLAS in the project by providing technical advice and information. ILO is operating under a STS agreement (funded by UNDP under project URT/94/003/F09) which specifies the support ILO provides to the project. As in the first phase the approach is community-managed labour based and a local community-based organisation, the Hanna Nassif Community Development Association (CDA) is the key actor. The University College of Lands and Agriculture Studies (UCLAS) assists the CDA with the design and the implementation of the project. The project enjoys full support from the Dar es Salaam City Commission (chairing the steering committee), and is funded by the National Income Generation Programme (NIGP) and Ford Foundation.

A1 Last saved:29/03/01 File name: TZA-110113. IT Transport. Independent Eval. of Hanna Nassif II Oct02

Annex 1

Phase 2 constructed storm water drains, gravel roads and a water supply system. In addition, a solid waste management system and a credit scheme is set up. An International consulting Engineering Company COWI made the design for the construction activities. The CDA and others within the community participated actively during the design stage of the project. To construct the infrastructure the project used both registered contractors and community contractors. 1.3 Hanna Nassif phase II project objectives The development objective of Hanna Nassif phase II is to contribute to the improvement of the living conditions and access to urban services and expanding employment opportunities for the residents in unplanned settlements. The immediate objectives are:

1. The capacity of Hanna Nassif community is increased in Implementation and management of urban infrastructure Micro-enterprise development and solid waste management initiatives.

2. The capacity of the Dar es Salaam City Commission, private sector and other relevant actors to deal in an enabling manner with community-based urban settlement upgrading expanded.

3. Community-based employment intensive construction of storm water drainage, roads, water supply, low cost sanitation systems successfully completed, managed and maintained.

Based on these 3 objectives, outputs and activities have been specified in the project document. The project team has regularly reported on the progress of the outputs in 12 quarterly reports and steering committees. 2 Purpose of the evaluation of Hanna Nassif phase II The purpose of the evaluation of Hanna Nassif phase II is to establish: The relevance of the project objectives for urban upgrading in Hanna Nassif

unplanned settlement. The extent to which the project objectives have been achieved and to which they

contribute to the wider development objective of improving the living and working conditions and employment opportunities for the urban poor in Hanna Nassif.

To make recommendations and extract best practices for possible application in similar urban environments.

Hanna Nassif phase I has been evaluated in 1997 and an evaluation report is available. Although the current evaluation should focus on the achievements and lessons learned from Hanna Nassif phase II the outcome of Hanna Nassif phase I and the base line study conducted in Hanna Nassif phase I should be taken into consideration. This will allow the evaluation mission to look at the overall impact of the project on the urban poor. In July 2000 a study has been carried out to assess the achievements of the works carried out under community and private contracts during Hanna Nassif phase II construction works (Clifton, van Esch) and an cost analysis has been carried out in an earlier stage (van Rijn). The contracting study looks at cost, quality and procedures followed under the contract and a draft report is available for use by the evaluation mission


Annex 1

3. Scope of evaluation The immediate purpose of the evaluation is to determine whether the project’s objectives reflected the needs of the target groups, how the project was executed and the extent to which the initial targets have been met as well as the sustainability of the project. The evaluation team will, inter alia, assess the following elements: 3.1 Relevance of the project Relevance of the objectives in relation to the needs of the target groups and the

general policy of the Government of Tanzania; Efficiency of the institutional arrangements for project implementation; Appropriateness of construction techniques such as community contracts and

labour based methods. 3.2 Project implementation Address the following issues: Adequacy of project designs, work plans, reporting and management; Degree to which the project is supported by the city authorities and local

government (during project City Commission and currently Kinondoni Municipal Council);

Degree to which the project is supported by CDA and the wider community in Hanna Nassif Settlement. Assessment of involvement of CDA, workers and wider community in project implementation.

Overall institutional set up, organisation and technical supervision; Physical progress, problems encountered and corrections made; Labour utilisation, productivity and adherence to labour policies and practices

(safety, equal access to work for men and women, minimum age etc.) Appropriateness of (level of) incentives; Effectiveness of community participation in planning, design and implementation

and community contracting system; Cost of construction and cost-effectiveness of the project (can be based on

findings of Clifton, van Esch study July 2000) The role of the 3 partners NIGP, UCLAS and ILO within the project. UCLAS role

is specified in the project document and the mission should assess the appropriateness and the performance. ILO role is specified in a separate agreement between UNDP and ILO and the evaluation mission should assess the appropriateness of the agreement and evaluate ILOs performance in the project.

