Tipo de autoría: Promotor

50,000 Houses for War Victims

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50,000 Houses for War Victims

Mismatches Functional adequacy Services
Financing Demand subsidies Sustainable development financing Progressive financing Public-private collaboration
Urban Design Urban fabrics Services and infrastructure Inclusion
Promotion and production Participatory processes Self-management

Main objectives of the project

This project has provided humanitarian and financial support to help communities displaced as a result of the Sri Lankan civil war to rebuild their homes. The target is to fund and build 50,000 houses, for an estimated total of 225,000 people. The majority of the houses, 44,000 are self-build, 4,000 will be built by plantation workers, while only 1,000 are to be built by contractors.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: Asia
City: Ahmedabad
Country/Region: Ahmedabad, India

Description

Project Description

Following the prolonged civil war in Sri Lanka from 1983 to 2009, the Government of India took the decision to provide humanitarian and financial support to the Government and people of Sri Lanka to help them recover from the trauma of war. In total, the Government of India is supporting a number of self-help housing rehabilitation/development programmes costing over USD $240 million. Some of this funding is a grant, for example the funding for the 50,000 Houses of War Victims project, and some takes the form of long-term loan assistance.

For this project financial assistance and organisational support has been provided to help internally displaced people to construct their own homes. The target is to fund and build 50,000 houses, for an estimated total of 225,000 people. The majority of the houses, 44,000 are self-build, 4,000 will be built by plantation workers. One thousand houses were constructed by commercial contractors before the owner driven approach was introduced as a more suitable solution. The focus on self-build is designed to give people a real say in their own housing solutions.

The programme focuses on internally displaced people in dispersed, rural areas of Northern, Eastern, Central and Uva provinces of Sri Lanka. The basis of the programme is that people are enabled to return to land and property which they owned and lived in prior to the war. In effect, this means that some families are moving back to the area they left in 2009 or before. 

The houses that are developed are on average 550 ft2 in size, so relatively large compared to those often built as part of rehabilitation projects. The home owners are able to make decisions on the design, materials used, size of the house and whether they wish to add in their own savings or loans to include specific features or make the house larger.

Since the construction work started in 2012, forty-five thousand, two hundred houses of the 50,000 target have been completed. The houses are built on existing sites in villages or new sites provided by the Government of Sri Lanka.

Aims and Objectives

The main aim of the project is to deliver homes for internally displaced people in a quick and sustainable way. These people are the direct victims of the conflict: those who lost homes, property, assets, family members, livelihoods, income and social networks. The other beneficiaries are the plantation workers living in poor housing and environmental conditions for whom 4,000 houses are being constructed.

Though this project is confined to the provision of houses, it has laid a foundation for a people-sensitive and community-driven approach to development. Housing is the crucial first phase in a long-term rehabilitation process that must be eventually followed up by:

  • economic rehabilitation of the families who lost assets, jobs and means of livelihood;
  • rebuilding physical/social infrastructure and economic base of the area lost in the war;
  • rebuilding people, communities and social networks that suffered ruptured relations, shaken confidence, internal divisions and trust deficit and have seen much violence.The delivery of the phases beyond the house-building lie with the Sri Lankan government and the people of Sri Lanka but this project’s contribution is to develop a receptive climate for participative development action which supports future developments.

Context

The Sri Lankan civil war lasted 26 years and left large numbers of houses and public infrastructure damaged or destroyed. Around 160,000 houses were affected in the Northern Province alone. After such a long conflict, community life was shattered with networks and relationships broken down. The economy and governance structures were in crisis. Displaced families returning to their places of origin were housed in temporary shelters, constructed by the Sri Lankan Government, humanitarian agencies or families themselves. Families survived with minimal security and scant protection from the elements. People were living in widely dispersed sites, many in forests with poor road connectivity, no electricity or other services.

This project is working in the districts of Jaffna, Kilinochchi, Mullaithivu, Vavuniya and Mannar in the North and Batticaloa and Trincomalee districts in the East, which were areas of considerable conflict during the war and the most severely affected in terms of human and material losses: houses, physical and social infrastructure, transport, industry, commerce, business establishments, jobs and livelihoods were either destroyed or severely damaged.

Key Features

The focus on self-build housing changed the complexion of the reconstruction process and has planted seeds for people-led recovery.

Adopting an owner-driven approach meant:

  • putting owners in charge of house building instead of contractors;
  • handing over funds and decision making to individual families;
  • entrusting the delivery of the programme to people who are vulnerable (internally displaced people) and who had not recently had experience of being empowered to make decisions. This meant changing ways of working, setting aside apprehensions about shattered communities and discounting arguments that the families and communities would leave houses either incomplete or spend money elsewhere or construct poor housing. The role of the organisations supporting the implementation of the project was key in this regard as they were working with the communities at a local level. Empowering people with responsibility, decision making, money management and giving them a lead role in steering their own development process has enhanced their confidence and self-worth. The impact of this culture of self-help and dignity is demonstrated in the quality of houses built, their own financial contribution in enlarging houses and in the speed of construction as well as in the confidence they display in meeting other challenges.

The potential beneficiaries applied for inclusion in the project and the severity of need was used to for selecting those who would get involved and prioritised:

  • age (priority for older people);
  • poverty (priority for the poorest);
  • number of dependents (priority for the ones with more children and dependents);
  • women-headed families;
  • physical condition of the head of the family (wounded, disabled).

Both the beneficiary selection and grievance redressal systems involved the entire community, as the approved lists were displayed in public places for everyone’s information and intervention. Debate and discussion around the list and the openness of the system to listen to every view and opinion made the process participatory and democratic.

Besides officers of the Sri Lankan Government the four partner agencies, namely UN-Habitat, International Federation of Red Cross and Red Crescent Societies, Habitat for Humanity and National Housing Development Authority provide assistance in the identification and selection of the beneficiaries. The project wanted to serve the most severely affected people in the greatest of need.

The key features of the project can be summarised as:

  • Transparent system for beneficiary selection.
  • Re-settlement in the original village or new sites provided by the Government of Sri Lanka and approved by the community.
  • Making available 15 – 20 prototype house designs to select from with required modifications for climate, local traditions and cost effectiveness.
  • A house no smaller than 550 ft2.
  • Construction on self-build basis.
  • Grant of Sri Lankan Rupees (LKR) 550,000 (USD $3,800) per house towards construction costs.
  • Payment in four installments at specific construction stages through electronic transfer.
  • Facilitation through partner agencies for logistical support and technical assistance for speedy, cost effective and good quality construction via logistical support, technical guidance on construction, assistance in material procurement, quality, time and cost monitoring and account keeping.
  • Physical infrastructure and social amenities provided by the Government of Sri Lanka.
  • An effective grievance redressal system.

What impact has it had?

The project is still being completed and therefore it is a little early to expect it to influence policy or institutional change. However, this model of facilitation by partner agencies has been presented to the Government of India as a way to improve owner participation and the quality of construction in the national housing programme for rural communities.

