FORMAL AND INFORMAL PRACTICES FOR AFFORDALE URBAN HOUSING Case study: Dar es Salaam, Tanzania MEDARD Z. MUSHUMBUSI Doctoral Thesis in Infrastructure Stockholm, Sweden, 2011 Doctoral Thesis 2011 Kungliga Tekniska högskolan Royal Institute of Technology School of Architecture and the Built Environment Department of Urban Planning and Environment Division of Urban and Regional Studies S-100 44 Stockholm http://www.kth.se/ TRITA-SoM 2011-02 ISSN 1653-6126 ISRN KTH/SoM/11-02/SE ISBN 978-91-7415-882-3 © Medard Z. Mushumbusi i CHAPTER BREAKDOWN CHAPTER - Introduction…………………………………….... 1 1.1 Problem setting………………………………………………...... 1 1.2 Research Problem……………………………………………...... 3 1.3 Aim of the Research. ………………………………………….... 4 1.4 Objectives of the Research………………………..…………...... 4 1.5 Research Questions. …………………………………………..... 4 1.6 Delimitation of the Research scope…………………………...... 5 1.7 Structure of the Thesis………………………………………...... 5 1.8 Significance of the Study……………………………………...... 6 CHAPTER 2 –Conceptual and Theoretical Framework …..... 8 2.1 Introduction ……………………………………………………..... 8 2.2 Formality………………………………………………………...... 10 2.3 Informality……………………………………………………....... 12 2.4 Self Help……………………………...………..………….…….... 15 2.5 Governance……………………………………………………...... 18 2.6 Relation between Formality and Informality................................... 20 2.7 Concluding Remarks…………………………………………........ 23 CHAPTER 3 –An Overview of Urban Housing and Its Regulatory Framework in Tanzania………………………...... 24 3.1 Introduction……………………………………………………...... 24 3.2 Urbanization and its Influence on Housing …………………….. 24 3.3 The National Shelter Strategies………………………………....... 27 3.4 Regulating Urban Land for Housing …………………………...... 35 3.5 Regulating Human Settlements ………………………………...... 38 3.6 Regulatory Reforms in Tanzania- Salient Features ……………… 40 3.7 Housing in Dar es Salaam within the Planning Context ……........ 42 3.8 Concluding Remarks …………………………………………...... 52 CHAPTER 4 – Research Design and Methodology for the Empirical Study…………………………….... 53 4.1 Introduction……………………………………………………...... 53 4.2 Research Design and Strategy…………………………………..... 53 4.3 Selecting Case Study Areas……………………………………..... 55 4.4 Methodological Approach………………………………………… 59 4.5 Data Sources and Collection Techniques……………………........ 59 4.6 Data Analysis Method….……………………………………….... 64 4.7 Reliability and Internal Validity. ……………………………........ 65 4.8 Generalization ………………………………………………........ 66 ii CHAPTER 5 – Findings from Study of Documents and Responses From Key Persons ………... 68 5.1 Introduction……………………………………………………..... 68 5.2 Access to Urban Housing ………………………………….…...... 68 5.3 The Existing Formal Regulatory System ……………………....... 76 5.4 Governance Issues for Land Development Control …………....... 81 5.5 Concluding Remarks …………………………………………. ... 86 CHAPTER 6– Findings from Case Study Areas…………...... 88 6.1 Introduction……………………………………………………...... 88 6.2 Information About the Case Study Areas……………………........ 88 6.3 Results of Hanna Nassif and Kinyerezi Informal Settlements Compared ……………………………………………………….... 95 6.4 Results of Sinza and Tabata Formal Settlements Compared …...... 105 6.5 Cross Case Analysis…………………………………………….... 112 6.6 Concluding Remarks …………………………………………..... 121 CHAPTER 7– Discussion of Findings………………………... 122 7.1 Introduction……………………………………………………...... 122 7.2 Formal Practices ………………………………………………...... 122 7.3 Informal Practices ……………………………………………....... 126 7.4 Governance Structures for Housing…………………………........ 134 7.5 Concluding Remarks ………………………………………..... 139 CHAPTER 8–Recommendations…………................................. 140 8.1 Concluding Discussion………………………………………….... 140 8.2 Recommendations……………………………………………....... 140 8.3 Areas for Further Research……………………………........ 148 REFERENCES ………………………………………………….. 150 APPENDICES……………………………………………………....… 161 iii LIST OF ABBREVIATIONS AQRB Architects and Quantity Surveyors Registration Board CIP Community Infrastructure Project CPD Continued Professional Development CRB Contractors Registration Board DCC Dar es Salaam City Commission DMC Dar es Salaam Municipal Councils EPM Environmental Program Management ERB Engineers Registration Board GSS Global Strategy for Shelter HNCDA Han Nassif Community Development Association IET Institute of Engineers Tanzania iied International Institute for environment and development LGRP Local Government Reform Programme MDGs Millennium Development Goals MLHHSD Ministry of Lands, Housing and Human Settlements Development NBHP National Board of Housing and Planning NCC National Construction Council NGO Non Governmental Organization NH&BRA National Housing and Building Research Agency NHC National Housing Corporation RALG Regional Administration and Local Government SCP Sustainable Cities Project SDP Sustainable Dar es Salaam Project THB Tanzania Housing Bank UCLAS University College of Lands and Architectural Studies UDSM University of Dar es Salaam URT United Republic of Tanzania WAT Women Advancement Trust (now changed name to Human Settlements Trust ) WEO Ward Executive Officers iv LIST OF TABLES CHAPTER 3 – An Overview of Urban Housing and its Regulatory Framework in Tanzania ………..................................................................... 