3.3 Training program Assess the quantity and quality of the training conducted and the appropriateness

of the training within this project. Determine who has been trained and the impact of this training on future

employment. Relevance of training materials produced for the target groups and for similar

type of projects. Feed back of experience in UCLAS educational programme and possible long-

term impact on university graduates. 3.4 Project Outputs This section should indicate if the expected outputs, as specified in the project document, are achieved. More specifically they should address: Quantity and quality and appropriateness of construction standards of physical

construction (Clifton, van Esch study from July 2000)


Annex 1

Number of short-term or long-term employment opportunities created through project activities;

Capacity building of relevant government institutions and NGOs to carry out similar community-based programs with special reference to replicability and sustainability of the project approach, including operation and maintenance of the developed works;

Capacity and effectiveness of the Community Development Committee to implement the project activities and to strengthen the organisation/mobilisation capacity of the community in Hanna Nassif.

Operation and maintenance arrangements developed and in place. What is the revenue base for operation and maintenance? Is there sufficient knowledge and experience in operation and maintenance? How does the target group participate in operation and maintenance. What are the lessons learned from the project activities related to operation and maintenance in urban unplanned settlements.

Extent to which the project has been assimilated by community groups, government agencies and donors at country and city level;

3.5 Impact of labour-based, community-managed works Assess the impact of the (labour-based and community-managed) works on the

living and working conditions for the residents of Hanna Nassif, especially groups at risk such as unemployed youth and women. (e.g. extent to which water borne diseases have been reduced, access to services, effect on enterprise or informal sector development). Two base line studies and one study on linkages between urban upgrading activities in Hanna Nassif and enterprise development are available.

Assess the impact of the labour-based, community-managed works on the environment.

Assess which labour policies and practices8 have been followed and which have been neglected. What is the recommendation for future community works in this respect?

Asses the degree to which the communities have developed their planning capacities and capacity to develop new initiatives;

Assess the impact of the type of contracts (private and community) on community organisation and negotiation capacities?

Identify the direct effect on the income of beneficiaries. Identify possible multiplier effect, brought about by the increased households’

incomes from the construction, especially the relation with the credit scheme and investments of wages in micro economic activities.

Possible negative impact of project activities such as change in land rent, house prices/rent, taxes, increased maintenance requirements, accidents due to increased traffic etc.

Impact of lessons learned from Hanna Nassif pilot project on urban planning and constructions in unplanned/low-income areas in Tanzania (have approaches and experiences been used in replication to other low-income urban areas?).

3.6 Recommendations Provide recommendations for further support to the Hanna Nassif residents if necessary lessons learned which can be used in planning, designing and implementing

future urban low-income upgrading projects

A4

8 See for reference the Tajgman,de Veen, ILO guide on labour policies and practices.


Annex 1

4. Methodology for evaluation 4.1 Composition of mission team The mission should consist of two independent consultants:. One expert with knowledge and experience of community managed, labour

based construction, in socio-economic indicators to asses the impact of the project activities and in evaluation procedures and report writing.

One national consultant, experienced in urban water and sanitation issues and community participation.

The mission should preferably have one member who speaks Swahili. UCLAS will ensure that all documents are available to the consultants and will assist with local transport and assist in making appointments for the consultants. 4.2 Time schedule The mission will take place in Dar es Salaam from 14 to 29 November 2000. A debriefing in which summary findings are presented will take place at the end of the mission and the draft evaluation report will be submitted for comments on 4 December 2000. NIGP, UCLAS and ILO will have 1 week to comment. A final report should be submitted before 20 December. 4.3 Output A standard UNDP in- depth evaluation report (3 hard copies and an electronic copy in word or word perfect) submitted to ILO ASIST. The report should include an executive summary including main findings and recommendations. 5. Documents available 1. Hanna Nassif phase I evaluation report 2. Hanna Nassif phase II project document, NIGP/UCLAS, 1997 3. Hanna Nassif phase II, STS agreement, UNDP/ILO, 1997 4. Quarterly reports and minutes of steering committee meetings 5. Report from Sohail Khan on Community contracting. 6. Three monitoring reports from John Clifton on Contract performance and quality

of labour-based works. 7. Contract achievements and quality of labour-based works by Clifton, van Esch,

July 2000. 8. Kisii training and Kewi training reports. 9. Tournee, van Esch, Community Contracting paper, revised version June 2000. 10. Two base line studies carried out by UCLAS 11. Design documents from COWI (5 volumes). 12. Synergy study on linkages between infrastructure upgrading and enterprise

development (case study Hanna Nassif), 1997.


Annex 2

Annex 2 – Itinerary Dates in 11/00

People/group met/activity

13 Collection documents and making appointments 14 Collection documents and making appointments 15 ILO programme officer

Evaluation Team meeting Literature review

16 UCLAS Team Credit Scheme members UCLAS animator and site engineer Literature review

17 UCLAS animator and site engineer Residents Non-CDA members Credit scheme members ILO – Director NIGP – Infrastructure Officer UNDP – Programme Officer Literature review

18 Literature review 19 Literature review 20 Lukwati and Sala private contractors.

Residents CDA and non CDA members Kinondoni Municipal Engineer office

21 Appropriate Technology Unit – MoW. Community contractors Land lords Non-CDA members. Business people Sustainable Cities Programme UCLAS – animator and site engineer UCLAS – Team.