The project goes beyond accepting the conflict/disaster victim communities’ right to housing and rehabilitation. It provides housing and infrastructure and it provides houses that are better and bigger than the minimum size prescribed and does so in a manner that builds community capacity to meet other aspects of full recovery challenge now.

How is it funded?

The Government of India provided a grant of LKR 34.8 million (USD $240 million) for this project.

Phase I for one thousand houses constructed by contractors at a cost of LKR 1.4 million (USD $10 million).

Phase II for the construction and repair of 45,000 houses had an outlay of LKR 33.4 million (USD $240 million) to cover the following:

  • Payment of fees to the four partner agencies.
  • Payment to beneficiaries for construction of a house – Total of LKR 550,000 (USD $4,000) in four instalments, (LKR 100,000 = USD $700; LKR 200,000 = USD $1,400; LKR 200,000 = USD $1,400 and LKR 50,000 = USD $350).
  • Payment to beneficiaries for repairs to houses – Total of LKR 250,000 (USD $1, 700) in three instalments (LKR 100,000 = USD $700; LKR 125,000 = USD $900 and LKR 25,000 = USD $200).

The cost of land, physical infrastructure and social amenities is met by the Government of Sri Lanka

The houses, both repaired and newly constructed, are ownership assets of the 50,000 families and so the costs of maintenance are the responsibility of the owners. The cost of maintenance of the physical and social infrastructure is borne by the Government of Sri Lanka through its departmental or development agencies.

Why is it innovative?

Self-build construction is not new in Sri Lanka. Houses had been constructed and projects had been implemented using that principle after the 2004 tsunami. What is new and an institutional innovation is the introduction of the partner agency as part of the organisational design for implementation. The facilitation role undertaken by the likes of UN-Habitat, International Federation of Red Cross and Red Crescent Societies, Habitat for Humanity and the National Housing Development Authority is new to Sri Lanka and the support and direction provided by these organisations has been key to the acceptance of the project by target communities and to the success of the project as a whole.

Innovation within a post conflict rehabilitation context can be expressed as follows:

  • Giving in kind, i.e. facilitation support rather than cash (benefitting families directly instead of Government to Government bilateral aid).
  • Self-build on a large scale programme instead of engaging commercial contractors.
  • Transfer of decision making responsibility to thousands of families.
  • Institutional innovation: conceiving, identifying, hiring, deploying and supervising work and performance of four partner agencies as facilitators, while accepting self-help as a community tradition.
  • The principle of “Building People and Communities while Building Houses” put the emphasis on the process as much as the product.
  • A government programme entrusting decision making to communities challenges custom and practice.
  • Investing in building a development platform while delivering a conventional service.

Though a majority of the home builders have used conventional materials and techniques, some innovations have been introduced by the partner agencies. A visit was arranged to Kerala, Gujarat and Maharashtra in India for staff from partner agencies so that they could see innovative materials, projects and experiments. Fifteen engineers and supervisors participated and tried many options such as rat-trap bonds for masonry; filler slabs for roofs; twin-pit systems instead of conventional soak-pit methods for latrines and cement soil blocks in place of bricks were tried out on experimental basis.

What is the environmental impact?

The choice of materials which are locally produced and available, usable by local craftsmen, easily repairable or replaceable, low cost and requiring low maintenance has been the main philosophy of the project. Home builders have been exposed to alternative materials, construction techniques and explained economic, environmental and social benefits. However, the project has not imposed any material or technique or technology on the home builders and the choice always remains with them.

In terms of the resilience of housing to natural disasters, several factors have been incorporated:

  • The structural design and detailing of the houses makes the structures disaster resilient, especially from cyclones and earthquakes.
  • The participatory process of decision making and construction has raised people’s overall awareness of natural disasters and how to reduce impact (bracing walls against earthquakes and roof anchors to stop roofs blowing off during cyclones).
  • The training of masons has also increased awareness and preparedness.

In addition, some of the partner agencies have developed features which help improve the wider environment. UN-Habitat has raised special funds for tree planting and developed a community supported tree planting program in new settlements.

Is it financially sustainable?

In terms of overall housing need in providing 50,000 houses, this project has met a quarter of the needs of the Sri Lankan people. The additional housing required and also the subsequent phase of this programme (focused on economic development and wider infrastructure) will fall to the Government of Sri Lanka to fund.

To reduce future costs for home owners care has been taken to produce houses of:

  • adequate size therefore reducing further construction costs;
  • safe and strong construction against earthquakes and cyclones;
  • good quality workmanship, materials and specifications;
  • reasonable sized plots of land.

What is the social impact?

The ‘owner-driven’ approach of this project has greater objectives than just the reduction in cost of construction through owner’s unskilled self-help labour contribution. The participatory/consultative approach is meant to see them as ‘owners’ and ’clients’ (as opposed to recipients of grants) and gives them decision making power. It has been noted that the system of self-build and decision making has not only improved the construction of the houses but has played a significant role in restoring people’s self-worth and cultivated a sense of dignity.

Housing is the first and the key input in the long term and multi-faceted rehabilitation and recovery process for the individuals and the communities. In the area of physical rehabilitation and full scale recovery much remains to be done in terms of development of infrastructure – physical and social, for example, the restoration of livelihoods, creation of jobs and employment generation. It is in that context that the social capital built through a participatory house building process will be advantageous. Over a year long process of engagement in decision making, responsibility sharing, problem solving, conflict resolving, finance management, delivering and achieving has left a more determined, confident and responsible individual and citizen.

Barriers

Initially the programme met many barriers:

  • lack of infrastructure facilities in the project areas;
  • restricted sand and timber permits;
  • social factors like alcoholism, divorce and separation;
  • increased costs of materials;
  • periodic inclement weather conditions;
  • lack of motivation for some and time constraint for others.

These barriers have been addressed by the project partners by:

  • working with government departments and suppliers to overcome gaps in infrastructure;
  • ongoing communication with government authorities to speed up the issuing of sand and timber permits;
  • the involvement of communities to address social issues;
  • collective procurement after researching sources;
  • adjusting the time of construction to accommodate the inclement weather;
  • activities to encourage motivation within the beneficiaries.

Lessons Learned

The success of the programme has been attributed to:

  • the attention given to factors such as involvement of beneficiaries in their house construction;
  • timely release of funds to beneficiaries;
  • transparency in beneficiary selection process;
  • the use of encrypted messages for transfer instructions to banks;
  • having an organised system of file handling;
  • regular monitoring of the project;
  • flexibility in adaptation to the ground conditions.

Evaluation

The houses have only recently been occupied and the program is still under implementation so no final assessment has been undertaken. However, a range of indicators have been considered during the development of the programme:

  • level of satisfaction of the users;
  • the sense of ownership they display;
  • the investment they make in extensions/upgrading;
  • evidence of togetherness and collective community action. In addition, there have been no cost escalations and no major delays to the construction process.

Discussions have started with local universities, NGOs, international development agencies and communities to undertake feedback studies on the impact of the owner-driven, self-help approach to construction.