24 Table 3.1: Three phases of urban housing programmes in Tanzania ………… 28 Table 3.2: Quantitative outputs of the Sites & Services scheme ……………... 32 Table 3.3: Quantitative outputs of the Upgrading scheme ………………….... 32 Table 3.4: Steps involved in the land allocation ……………………................ 41 Table 3.5: Dar es Salaam city administrative structure ……………………..... 44 Table 3.6: Number of plots surveyed by government and private surveyors in 38 Dar es Salaam 1996 – 2001…………................................................................ 38 CHAPTER 4 – Research Design and Methodology for the Empirical Study .................................................................. 53 Table 4.1: Criteria Used for Selection of Informal Settlements ……………… 56 Table 4.2: Timetable for the Main Field Study …………………………......... 58 Table 4.3: Total household population (P) and Sample size (N) ……………... 64 CHAPTER 5 – Findings from Study of Documents and Responses From Key Persons…………………………........................... 68 Table 5.1: Recommended plot sizes for one family house …………………… 79 Table 5.2: Ministries with land development functions …………………........ 84 Table 5.3: Institutions and Actors for Housing and Urban Development.……. 85 CHAPTER 6– Findings from Case Studies………........................................ 88 Table 6.1: Differences and similarities in settlements parameters ………….... 121 CHAPTER 7– Discussion of Findings……………………........................... 122 Table 7.1: Two Approaches for Land Ownership and Development ……........ 132 Table 7.2: Strong Point of Formality and Weak Points of Informality..…....... 133 Table 7.3: Strong Points of Informality and Weak Points of Formality ........... 134 v LIST OF FIGURES CHAPTER 2 - Conceptual and Theoretical Framework ……..................... 8 Figure 2.1: Top-down, Bottom-up Interaction for Societal Development …… 19 Figure 2.2: Alternative ways to land development……………………………. 20 Figure 2.3: Conceptualization of Formal-Informal elements in a Process……. 22 CHAPTER 3 – An Overview of Urban Housing and its Regulatory Framework in Tanzania ……….................................................................... 24 Figure 3.1: The administrative structure of local government in Tanzania …. 42 Figure 3.2: Districts in Dar es Salaam Region and their populations ……….. 43 Figure 3.3: Dar es Salaam potential areas for expansion ……………………. 45 Figure 3.4: Growth of the City and its Suburbs (1969) ……………………… 46 Figure 3.5: Dar es Salaam Settlement Planning (1969) ……………………… 47 Figure 3.6 (a): Growing Informal Settlements in Dar es Salaam in the 1970s. 49 Figure 3.6 (b): Growing Informal Settlements in Dar es Salaam in the 1990s. 50 CHAPTER 4 – Research Design and Methodology for the Empirical Study ………………………………..................................................... 53 Figure 4.1: Location of case study areas ……………………………………. 58 Figure 4.2: Research design and process (Case study method)………………. 59 Figure 4.3: Routes followed for the interviews in settlements………………... 63 CHAPTER 5 – Findings from Study of Documents and Responses From Key Persons………………………........................................................ 68 Figure 5.1: Formal and informal development in Dar es Salaam ……………. 75 Figure 5.2: Roles and authorities in three key ministries ……………………. 84 CHAPTER 6– Findings from Case Studies………………........................... 88 Figure 6.1: Hanna Nassif Settlement …………………………………........…. 89 Figure 6.2: Kinyerezi Settlement……………………………............................ 91 Figure 6.3: Sinza Settlement……………………………..........................…..... 93 Figure 6.4: Tabata Settlement……………………………............................…. 94 Figure 6.5: Coexistence in informal settlements …………………………… 114 CHAPTER 7– Discussion of Findings………………………………........... 122 Figure 7.1: Levels of Institutional (top-down and bottom-up) Arrangements ... 129 Figure 7.2: Improvement in Traditional Building Materials.......................... ... 130 Figure 7.3: Levels of Institutional (top-down and bottom-up) Arrangements ... 135 CHAPTER 8– Conclusion and Recommendations………….......…............ 141 Figure 8.1: Proposed levels of regulatory hierarchy (relationships)................. 146 vi LIST OF CHARTS CHAPTER 3 – An Overview of Urban Housing and its Regulatory Framework in Tanzania ……….....................................................................................................