22 CDA committee members Hanna Nassif dispensaries Danida Residents Local healthcare staff

23 Hanna Nassif dispensaries Resident around Gandi ten cell unit CDA animator COWI Tanzania UCLAS field team Mr. Bitwale – ex-DCC. Ward Executive Officer

24 Kinondoni Municipal Council Residents-land lords Mr. Bitwale – ex-City commission member. Dar-es-Salaam Infrastructure Officer ILO staff.

25 CDA 26 Report/de-briefing note writing 27 Report/de-briefing note writing

KMC medical officer. KMC Sustainable Cities Programme officer. KMC Community Development Officer

28 De-briefing 29 Report writing


Annex 3

Annex 3 – People Met Ali Abraham ILO Area Office, Dircetor, Dar-es-Salaam Berege Kinondoni Municipal Director Baby Chombo Tenant absentee land lord house Hadija Chonde Skilled worker Patrick E Doughty Dep Division ILO Area Office Salum S Gandi Tenant Ten Cell leader CCM Branch Chairperson Rehema Idd Skilled worker Nestory Joseph Chairman CDA Hanna Nassif VE Kaleko Disease and Vermin Control, Kinondoni Municipal

Commission Steve Kazuzu Clinical Officer, Private Dispensary Hanna Nassif M Kimei Head, Sustainable Dar es Salaam city Commission Venus Kimei Co-ordinator CIP F Kipesho Health Officer Kinondoni Municipal Commission Limbe Sustainable City project Dar es Salaam Haji Masasi Clinical Officer, Hanna Nassif Bakwata Dispensary J Mbene UNDP George Mbyopyo Project Animator UCLAS Economist Tadei Mdee Field Engineer Meshack Animator Consultant/UCLAS M V Meshack HM project Animator Habiba Mfaume Hanna Nassif Resident land lord non CDA member Juma Milao Skilled Fundi Community Contracts Hanna Nassif Zainab Mohamed Hanna Nassif resident Wife of Land Lord A Monisongole Project Animator UCLAS Economist Edna Mosses Municipal medical officer of Health Mpaji Mrisho Bryceson Mwangongo Ward Executive Officer Bryceson Mwangono Ward Executive Officer Alfred Mwensryll Pro UCLAS Aurelia Mzava Community Development Officer Kinondoni Municipal

Commission Aureria Mzava Community Development Officer, Kinondoni Municipal

Commission Salewi Kumbwaeli Civil Engineer/ infrastructure Specialist NIGP Dinah Nkya Field Animator Melenia Paulo Kombe Project Leader Hanna Nassif/UCLAS Zena Salum Land Lord house with tenants Hanna Nassif H Sawaki Municipal Engineer Kinondoni Municipal Commission Angus Shenjeua CIP Co-ordinator Kin Mungo Shaban Sheuya Project Consultant/UCLAS Agatha Tengza Tenant absentee land lord house Anna Tesha Sustainable Dar es Salaam Programme Tamin Tuwa Arend van der Goes Technical Advisor ILO EMP/INVEST Geneva Wilma van Esch Senior Technical Advisor ILO John van Rijn Programme Officer Labour-Based Works ILO, Dar es

Salaam Wapalila Lukwati Private Contractors Contact details for main organisations:


Annex 4

Annex 4 – Bibliography Clifton, J. Development of Contracts and Contracting Procedures for Small Scale Labour

Based Private Contractors in Urban Upgrading Works; Hanna Nassif Urban Upgrading Project, Dar es Salaam, URT/97/032/A09, October 1998

Clifton, J. Support to the Project in Reviewing Tendering Procedures, Documentation and Performance of Community and Private Contracts, Supervision of the Works, Efficient Use of Labour Based Technology and Update of the Plan for Construction Activities; Hanna Nassif Urban Upgrading Project, Dar es Salaam, URT/97/032/A09, October 1999

Clifton, van Esch

Draft study on Implementation of Community Managed and Labour-Based works using community and private contracts, ILO, August 2000.

Fransen, J. The cost of community contracting. Construction costs of the Hanna Nassif Project Phase I.

ILO Guidelines for Evaluation. ILO-ASIST Training for Labour-Based and Community-Managed Upgrading of Urban Low-

Income Settlements, January 1999. John van Rijn Cost Effectiveness Study: Hanna Nassif Community Based Upgrading Project Phase

II: Construction Stage - Draft Version, June 2000. Khan, S. Draft Report - Community Partnered Procurement - Community Contracting; Hanna

Nassif Urban Infrastructure Project, Dar es Salaam, Urban Infrastructure Unit, WEDC, Loughborough University, October 1998

Oduro, K. NIGP Management Adviser’s Report, 1998. Peter Kega, James Manyara, Jan Fransen

Report: Foremen’s Course: Community Managed and Labour Based Upgrading of an Urban Low Income Settlement, Hanna Nassif, Dar es Salaam;, KTC, ILO/ASIST.