Recognition

This is the first time that this project has been submitted for any award. However, the model has been acknowledged by the development partners in Sri Lanka including Diplomatic/UN Missions, INGOs and the Government of Sri Lanka.

Transfer

The model has already been adopted by the Indian government-owned Housing and Urban Development Corporation’s Committee on Rejuvenation and Strengthening of Building Centres Network, which is examining ways to revitalise the network of building centres in the country in order to support large-scale construction programmes. The approach of confidence building, motivating, initiative-taking and empowering the owners has been adopted for the 4,000 plantation workers’ houses, which are yet to be built. Beneficiaries and plantation companies have endorsed the approach. These houses were originally going to be constructed by contractors.

The positive outcome of the project approach, both in the well-constructed houses and in human terms (i.e. confident, self-respecting, initiative-taking communities) suggests the replication potential, not only in post-disaster reconstruction scenarios but also in normal circumstances where the clients are disadvantaged in some way.

Links

Authors:

World Habitat

Reconstruction of Habitat

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Reconstruction of Habitat

Mismatches Cultural suitability Diversity
Policies and regulations Local policies Regulation Governance
Urban Design Liveability Regulación Técnica Participatory processes
Promotion and production Materials Self-construction

Main objectives of the project

This project has helped low-income communities in areas vulnerable to natural disasters to build resilient housing that revives traditional construction techniques and combines them with modern approaches. Programmes for disaster risk reduction and self-build housing have a long history in Mexico, but don’t combine an increase in community resilience, capacity building, sustainable management of natural resources, use of local materials in construction and community development.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: South America
Country/Region: Mexico, Mexico City

Description

Project Description

Since the hurricanes of September 2013, Cooperación Comunitaria has been working in the Montaña de Guerrero region in Mexico.

The Reconstruction of Habitat project was implemented first in the community of Obispo, in the Municipality of Malinaltepec, after assessing the magnitude of the problems caused by hurricanes and is designed to enable replication in other communities.

This comprehensive habitat reconstruction project has improved the living conditions and increased the resilience of the residents of Obispo by:

  • reducing the risks of disaster through the development of a landslide risk map, which has resulted in the relocation of four houses;
  • promotion of the sustainable management of natural resources through practical and theory-based workshops about reforestation to reduce landslides;
  • a community centre which was built by the community and acted as a prototype
  • a practical construction workshop for the subsequent self-build of 33 reinforced adobe houses and 31 energy-saving stoves;
  • recovery of maize crops using agro-ecological[1] techniques.

The project started in September 2013 and finished in June 2015. It has now moved on to its second stage and is being replicated in three other communities of the Montaña region. It takes a comprehensive approach by tackling the multiple dimensions of vulnerability.

[1]The application of ecology to the design and management of sustainable agro-ecosystems.

Aims and Objectives

The main aim of the project is to reduce the vulnerability of the population in the region of Montaña de Guerrero by increasing the resilience of people living at risk and through the comprehensive reconstruction of their housing and habitat.

This is met by the following objectives:

  • Reducing the risk of disasters, increasing resilience of residents through detailed risk analysis and mapping, increasing residents’ knowledge regarding their territory and the risks of disaster.
  • Reinforcing housing for protection against earthquakes and winds through the architectural, structural and materials analysis of traditional adobe housing, and improving their suitability as living spaces by optimising temperature, acoustics and lighting.
  • Recovering the community’s traditional knowledge of their territory, reinforced construction techniques with adobe and sustainable management of natural resources, respecting social and cultural norms in the region, preserving traditional productive spaces.
  • Improving knowledge of agro-ecology techniques in order to limit the use of agro-chemicals, reduce plot rotation, avoid soil degradation, deforestation and therefore reduce the risk of landslides.
  • Strengthening the organisational and decision-making capacity of the community. Strengthening solidarity among residents and recovering traditional systems for community work, such as “mano vuelta” (reciprocal community work).
  • Improving the health of residents, reducing deforestation and the associated risk of landslides through the self-build of energy-saving stoves, which reduce the presence of smoke in the kitchen and the prevalence of lung and eye disease.
  • Strengthening the community’s autonomy by using natural construction materials and reinforcing food self-sufficiency.

The region of Montaña de Guerrero is home to 85% of the indigenous population of the State of Mexico. This project:

  • Directly benefitted 92 Me’phaa or Tlapanecos families whose housing and crops were affected by earthquakes, winds, heavy rain and landslides with: the construction (by the community itself) of a community centre/children’s library, and 33 houses with 31 energy-saving stoves.
  • Indirectly benefitted 275 families with capacity-building workshops on the above mentioned skills (e.g. self-construction with reinforced adobe), as well as community development workshops and risk diagnosis.

Context

Eighty-one per cent of residents in the municipality of Malinaltepec live in poverty. They are in the most seismically active region of the country and in an area where winds can reach up to 120 km/h. Local people are highly vulnerable to and affected by these factors, as well as hurricanes and landslides with 70+% of residents reporting damage to their houses.

In September 2013, Hurricanes Manuel and Ingrid hit western Mexico, causing 200 deaths and affecting 230,000 people. In the region of Montaña del Guerrero, these phenomena caused numerous landslides, affected communication channels and infrastructure, led to the loss of crops and irreparable damage to over 5,000 adobe houses.

In addition to these conditions, migration has also been a factor in the loss of traditional knowledge, both in construction techniques and in the management of natural resources such as forests, which in turn has increased the vulnerability of residents. This loss of knowledge has led to gaps in the application of adobe construction techniques such as: lack of stone foundations and skirting boards in 86% of cases which causes dampness and deterioration of the walls; lack of an internal structure which debilitates the structure as a whole and weakens the corners; and inadequate anchorage from the roof to the walls which affects the resistance to strong winds, causing the roof to blow off.

Residents tend to attribute these damages to traditional use of adobe, when in reality they are due to technical omissions.

Key Features

Women from the community asked Cooperación Comunitaria to help with the reconstruction of their houses which were affected by hurricanes and so the organisation carried out a diagnosis of damage and the causes. When seeing the size of the problem caused by landslides, high deforestation and the impact on crops and houses, Cooperación Comunitaria brought together an inter-disciplinary team: a geologist, biologists, forestry and agricultural engineers in order to carry out an analysis of the risks and combine that information with the traditional knowledge of the community and a geological study of the territory.

The team of architects, an engineer and the community committed to working together to develop and implement a comprehensive project. Risks maps were developed and workshops were carried out to improve the skills and knowledge within the community, to identify how to relocate certain houses and areas for growing crops and to build new houses as well as improve residents’ resilience to future natural events.

The selection criteria for the beneficiaries were: permanent residence in the community, having suffered considerable damage to housing and crops, availability to participate in the community process and willingness to provide labour. Residents from affected neighbouring communities also participated in self-build workshops on using reinforced adobe. Decision making took place at community assemblies at which objectives were defined, internal systems and a project calendar created and committees set up to coordinate construction. Participants had control over each stage of the project. Their active participation in the workshops, which were delivered using participatory techniques, helped with the knowledge exchange between the community and Cooperación Comunitaria, and new techniques were incorporated through learning by doing. Community development officers were trained to supervise and monitor construction and they will act as the technical advisers in the next communities to be included in the programme.