Peter Oakley

Contracting, Negotiation and Organisation in Development Programmes and Projects: Current Practice at the Community Level - An Introductory Guide, May 2000

Saetrum, P. Kasava and Folayan, B.

Manual on Maintenance of Roads and Drains; Hanna Nassif Community Development Project, September 1998.

Sustainable Cities Programme.

Newsletters issues 1 – 3, 1999 to 2000.

Synergie Linkages between infrastructure development and improved productivity and working conditions in informal sector enterprises, March 1998.

Temu, E. Report on rapid impact assessment of NIGP assisted projects, 1999. Tournée, J. and van Esch, WW.

Community Contracts in Urban Infrastructure Works: Practical Lessons from Experience; ILO/Asist, June 2000

UCLAS Report on the Proceedings of the Hanna Nassif Community Based Upgrading Project Phase II; 1st Year Mini-Review Workshop 25.05.98.

UCLAS Report on International Technicians Course on Labour Based Road Construction and Maintenance, KTC, July 1998. M:E:Kaseva, Aug 1998.

UCLAS Programme of action for income generation activities in Tanzania, 1997. UCLAS & ILO. Baseline Study: Hanna Nassif Community Based Infrastructure Upgrading Project

Phase II; 1998 UCLAS, COWI Consulting Engineers

Technical Proposal: Community Based Settlements Upgrading for Hanna Nasif Settlements, Kinondoni District, Dar es Salaam, Dec 1997.

UCLAS, COWI Consulting Engineers

Contract Documents for Packages 1 & 15; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kinondoni District, Dar es Salaam, August 1999.


Tender Documents Volume I: Instructions to Tenderers, Conditions of Contract, Form of Tender, Appendix to Form of Tender, Bill of Quantities, Schedule Nos. 1-6; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kinondoni District, Dar es Salaam, , July 1998.


Tender Documents Volume II: Technical Specification; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kirondoni District, Dar es Salaam, , July 1998.


Tender Documents Volume III: Drawings; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kirondoni District, , July 1998 & March 1999.


Tender Documents Volume IV: Background to Design; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kirondoni District, Dar es Salaam, July 1998.


Annex 4


Tender Documents Volume V: Engineers Cost Estimates; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kirondoni District, Dar es Salaam, July 1998.


Tender Documents for Major Works Volume 1A: Instructions to Tenderers, Conditions of Contract, Form of Tender, Appendix to Form of Tender, Bill of Quantities, Schedule Nos. 1-6; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kinondoni District, Dar es Salaam, March 1999.

UCLAS, NIGP Quarterly Reports Nos 2 -13, Community Based Settlement Upgrading, Hanna Nassif, Kinondoni District, Dar es Salaam; June 1997 - March 2000.

UCLAS/COWI Consulting Engineers

Contract for Consulting Services; Community Based Settlements Upgrading for Hanna Nasif Settlements, Kinondoni District, Dar es Salaam, University College of Lands and Architectural Studies, December 1999.


Annex 5

Annex 5 – Main Project Events Year 1997 1998 1999 2000Activity M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N DSigning of contract betw een UCLAS and NIGPOperational startRenovation of CDA of f icesTender for designContract aw arded to COWIDesigns completedMobilisation/animationDrainage constructionRoad rehabilitationWater kiosk constructionMaintenance of drainage channelsEmergency maintenance of roadsPreparation of maintenance manualRoad toll collectionCredit schemeProject suspensionDCC staf f joined projectTraining activityConsultant visitBaseline surveyProject visits


Annex 6

Annex 6 - Training Carried Out Under Phase II Source: Study on implementation of community managed and labour-based works using community and private contractors, Clifton and van Esch, 2000.

NOS TRAINED ISSUE TOPICS OBJECTIVES OF TRAINING

Men Wo AllTARGET GROUP

TRAINING METHODOLOGY TIMING

LENGTH OF

MODULE Credit scheme 1 - 1 2 weeks

Budget preparation Future planning and preparation of CDA budget 1 2 3 CBO members 1-8.03.2000 7 days

Settlement upgrading regulations for CDA committees

7 CDA16 23 Workshop 11.03.2000 1 day

Community participation in collective decision making and proceedings

Development of community leadership skills 16 9 25 CDA members 25.03.2000 1 day

Formation of committees and definition of roles 19

Executive Committee of CDA

6 25 1 day

Credit evaluation Evaluation of business activity performance 5 40 45 Women Unit 1 Workshop April-June

1998 1 day

Credit scheme Regulation and remissions 35 120 155 Participants in credit scheme

Workshop January-May 1998 7 days

CDA consultation Clarification and explanation 277 229 506 Hanna Nassif residents

October-December 1997

Credit scheme Registration and remissions 7 8 15 Participants Workshop


Financial management and procedures

Planning and expenditure of funds; control of budget lines 5 6 11 CDA

leaders Seminar January-March 1998 1 day

Development of CBOs 1 3 4 Workshop (at CBE) 14-15.09.99 2 days

CBOs 1 - 1 Workshop (CIP organised at TDF) 6.08.99 1 day

COMMUNITY ISSUES & CDA

Project management & financial control systems 3 12 15 1 day


Annex 6


Men Wo All TARGET GROUP


LENGTH OF

MODULE

Briefing Familiarisation of community leaders because CDA activities had been suspended and Mtaa and ward leaders were mobilised to take over

26

Community leaders Ward officers Project personnel Mess media

6.02.99 1 day

Mini -review Workshop Review of achievements and lessons learned in 1st year of Phase II 36

CDA UCLAS DCC COWI(T) NIGP Mass media

Workshop at UCLAS 25.05.98 1 day

Job descriptions and roles of actors involved in Hanna nassif

21 Hanna Nassif residents

9 30 11.09.99 1 day

Relationships CDA, local government, Implementing agency

Improvement of working relationships 29 11 40

CDA executive team Functional heads of Ward Executive Office

1 day

Consultations between NIGP and Implementing Agency

Workshop 10-12.11.98 3 days

CIVIC FUNCTIONS & GENERAL

The Hanna Nassif experience Employment strategies to alleviate poverty 7 2 9


3 days

Management of solid waste and mobilisation of funds

Sensitisation of Hanna Nassif residents 30 59 89 Residents of Hanna Nassif

Neighbourhood workshops

24.07.99 31.07.99 4.08.99

3 days SOLID WASTE & ENVIRONMENT

Particpatory and patnership issues for addressing local environmental issues

- 1 1 30.11.98 - 18.12.98 12 days


Annex 6




LENGTH OF

MODULE Community mobilisation

in solid waste management

4 11 15 Seminar April-June 1998 3 days

Word processing (basic) Acquisition of basic computer skills - 3 3 CDA staff members 13-

25.03.2000 12 days

ADMINISTRATION & MANAGEMENT Conflict management 21 7 28

Hanna Nassif residents and CDA members

30.08.99 1 day

LB techniques Familiarisation with LB techniques 1 - 1 Environ Engineer On site training January-

March 2000 -

Construction of storm water drainage channels 18 2 20 January-

March 1998 49 days

Construction methodology - drains and roads

Construction techniques; community contract preparation including cost estimation for labour and materials

27 21 48

CDA members and Construct Committee

Seminar April-June 1998 1 day

Maintenance Manual Maintenance of drainage system, KIMWODA contract, familiarisation with maintenance manual and COWI(T)Ltd documents

29 6 35

CDA members Hanna Nassif community

April-June 1998 2 days

Training needs for engineers and technicians on LB upgrading programmes

5 2 7 9-10.11.98 2 days

Construction of storm water drainage channels 4 6 10 3 days

CONSTRUCTION WORKS &

MAINTENANCE

Gabion construction Impartation of skills for sewing and installation of Reno mattresses and gabion boxes 6 4 10

Hanna Nassif workers with private contractors (who will also form core maint team)

On site training 45 days


Annex 6




LENGTH OF

MODULE

Engineers course 2 TST International engineer courses

1998 and 1999

6 weeks and 2 weeks

Foremen’s course

LB technology in low income settlements, procurement of materials, tools, equipment, recruitment of labour, working conditions, management of LB site, Health & Safety, task rates, programme and reporting, cost estimation, contract conditions, design, BOQ, quality control laying of water supply pipes road construction, gabions, concrete

6 6

- 2

6 8

Foremen from private contractors Hanna Nassif personnel

Classroom and on site training (undertaken by KTC in collaboration with ILO/ASIST & UCLAS)

11-15.10.99 5 days

Operation and maintenance of Water Kiosks

To enable water kiosk operators and owners to operate and maintain their kiosks. 11 5 16

Water kiosk owners, operators and CDA members

Classroom and on site.

September 2000.

5 days.

NOTE Sources of information: Quarterly Reports, site records, Report on Proceedings of Hanna Nassif Community Based Infrastructure Upgrading Project - Phase II - 1st Year Mini-Review Workshop 25.05.98, Short Report by ME Kaseva on International Senior Technicians Course in LB Road Construction and Maintenance - KTC 25.05-11.07.98, Report on Foremen’s Course 11-16.10.99. Total 4146 training days


Annex 7

Annex 7 - Hanna Nassif Trainees - Skilled and Semi-Skilled Current Employment Situation Source: Study on implementation of community managed and labour-based works using community and private contractors, Clifton and van Esch, 2000.