A broad range of stakeholders took part in the workshops:

  • Community authorities: in calling for assemblies and workshops; (Community authorities are a moral and legal entity in the indigenous law system. They have religious and political power in the communities and are recognised by the Mexican government and can sometimes act as representatives of the law).
  • Local authority: providing communication about the activities and the reinforced adobe construction workshops to wider audiences and to other communities; (The local authority endorsed one of the workshops and brought together the community representatives from across all the municipal area).
  • Community Goods Commission: involved in the sale of stone for foundations; (as there are no providers of materials within the involved communities, these materials were instead sourced from the ‘Office of Communal Goods’, which administers the natural resources of the municipality. This meant lower costs and benefits to the local economy).
  • Metropolitan Autonomous University: undertaking tests on the community adobe bricks and land resistance.
  • Guerrero Autonomous University: Diagnosis and landslide risk maps.
  • Cosechando Natural (Natural Farming): advisor on agro-ecology techniques.

SAI Group: structural calculations and resistance simulation in housing for the development of a housing model with reinforced adobe.

What impact has it had?

Cooperación Comunitaria supports the needs of people from rural areas in order to exercise their right to housing. Currently, government bodies are reluctant to use local building materials, classifying these as precarious in the official regulation. Faced with this, the project aims to reclaim the benefits of these materials, proving that they are resistant, adapted to the local climate and culture, less expensive, less polluting and supportive of a better quality of life.

Cooperación Comunitaria is a member of the Mexican Social Production of Housing Network which seeks agreements with national institutions for improved housing. This network participates in the National Habitat Commission, seeking changes in the legislation to increase attention on the qualitative aspect of housing as currently these are purely focused on quantitative aspects.

How is it funded?

After the hurricanes, Cooperación Comunitaria coordinated a fundraising programme in Mexico City in collaboration with individuals and civil society partners. It was this emergency humanitarian fund which covered the initial costs and the initial participatory analysis work be completed. Subsequently, funding was secured from the Merced Foundation for disaster-risk reduction, recovery of maize fields, reforestation and capacity building activities.

The Mexican Federal Government, through the Social Development Institute, provided resources for the construction of the community centre/children’s library. The ‘Sharing with Guerrero’ Fund supported the self-build of 33 reinforced adobe houses and 31 energy-saving stoves.

There were MXN (Mexican Pesos) 2. 5 million (USD $140,000) received for materials, administrative costs, transport, training and learning materials. Cooperación Comunitaria provided another MXN 105,000 (USD $6,000) through donations and contributions from partners, and the support of national and foreign foundations (Misereor, Misión Central, Fundación Sertull y Fundación ADO) for the second phase of the project in three communities.

The community provided labour, produced adobe bricks and pajarcilla (a mixture of clay, water and hay or dry grass) to insulate the roofs, and food and accommodation for Cooperación Comunitaria’s field team. The community contributes both materials and a monetary contribution of MXN 1,000 (USD $55) to a communal loan facility. These savings enable people who cannot provide adobe bricks to access a loan of MXN 3,000 (USD $165) which is used for building materials and which is repayable in one year.

The total cost of a house (materials, labour, eco-technologies) is MXN 117,000 (USD $6,500); or MXN 140,000 (USD $7,700) if you include the costs of the activities (mapping, diagnostic, etc.). Cooperación Comunitaria is registered as a Contractor so is able to obtain government housing subsidies, which represent 58% of the costs (MXN 64,500 = USD $3,500), and the rest is covered by the beneficiaries’ contributions (MXN 1,000 = USD $55) and materials, plus contributions from donors for toilets and stoves.

Why is it innovative?

The main innovation is the methodology for comprehensive community work which reduces vulnerability and improves living conditions. Programmes for disaster-risk reduction and self-build housing have a long history in Mexico, but none of them combine an increase in community resilience, capacity building, sustainable management of natural resources, use of local materials in construction, community development and an economy based on solidarity. The combination of traditional indigenous knowledge as a risk reduction factor and new adaptations to well-established building techniques is another innovation. The participatory comprehensive methodology implemented by Cooperación Comunitaria through an interdisciplinary team ensures the appropriateness of the programme’s objectives and activities in relation to the needs of the communities. The project takes into consideration the community’s cultural, economic, environmental and climatic conditions. It puts forward traditional techniques and proven technology, which are adapted to local conditions, thus guaranteeing their acceptance. Participation in the project helps incorporate the effective use of solutions developed by the community themselves.

This type of innovation can, for example, be seen in the adaptation of traditional housing models. Some elements no longer in use have been integrated into the widespread adobe model such as:

  • stone foundations and stem walls, with added reinforcement from adobe buttresses;
  • concrete frames with fixings for the roof’s wooden frame;
  • larger quantity of nails calculated according to the wind speed and the suction force applied to the roof;
  • improvements in the size of adobe bricks;
  • reductions in joints and horizontal elements for each three courses to improve seismic resistance;
  • pajarcilla for insulation;
  • earth floors to improve temperature control
  • lime-based white paint;
  • translucent panes to improve lighting.

What is the environmental impact?

The increase in knowledge of construction techniques using local materials and eco-technologies, reforestation and landslide risk analysis all contribute to greater awareness of and consideration for natural resources as well as increased community resilience.

Cooperación Comunitaria favours the measured use of local materials in construction, such as adobe, local wood and the organic insulation of roofs using pajarcilla. This avoids the need to transport concrete blocks and steel structures to the communities from the city of Tlapa de Comonfort, reducing CO2 emissions by 22% and preventing the emission of 482 kg of CO2 per house, which translates into a total saving of 16 tonnes for 33 houses. It is worth noting that by using local wood for roof structures, arches, doors and windows, the users of the housing projects expressly commit to planting 10 trees for each house constructed, promoting preservation of resources for future generations. The project includes self-build dry toilets (composting toilets) in each house, which prevents pollution and excessive water use, whilst at the same time protects and increases the quality of arable soil by avoiding the contamination caused by untreated human waste.

The resistance of the houses was measured through seismic and material resistance tests and increased using new elements such as buttresses, reinforced roofs and stone foundations. The main cause of landslides is deforestation. The use of agrochemicals depletes arable land, thus contributing to degradation of forests. The implementation of agro-ecological techniques reduces the contamination of soil and underground water through the reduction of agrochemical use. The increased skills in sustainable forest management, use of energy saving stoves and reductions in crop rotation through agro-ecology has reduced deforestation and the risks of landslides.

The use of open fires generates significant wood consumption, causing progressive clearance of the environment. According to the National Commission for Protected Natural Areas, a rural family cooking on open fires can consume up to 32 mid-sized trees each year. By using self-built energy-saving stoves, 40% of deforestation related to wood consumption has been reduced, preventing the emission of 200 tonnes of CO2 and the cutting of 775 trees each year, promoting the reduction of greenhouse gases. In addition, this comprehensive project includes community workshops on reforestation and awareness-raising.