NAME SEX SKILLED SEMI-SKILLED SKILLS

EMPLOYMENT OUSIDE

HANNA NASSIF Juma Shomari M * Setting out, road

works, drainage, plumber, water supply, bar fixer,gabions

Full time with private contractor

Melania Paul F * Mason, drainage, gabions

6 month contract with private contractor

Hadija Chonde F * Mason, drainage, outfalls, gabions

Shabaan Daudi M * Plumber, water supply, form work, bar fixing, concrete

6 month contract with private contractor

Sudi Mfaume M * Concrete Yes but now finished

Mpaji Mrisho M * Foreman, road works, drainage

Sabiam Omari F * Mason Tamim Tuwa M * Carpenter, mason, bar

fixing, gabions Self employed

Uhadi Mohamed M * Form work Yes but now finished

Mohamed Said M * Concrete Full time with private contractor o/s Dar es Salaam

Issa Kirumbi M * Plumber, formwork One year contract with private contractor

Charles Kanoga M * Mason Full time employment with private contractor (also assistant who is not listed here)

Nestory Joseph M * Drainage, road works Chairman CDA Ally Mrisho M * Drainage, road works Full time

employment with DAWASA

Said Abdallah M * Bar fixer Full time employment with Konoike (private contractor)

Heri Mboga M * Bar fixer Full time employment with private contractor

Salima Omary F * Fore(lady) Full time employment with private contractor


Annex 8

Annex 8 - Options and Recommendations For Replication of Urban Labour-Based Works in Low Income Areas Source: Study on implementation of community managed and labour-based works using community and private contractors, Clifton and van Esch, 2000.

ISSUE SUB-ISSUE OPTIONS & RECOMMENDATIONS

DESIGN & PROCEDURES Design

In this context design is taken to include drawings, technical specifications and BOQ • Consideration should be given to the means of obtaining an accurate design, comprehensive

BOQ and appropriate contract documents. It is possible that the implementing organisation may have this capability ‘in house’, but it is more likely that outside design services may be sought as a high level of expertise will probably be needed which may not be within the capacity of the implementing organisation. Should these services be provided by an outside body (eg consulting firm) then this body must be well experienced and accessible so as to be able to respond to necessary design changes and take a full part in the long consultation process with the community

• In selecting the designer and design modality care should be taken in preparing an accurate and comprehensive briefing for the designer such that the aims and intentions of the project are clearly understood

• The implementing organisation must have the ability to appreciate and critically appraise the proposed designs

• Programming must allow a considerable period (3-6 months) for consultation with the community and evolution of final detailed design. Any contract or agreement with the designer must have the flexibility and provisions to deal with this possibly extended input and must be budgeted accordingly

• The appropriate local government body with (possibly abrogated) responsibility over the project area must be brought into the consultation (and possibly approval) process at the earliest possible opportunity (and, probably will be a member of the Steering Committee)

• If a preferred technology or methodology has been chosen then tThe design should be appropriate for labour-based implementationthat choice.If not then the design should be technology neutral The designer should have experience in labour-based works and in discussion design options with community representatives.

• Very close attention should be paid to the principles involved in mitigation of possible adverse effects or disadvantages to any member of the community as a result of the chosen design. Mitigation or compensation principles must be agreed with the project partners at the outset.


Annex 8


Design procedures - roles of project partners (contracting authorities, community representatives, consulting engineer, and support agency)

• Clearly define the roles and responsibilities of all partners • Consultative meetings with the community should be attended by the designer and various

design options should be discussed in an early stage. • A clear system should be set up for dealing with design changes found to be necessary during

the course of construction. This system must have regard to project implementation structure, the degree of involvement by the designer, capability of site management and so on

Roles of project partners in supervision and approval of works

• Careful consideration should be given to the desirability of a continuous, coherent technical thread throughout (logically through the tendering, contractor selection, measurement and certification of works). This could be achieved, for example, by the designer (say, a consulting firm) being directly involved in all aspects of the contractual and construction process, or or ssecondment of consultants personnel to the implementing team or ensuring experienced site management staff in the implemnetingimplementing team. Whatever modality is chosen the key themes are technical competence on site, accessibility and involvement of the designer and an adequately resourced arrangement.

• The funding agency will presumably be represented in the Steering Committee or other guiding body. Under no circumstances should contractual commitments, especially financial commitments, which are outside any delegated powers or budgetary license which may have been granted toof the implementing organisation, be made unilaterally by the implementing organisation. For this reason consideration should be given as to which project partners should be parties to or signatories of contracts.

WORKPLAN Timing of construction activities

• Although a workplan will be worked out early in the project period this should be updated at, say, yearly intervals when a more detailed programme may be produced for the coming year. This regular review and update gives the flexibility to respond to changing external circumstances and increasing community capacity. The workplan must have adequate provision for the build up to start of construction activities - a long process of animation, consultation, organisation and training. This can be a very long process. Do not assume that a small contractor can work any faster or produce better quality work than a ‘capable’ community.

• There should only be a limited number of contracts running at the same time depending on supervisory capacity, work space and availability of skilled and unskilled labour. In Hanna Nassif the maximum was 3 contracts at the same time with approximately 100 labourers (John is that correct?)


Annex 8


Packaging of works

• Really a As a function of realistic work planning, packaging should be responsive to community capacity (eg do not be too ambitious too soon or there is a danger that the community will be discouraged but conversely do not underestimate what the community may be able to attain during the course of the project)

Tender documents

• The first priority is to decide what format of contract documents are to be used for community and private contracts. Preparation of tender documents tends to be a rather specialised activity, especially if one of the bulkier conventional formats is selected and it is suggested that the simpler formats could be more appropriate for all project partners.

Tendering procedures • Proper tender procedures will take time and cost resources. • Transparency is essential and thus national recommended procedures should be followed in

the case of private contracts.

TENDERING PROCDEDURES

Shadow tendering of community contracts

• A plan for phased commercial involvement of the community in contracts should be drawn up early in the project with the aim of achieving full commercial parity with private contracts well before the end of the project period

• Should it be agreed that the community will receive a ‘profit’ or retention payment (before actually achieving profit on the phased commercialisation of community contracts) it should be clearly agreed what will be the basis for calculation and payment modality including frequency and timing of payment

Works in accordance with community contract specifications

• Ina densely packed habitation such as Hanna Nassif care is required such that the design is based upon an accurate survey and contains sufficient details..

Works in accordance with private contract specifications • It is important that significant quantities are not omitted from contract documents

Facilitation of improved work - contract documentation, supervision, training

• Informed tender evaluation is essential • A project that involves contractor development should not permit a contractor to make a clear

loss and on the other hand must be wary that unacceptable enhanced profits are not generated. Particular attention should be paid to explaining contract and tender documents to contractors before tendering takes place and possible mentoring arrangements should be implemented

CONTRACTS

Perceptions of project partners on community and private contracts

• Project partners should be briefed on previously executed projects and the results of community development and activities during project preparation


Annex 8


Outputs /actual and estimated) - time period, quantities, costs

• The community should be involved in procurement at the earliest possible stage of the project • Private contracts should have special provisions for employment issues • Should private contracts and community contracts be envisaged then consideration should be

given of ‘benchmarking’ of community ‘profits’ against comparable private contract rates and profits

• Suitable performance indicators should be established in an early stage to allow proper monitoring of the works.

Profitability - economic and social perspective

• Project preparation should collect baseline data such as property values, traffic figures, business activity in the area of influence of the project

Work planning and reporting

• Records are essential. As a part of the agreed site management procedures already mentioned a comprehensive site diary must be maintained

• As built drawings should be prepared as the works progress • Choice of technology is fundamental

Site organisation

• Many of the recommendations come back to the quality of the site management team. This team (however constituted) must be well experienced in hands-on site organisation and supervision

• Gender balance among the workforce can only be achieved by affirmative action. This would require sensitisation from the outset and a clear agreement with the community representational body to this principle

Division of work

• As in any management team, there must be allowance for coverage of absence of personnel. This could be difficult in the case of experienced technical staff and tends towards involvement of a consulting firm who could guarantee coverage for key staff (unless of course the implementing organisation had its own in-house capability eg university)

USE OF LABOUR BASED METHODS AND

SITE ORGANISATION

Task rates and payment of workers

• There should be clear agreement regarding the system to be used (eg individual task rates, group task rates) and a clear procedure for adjustment of these task rates as experience is gained. This may require considerable discussion with the community


Annex 8


Use of tools and equipment

• A simple system for estimation, procurement and payment for tools and equipment (and of workers wages) should be designed in consultation with the community. These systems must be clear and transparent

• Regular checks and maintenance of the tools should be carried out. • A project store should be established in which all tools, materials and equipment are stored

when not in use. Training should be given in stores management and inventory control. Wherever possible large quantities of new or expensive items should not be kept on site unless security is assured. Draw down ? as required from a supplier puts the onus of security on to the supplier

• There should be early agreement (project document perhaps) as to the recipient of all project assets at the end of the project. This agreement should be endorsed by all project partners and publicised in the community

Works in accordance with design • Aim high in terms of quality right from the start. Make an exhaustive study of locally available

materials and costs and concentrate on training in a series of phases aimed at increasing quality

Purchase and use of materials • The community should have phased responsibility for procurement in step with expansion of commercial awareness and commercialisation of community contracts

Earthworks

• In an unplanned settlement a large proportion of excavated material is likely to be unsuitable. Make sure that there is adequate provision for dealing with this material; either transport to a suitable dump outside the community or an adequate area to dispose within the community area. Ensure that this is included in BoQ.