Is it financially sustainable?

A comprehensive project, Reconstruction of Habitat does not depend on a single funding source. In 2016, it has not only managed to fundraise from a number of foundations but has also established alliances with two other organisations interested in the programme’s social aim: a German international cooperation agency, Misereor; and a Mexican foundation, Fundación Compartir. These alliances have enabled the continuation of the regional expansion of the project and mid- and long-term planning. Other foundations have offered their collaboration or have expressed their willingness to participate in the future under the same scheme, due to the achievements and impact achieved in the short-term. These include Fundación ADO providing funding of MXN 500,000 (USD $25,000) and Fundación Sertull, providing funding of MXN 360,000 (USD $20,000).

The programme requires beneficiaries to have previous savings and access to credit. However, Cooperación Comunitaria thinks that for the most vulnerable people, getting credit without savings puts them in an impossible situation. For this reason, following the operational regulations of CONAVI (National Housing Commission), people can contribute in-kind savings through the provision of adobe bricks, covering 5% of the construction costs. Families receive the support of Cooperación Comunitaria with in-kind savings, their contribution of manual labour and receive personal advice on how to manage their micro-credit. Habitat for Humanity, the authorised Contractor Body by CONAVI and project partner, serves as the financial actor in charge of verifying the savings contribution and providing micro-loans.

Cooperación Comunitaria is developing a system of savings and loans through community funds, which are administrated by the participants themselves. In this way, each family saves from the beginning of the project and when the time comes to contribute to the house, they have capital to act as collateral for the micro-credit. Cooperación Comunitaria has already implemented this model in Veracruz state in a separate programme and it worked well, although implementation takes time.

The use of local materials reduces costs and promotes self-sufficiency, reducing dependency on industrial materials.

A productive space for coffee processing in the house is planned for the second stage, as this is the residents’ main activity. A space will be allocated with a modular roof with mesh for coffee drying, whilst other productive activities can take place underneath the living spaces.

What is the social impact?

Participants were involved in communal work focused on collective collaboration to achieve common goals. Better communication, willingness and cooperation among residents was evident in construction, reforestation and their work on risk analysis, as well as in the commitment of each resident as part of a strengthened community. Likewise, the project organisers have noticed an increase in empathy among members, which has reduced problems and misunderstandings. Also, a greater sense of responsibility in decision-making through the organisation of the project activities was evident, as well as the development of working teams in construction and agricultural activities and when the community reached legal agreements via discussions in assemblies. An example of this is the increased participation of members in assemblies. At the beginning, only leaders would participate, but latterly members engaged in discussions, and Cooperacion Comunitaria became witness to a process driven by the communities – whose members engage in debates about fairness in beneficiary selection, community work, etc.

Working together also increases the organisational and decision-making capabilities of members of the community in the long term. In this way, it facilitates the independent design and development of future projects. The people who participated in the project have shown their ability to judge short-term programmes and their lack of sustainability; they are able to work independently and have a reduced dependency on handouts.

The area has many government programmes that are based on people receiving a monthly monetary sum, with the only requirement being that they attend meetings or events. This is seen as a way of receiving income but does not help people to become self-sufficient. On the contrary, they are dependent on this handout that can stop at any point. The government also runs programmes providing fertilisers and agrochemicals to farmers in the area without them knowing how to use them properly. This project, instead, is looking to promote independence and self-sufficiency, with people being able to produce their own housing and food. Participants increased their construction skills to produce reinforced adobe houses and energy-saving stoves. They have also gained knowledge of the causes of risks in their local area, their role in these events and the importance of the measured use of resources.

People who participated in the project are safer as their houses are resistant to the elements; significantly reducing their vulnerability towards landslides and natural phenomena such as hurricanes, strong winds and earthquakes. In this way, there is increased resilience towards the effects of climate change. The residents have the tools to identify risks in the long term. All community members have access to the risk map, which they can consult when necessary. A year after completion, the houses faced strong storms without any damage. The housing design respects the social and cultural norms of the region and preserves traditional productive spaces (for example for coffee production), and the project reduces the loss of traditional knowledge in construction techniques and resolves the technical issues that lead to damage such as cracks and humidity in walls. Self-build construction of new housing has helped to solve overcrowding situations through the building of new homes for young families. The project has an impact on living and health conditions: natural lighting was improved and thermal and acoustic insulation increased with mud tile floors and pajarcilla insulation in the roof; and the energy saving stoves help reduce the amount of smoke produced, helping to avoid respiratory problems as well.

Barriers

The main barrier faced was the effect of the federal government aid programmes, making people familiar with receiving resources without doing any work. Because of this, the organisation of the project, communication and participation were a challenge at the beginning. This was resolved through assemblies, talks and community development workshops where dialogue, decision-making and participation were promoted and facilitated.

Another obstacle was that prior to the construction of the housing, a road was widened through the whole community, which involved works that complicated construction logistics and made the attendance of some stakeholders at the assemblies difficult. Logistical arrangements were adjusted, the wood from felled trees was put to use once the road was open and the construction concluded before the rains as planned.

Lessons Learned

The main learning point for the project was being able to adjust the finance and work schedule in line with the activities of community members, taking into account agriculture cycles and cultural celebrations within the community. This helped Cooperacion Comunitaria better understand the community’s pace and way of working.

Another important point was knowing more about their culture, rituals, medicines and traditions, which helped them to adjust the project for the next communities in the same local authority area, with whom they are currently working.

Whilst finishing the Community Centre some modifications were made following residents’ comments, which allowed some structural modifications to be made with the engineer in order to facilitate the construction process. The programme is continuing to improve the techniques of lime-paint, floors, the ways of using pajarcilla for insulation, etc.

Evaluation

The impact of the project has been assessed by obtaining baseline indicators, through a community audit. The results were compared with those obtained at the intermediary and final phases of the project. Qualitative indicators were assessed with techniques such as ethnographic analysis and a community biography in the initial stage, which provided data on appropriate living spaces, cultural use of spaces and adaptability. Surveys and technical diagnoses were carried out, measuring damage, risks and gaps, which provided baseline indicators. Four follow-up visits have been carried out following the end of the project in 2015.

Recognition

  • 2015 Razón de Ser (Raison d’être) Award, Sustainable Habitat category, presented by Merced Foundation and Kaluz Foundation.
  • Semi-finalists for the 2016 Fuller Challenge, Buckminster Fuller Institute.
  • Representative in the Mexico pavilion, 2016 Venice Architectural Biennale.
  • Enlace Ciudadano (Citizen Link) programme in CDMX radio, presentation on projects and perspectives, July 2015.
  • Project presentation in Ciudadana (Citizen) Radio, November 2015.
  • Participation in HIC-AL publication “Transformative Experiences in Social Production of Habitat”.
  • “Obispo residents: traditional knowledge incorporated to strengthen their resilience” Article published by UNISDR.
  • Visitors have included HIC-AL/Franciscan Central Mission (Germany); MISEREOR (Germany); ADO Foundation (Mexico) and National Housing Commission – CONAVI (Mexico).