• Whatever method is chosen to compact earthworks, they must be compacted, even sandy soils in relatively shallow fills (eg pipe trenches)


Annex 8


Selection of workers

• In an low-income urban area there are always likely to be more applicants for work than posts available (if there are not then something is wrong - wage payments too low? Task rates too high?). Whatever system is chosen for worker selection it must be fair, transparent, understood and agreed by the workers and the community, allow for some sort of rotation of workers to share the work and, finally, be executed by the community

• Urban infrastructure provision and maintenance is unlikely to generate huge employment in terms of work days unless there is a continuous operation involving a large work force (eg street sweeping, solid waste collection). Contracts for construction of infrastructure tend to be relatively small workforces (around 50 or 60 workers per work sitefront) due to the restricted working conditions in unplanned settlements and the non-continuous works.

• Conditions of contract for private contracts should have specific provision for workers conditions and duration of employment, selection, welfare, wages, task rates etc

INNOVATIVE TECHNOLOGY Technologies

• Consideration should be given as to whether a project designed to give a community skills which can be used commercially should be teaching techniques which may not be certain to be acceptable in the wider market

• If trials of different techniques are going to be undertaken then thought should be given as to how to assess success of that trial as the community capability will, hopefully, not be static during the course of the project

Background

• Arrangements for maintenance (and, indeed, continuation or sustainability of any project activities) should be an integral part of the project design with plans for modality, training, funding and so on. If, during the course of the project these plans are seen not to be progressing then the project aims and activities should be reviewed

Current situation • Introduce road tolls and extension of current zonal mobilisation for clearance of roadside ditches and main drain as soon as possible.

COMMUNITY MAINTENANCE

Funding mechanisms • Any project involving community development should attempt to implement credit schemes, with perhaps some of the generated funds being used for maintenance of infrastructure

Review of training provided under the project

• A training needs assessment should be carried out early in the project and a training plan drawn up for the project as a whole. This assessment and plan should be reviewed each year and amemded as necessary TRAINING

PROGRAMME Further training needs • Wider aims, possibly going beyond immediate project needs, should be considered in the

training plan (eg civic functions, accounting, business skills, management)


Annex 8


Impact of works on Hanna Nassif residents

• Some form of assessment of community institutions and characteristics should be undertaken as a part of the feasibility studies. This assessment should be developed in project preparation and could cover specific work-related issues such as organisational and institutional structures (if any) in the community, availability of labour, technical and administrative skills

• Regular base lines studies should be carried out to assess impact. • Details of beneficiary or community contributions should be agreed as an integral part of the

project design. If possible physical contributions should be collected up front (eg materials, land, pledges of labour)

• The Community committee must be democratically elected and truly represent the community. • The project team (ie non-residents of the community) must not be involved or identified with a

particular group

IMPACT OF LABOUR BASED

COMMUNITY MANAGED

WORKS

Impact of works on the environment

• Solid waste management is a fundamental consideration in urban unplanned settlements which impacts upon most infrastructural provision and maintenance activities. It may be desirable for the project to include this as specific project activity or aim

• Similarly, water supply and perhaps, power supply should be included in a similar project


Annex 8


Labour policies and practices

• Unpaid labourRecruitment - is it practical or fair to expect voluntary labour to construct major infrastructure works? Would unpaid labour generate any increased ownership of the assets thus created?

• Wage setting - the national minimum wage should be the benchmark, but there should be investigation of market rates for unskilled workers (eg in Dar es Salaam unskilled workers commonly receive less than the national minimum). In some circumstances it may be correct to pay more than the legal minimum (eg out of date national minimum) or to agree on not paying or to provide a non-monetaryn incentive in case ofit is community works with a clear direct benefit.

• Protection of the wage payment - it is important that workers are paid on time whatever system is set up. This is an absolute pre-requisite. Also, there should be a good, simple method of recording attendance and payment of wages. Wage rates should be publicised

• Attendance - procedures should be set out and agreed with the community regarding abesenteeism (eg absence of 2 days in a week would result in no further employment after that week but NB the worker would receive payment for the days attended). Although it seems that in community works this is not really a problem as there is more peer pressure.

• Management and supervisory training - it should be recognised that it is not only the community who learn and improve in capability during the course of the project. The other project partners will also acquire new skills and techniques as a result of their participation

• Health & Safety - training should be given in safe working practices and these should be employed on site

• Social security - appropriate workers compensation insurance should be arranged by the project at the beginning of construction activities

• Right of association - perhaps development of a workers representational body should be written into the project aims

Impact of contracts (community and private contractors) upon community organisation and negotiation capacity

• Increasing commercial awareness can result in a trade-off against other factors (eg employment generation) which should be considered in selecting project priorities and outputs