Transfer

This project is currently being replicated in three communities in the same local authority area (San Miguel, Laguna Seca and Moyotepec). Since October 2015, they have completed a socio-economic audit, risk analysis and mapping, as well as building a traditional medicine centre (which served as a practical example for the construction workshop).

Community workshops on risk reduction, community development and capacity building in construction of reinforced adobe housing have taken place. They will build 81 energy-saving stoves, 60 dry toilets and 110 reinforced houses, as well as three community garden centres with native species for reforestation. Capacity building activities will be carried out on resource management, cooperative development, self-build and eco-technology maintenance and six community development officers will be trained. In order to replicate the project, Cooperacion Comunitaria have acquired the certification needed to be able to transfer a federal subsidy from the National Housing Commission (CONAVI) to the residents, applying the constitutional right to housing for any Mexican citizen.

Through partnerships and presentations, 17 communities have come forward to ask to be involved in the development of similar projects, which are currently being considered. One of Cooperación Comunitaria’s programmes is focused on research into adapting living spaces to their context. In the case of Montaña de Guerrero, the project has already been implemented and tested and for this reason they plan to work with the same approach in the same region, in communities keen to work with them.

The methodology developed by Cooperación Comunitaria was designed to adapt to different geological, climatic, social and cultural contexts. Participation of the residents ensures the relevance of the activities in relation to the needs of each place, through the stages of needs analysis, architectural analysis of traditional housing, diagnostic and prevention of disaster risks, participatory housing design, capacity building, adapted housing and sustainable management of public resources. In that sense, the project is fully transferable to marginalised rural areas in Mexico and other countries that are exposed to disaster risks, even if the solutions developed are unique to each community.

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World Habitat

Promoting Eco-sanitation in Informal Settlements

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Promoting Eco-sanitation in Informal Settlements

Mismatches Functional adequacy Cultural suitability Vulnerable groups
Policies and regulations
Urban Design Environments Quality Equity
Promotion and production Self-management Cooperatives

Main objectives of the project

This eco-sanitation project enables marginalised communities in urban informal settlements to access basic services through the community-led provision of bio-centres, which provide toilets and bathrooms and an additional floor for housing, offices, business spaces, etc. The community development process enables people to gain skills and a strong sense of ownership and to deliver an eco-sanitation facility that fits local needs. To date, over 70 bio-sanitation facilities have been put in place across Kenya.

Date

  • 2015:

Stakeholders

  • Promotor: World Habitat

Location

Continent: Africa
City: Nairobi
Country/Region: Kenya, Nairobi

Description

Project Description

Through this eco-sanitation project, the Umande Trust seeks to involve marginalised communities living in urban informal settlements in accessing basic services through community-led provision of bio-centres. The Trust facilitates community participation and provides training and support to enable informal settlers to lead on the planning, design and management of the facilities. This community development process enables people to gain skills and a strong sense of ownership, and to deliver an eco-sanitation facility that fits local needs.

The facility is made up of a bio-sanitation facility (toilets, bathrooms) with an additional floor for housing, offices, business spaces, etc. The bio-gas generated from the facility provides clean energy for cooking and lighting.

The project started in January 2013 and, to date, has successfully put in place over 70 bio-sanitation facilities across Kenya in five counties: Nairobi (in Mukuru, Kibera, Mathare, Korogocho and Kibagare settlements), Kisumu, Nakuru, Embu and Kirinyaga. Five of the completed facilities also include a total of 23 housing units. These facilities are spread across schools and other institutions, urban informal settlements and market places around the country. The projects have so far worked with 70 self-help groups or community-based organisations and delivered facilities that each receive around 500 people per day.

Aims and Objectives

The overall objective of this particular project is to increase the use of eco-friendly sanitation technologies and their by-products for improved health and livelihoods in the informal settlements in Kenya by means of improved management of human waste, increased access to sanitation services and safe water through the construction of the sanitation facilities (bio-centres).

The initiative responds to issues that communities in informal settlements face in terms of lack of access to sanitation, inadequate housing and water crisis. Beneficiaries include:

  • community groups who manage the facility and benefit from economic returns from the use of toilets and from the businesses within the building such as kitchens, internet cafés, nurseries, etc.;
  • households living and working near the facility through improved sanitation;
  • disabled people, given the provision of accessible toilets;
  • children in school through improved sanitation and educational activities linked to some bio-centres such as libraries, gardening and environmental awareness activities;
  • community-based hygiene promoters through improved sanitation and increased opportunities to raise awareness of hygienic practices;
  • community-based workers who earn an income from being involved with the construction;
  • the residents of the five bio-centres (three in Mukuru, one in Korogocho and one in Kibera) that have built 23 houses between them through good quality affordable housing. These residents are from the informal settlements and have been chosen by the community groups;
  • the users of the by-products (residents and businesses within the facilities) have cheap access to energy for cooking, lighting, etc.;
  • the users of the additional services offered, i.e. internet connection; community courses on environmental issues, micro-credit, social audits; spaces for meetings, rehearsals and the screening of football matches.

Currently, only the occupiers of the building can make use of the bio-products. However, in the next five years Umande Trust plans to have a factory that can process and store the bio-gas in cylinders and the manure in containers. This will serve residents, households and small-scale businesses within the informal settlements.

Context

Around Kenya, houses in informal settlements are characterised by low-lying, non-permanent structures constructed of walls and roofs made of mud or iron sheet and concrete floors. These houses generally lack access to toilets, bathrooms, sewerage systems and proper lighting. As urban growth increases, the quality of the environment across informal settlements is deteriorating at an alarming rate. This is manifested in the loss of bio-diversity, the accumulation of solid waste and faecal matter, the increasing prevalence of disease and other indicators of low quality environmental factors. The geographical location of many informal settlements, which are often found in valleys, high risk zones etc., makes them difficult to access, leading to complex water and sanitation issues.

The limited access to sanitation means that residents have to use inadequate methods for waste disposal such as buckets, flying toilets[1] or open defecation. This hygiene disaster has created numerous disease outbreaks of cholera, dysentery and diarrhea. Various measures have been taken to help improve access to water and sanitation; such as communal pit latrines, portable toilets etc., but had not been able to tackle the scale and depth of the problem.

The eco-sanitation facilities (bio-centres) are designed by the community group to address the issues that the community faces in accessing decent sanitation, and other needs such as the lack of housing and multifunctional spaces.

[1] Use of plastic bags as toilets, which then get ‘flung’ away – hence the term ‘flying toilets’

Key Features

Umande Trust believes in community-led processes based on the full and effective participation of all stakeholders. The scope of activities within the programme include initial selection of the community group who will lead the delivery of the construction, research to determine the scale and location of the toilets, training the group on hygiene promotion, financial literacy and governance and the construction of the sanitation facility.

Initially, the Trust sends out a call for community groups to apply to manage the bio-centres, using posters placed within the informal settlements or via key stakeholders such as village elders, ward-level local government officers or members of the county assembly as a way of reaching community based groups.

The characteristics of a community group suitable to lead this work include:

  • Groups that have been in existence for more than six months.
  • A group with a set of values and focus or activity that binds them together already and where the income from the bio-centres is complementary to existing income streams rather than a sole source of income, for example:
  1. table banking: where members meet once every month, place their savings, loan repayments and other contributions on the table then lend either long-term or short-term loans to one or a number of interested members.
  2. merry-go-round: where members contribute a small sum of money on a regular basis and each time money is collected, the full sum is paid out to one of the members. The members take turns to receive the pay-out, so after one full cycle, every member of the group has had a turn.
  3. environmental groups that focus on waste collection, cleaning the environment or tree planting.
  4. art-based groups such as dance classes, yoga, drawing etc.
  • Groups that have been legally registered by the Government of Kenya, under the Ministry of Gender, Children and Social Development. Under the constitution, the group would have outlined how often they should meet and by looking at their records the Trust are able to see if they are following the objectives laid down in their constitution.
  • Groups that invest in their members by loaning or buying assets that will increase the membership of the group.
  • Some community-based groups involve purely women or girls but where there is a gender mix, the trust operate a 2/3 rule (i.e. a maximum of 2/3 of the management is male).

Once a group has been chosen, a design session is held in which they give inputs into what they want the building to look like as part of developing a work plan. The activities start with a survey to determine the number of users and their attitudes to fees for using the services. This involves quantifying the number of households in the informal settlement to establish potential demand to guide the design process.

The programme aims to build the capacity of the community-based organisation to manage the facility by offering training on financial management, marketing and governance, hygiene promotion, entrepreneurship skills and management skills so they can run the facility in a transparent and accountable manner. The design of the bio-centre is undertaken by the Umande Trust and the community so that the groups have the chance to choose what they want in the spaces built above the sanitation facilities. The groups are also in charge of hiring labourers from within the community. These people are trained on the job and earn some income from their work, while also gaining construction skills that they can use to gain employment. Umande Trust offers technical guidance through the process.

The money for the construction is deposited in the group’s bank account for easy accountability and management and in order to train the group to be accountable. For transparency, periodic accountability sessions are held to determine how much money has been used.

The construction phase itself consists of three stages:

  1. The construction of a bio-digester underneath the ground.
  2. Construction of the sanitation facility, toilets (female and male) with both sides containing specific toilets for people with physical disabilities and children.
  3. Construction of the housing units or other spaces on top of the sanitation facility.

Once the construction has been completed the group takes charge of managing the project with Umande Trust staff monitoring their progress and acting as advisor to the group. The Trust works closely with the county government and relevant ministries who are in charge of approvals i.e. of the land which is acquired through the groups and also the provision of water to the sanitation facility.

They also work with donors, who provide three types of funding:

  1. Donor funding/grants: these are funds that a donor has provided as they have seen a need that they want to address. These funds are supplemented by the group in terms of sweat equity.
  2. Loans: under the Umande Trust’s Sanitation Development Fund groups are able to apply for funds for the construction of these projects.
  3. Social entrepreneurship: this is the consultancy wing of the Umande Trust where expertise in the construction of the bio-centres is sought either from schools or public/private institutions.

What impact has it had?

The project has succeeded in developing an impact on the plans of local authorities and at a county-level, the bio-centre technology has been identified as a priority in ward development plans by the County Government. This has been achieved via a Memorandum of Understanding between the Umande Trust and the County Government which focuses on demonstration projects in the counties of Kisumu, Machakos and Busia. The local authorities in these areas have allocated funds to implement the bio-sanitation model as pilots within schools and market places to the tune of Kenyan Shillings (KES) 23,000 (USD $230,000). There is also an ongoing discussion on the development of a Memorandum of Understanding between the Umande Trust and Nairobi County, on the integration of the bio-sanitation model within health provision.

How is it funded?

The bio-centres are mostly funded through a mix of community contributions and international donor funds from organisations such as the French Development Agency, Oxfam GB, the Bill and Melinda Gates Foundation, the Swedish Embassy, the Finnish Embassy SustainableEnergy, etc. The local or national government and its agencies, such as the Nairobi Water and Sewage Company have also offered support. This income has been achieved as a result of fundraising activities by the Umande Trust but also individual schools/organisations.

For example, the implementation of one of the bio-centres in Mukuru started with an initial grant from the Embassy of Finland in Nairobi, and a Finnish civil society organisation, Wimma Liikuttaa ry. The total amount of this grant was KES 3.5 million (USD $35,000) and was used to cover the capital costs of the construction of the whole project: the toilets, bathrooms, housing, installation of bio-gas cookers and lighting in the houses.

The local community group within Mukuru contributed approximately 20% of in-kind support by undertaking the management of the excavation of the site for the bio-digester, ensuring the wider community were able to participate and managing the labourers, who came from the local community and who were paid for their work within the budget. The members of the group will provide security of the materials that will be in use during and after construction and project staff and labourers are also taken care of as not all settlements are safe. The Kenyan Government also contributed a lump sum of approximately KES 60 million (USD $630,000) to support the programme.

Since starting the project in 2013, the Umande Trust has made some changes to their financing model for the bio-centres, moving from a Build and Transfer model to a social entrepreneurship model which operates on a Build-Operate-Transfer basis. This revised approach works by supporting the construction of sanitation facilities by groups who are capable of managing the process and who have the prerequisite space and approval documents from the Government. The Umande Trust then enters into an agreement to provide a loan which will be recovered from the operation of the facility over an agreed period of time. Upon recovery of the capital investment and agreed interest, the facility is entirely transferred to the group concerned to run as a business venture for the benefit of all the members of the community.

There are three types of bio-centres:

  1. Bio-centres based in or near market places, serving traders and customers.
  2. Bio-centres based in residential areas, serving the residents within the informal settlements.
  3. School-based/community-based bio-centres serving users of these facilities in the area.The design of the bio-centres themselves is chosen by considering the population that will use the sanitation facility and the costs of construction might be as low as KES 1 million (USD $10,000) or as high as KES 5 million (USD $50,000) depending on the size and specification of the facility.In terms of the costs of the housing units, the usual housing costs in the informal settlements range from KES 2,500 (USD $25) to KES 4,500 (USD $45). The lack of access to basic services at home means that the residents are forced to cover the cost of toilets, water services and cost of fuels from their daily income. In comparison, the cost of the housing units at the bio-centres is of KES 5,000 (USD $50) for a large room and as low as KES 2,500 (USD $25) for a small room with amenities included: toilets, bathroom services, water and bio-gas for cooking and lighting. The revenue from the rental of these properties is managed by the community.

The bio-centres have been designed to be self-sustaining through income generated from the services offered: toilets, bathrooms, bio-gas, housing and rental space. As the bio-centres are constructed in different settlements there isn’t one generic model. Some bio-centres earn up to KES 91,000 (USD $900) a month with others earning as little as KES 30,000 (USD $300), depending on the size of the facilities and the levels of usage. The centres achieve an average income of KES 50,000 – 60,000 (USD $500 – 600) a month, which is paid into the bank account of the community group.

Why is it innovative?

Innovative design responding to multiple needs for sanitation, energy, income, community activities/services and housing: The eco-sanitation model of the bio-centre responds to the need for the provision of dignified sanitation and also to the high demand for energy by supplying safe bio-gas to households and by providing natural compost to improve urban gardening. Bio-gas use replaces the use of conventional fuels like kerosene or wood fuel, which in the long run supports the conservation of the environment by protecting forests. Beyond the provision of sanitation, the multifunctional facility provides spaces to include activities, businesses and services that the community has identified for the benefit of their neighbourhood, expanding the benefits to include income generation and social impact.

Use of technology: There are several technological innovations within the bio-centres, such as sensors at the entrance and counter systems in each toilet that provide a headcount of all the people accessing the facility. The bio-centres also include the use of digital platforms for payments such as M-Pesa and Kopo Kopo (operating systems for mobile payments), or BebaPay (a system supported by Equity Bank and Google that uses the Near Field Communication (NFC) technology. Users tap a card on their phone and the service charges are deducted and transferred directly to the group’s bank account). In this way, the community members and bio-centre managers can avoid dealing with cash directly, which has improved the control and security of financial assets, helped increased trust and transparency in handling finances and made the use of the facilities quicker and more efficient.

Community governance through design process and management: Their construction governance procedures ensure that community groups and neighbourhoods are at the driving seat in proposing and determining the architectural design and plan of the proposed bio-centre. Before construction, each community group establishes task specific teams to play key decision-making roles in construction, operation and management.

Examples of sub-committees:

  • Procurement and tender committee: ensuring transparent and affordable access to building materials;
  • Works team: responsible for planning and implementing works;
  • Audit team: responsible for audit reports during regular (monthly and quarterly) accountability sessions between members and staff of the organisation;
  • Business management committee: tasked with business planning and development of the facility as well as post construction management (hygiene, bio-gas, accounting etc.);
  • Executive committee: responsible for overall coordination and compliance with the Memoranda of Agreement.Community shareholding scheme: This scheme, designed for basic urban services, is to ensure that individual members of the community-based groups managing the bio-centres benefit from a profit-sharing scheme. The business plans in place stipulate that 60% of the incomes are allocated to members as dividends; 30% is set aside for operation and management and 10% is deposited in the Umande Trust’s Sanitation Development Fund.

What is the environmental impact?

The environmental issues addressed include sanitation, land and water pollution, renewable energy and atmospheric pollution. The project promotes renewable energy helping the shift from wood, charcoal, kerosene and gas to biogas for cooking. Bio-sanitation closes the loop in the waste management process by turning human waste into a resource. The bio-centres apply ecological sanitation principles to ensure that human waste is turned into valuable bio-products by producing gas through bio-digester systems and producing fertiliser as a by-product.

One standard bio-digester produces at least 12 m3 of bio-gas (1 m3 of bio-gas will generate 4,500–5,500 Kcal m2 of heat energy when burning effectively). This heat is sufficient to boil 100 litres of water or light a lamp with a brightness of 60 – 100 watts for four to five hours. And 30 m3 of biogas is equivalent to 18 litres of diesel oil. This renewable energy source has been used to power commercial and household activities within the facilities. Estimating an average per capita consumption of 3 kg of wood per day for energy (cooking, heating and boiling water) per household, the daily per capita demand of energy equates to approximately 6 kWh which could be covered by about 1 m3 of bio-gas. Biogas use, replacing conventional fuels like kerosene or firewood, helps in the conservation of the environment, in particular the trees surrounding the informal settlements. In addition, the bio-gas digester effectively reduces the amount of methane directly released into the atmosphere, by trapping it and facilitating its use as a green fuel.

The bio-centres also positively impact on the surroundings of the facility. Cases of flying toilets and open defecation within the informal settlements have dramatically decreased in areas where bio-centres are located. This containment of human waste also reduces the pollution of water bodies and helps to curb water-borne diseases. The bio-slurry produced by the bio-centres is currently used for urban greening in areas with space in the local area, improving the environment for residents and some of the bio-centres have embarked on activities to promote urban farming and tree planting. For example, the bio-centre within Mashimoni Primary School has organised an agriculture club.

Is it financially sustainable?

The project is self-sustaining as the bio-centres generate income from the use of the toilets, bathrooms, bio-gas and the rentals from the business space and housing. Approximately 300 people use the facilities on a daily basis each paying KES 5 (USD $0.05) for a toilet and KES 10 (USD $0.10) for hot water in the bathroom. Bio-gas is charged at KES 10 (USD $0.10) whereas traditional fuels such as firewood, kerosene cost KES 81 (USD $0.80) a litre and briquettes KES 20 (USD $0.20) respectively.

The centres achieve an average income of KES 50,000 – 60,000 (USD $500 – 600) a month which is ploughed back to finance future activities that may arise for consideration from the project and are then distributed as follows:

  • 60% is shared out as dividends to group members to be used as savings for members and/or can be used as loans to individual members.
  • 30% is used for the operational expenses of the facility including a salary for the caretaker, management fees, repairs and maintenance.
  • 10% is paid as a contribution to the Sanitation Development Fund which is a revolving fund financing sanitation owned and operated by Umande Trust for the benefit of the community group and to enable other facilities to be set up across the settlements in order to meet the growing demand for better services.

As donor funding has decreased, this revolving fund has been used as a way to help groups get loans for sanitation facilities and pay these back with 10% interest after completing the construction of the facility. This model was developed given demand from not only community groups but also institutions and landlords who weren’t able to get support from financial institutions or the government. This helps a greater number of people to access the funds lowering the reliance on other funding agencies and allows individuals, institutions or communities get funding and scale up the improvement of sanitation in low-income urban settlements.

The bio-centre involves many different stakeholders at a local level within communities and has generated both part-time and full-time work opportunities for the local community. Youth groups have particularly benefitted from the income generating opportunities attached to the bio-centres and the jobs associated with the construction of the facility. For example, in Lunga Lunga, the youth groups used their savings from the bio-centre to buy car washing equipment and employed other local young people to wash vehicles. Local people have also been able to access loans to start new businesses using the income from the bio-centres as security. The cashless system used provides more accuracy and transparency, making the project more financially sustainable and reducing risks of financial mismanagement.

The rates charged for renting the housing varies based on the size of the rooms and the local market conditions. They are generally in line with the cost of housing in informal settlements but offer housing of a much higher build quality and with access to sanitation. The costs of the energy coming from bio-gas are lower than conventional fuels and sources of energy/lighting and are relatively affordable for their users.

What is the social impact?

The approach also includes the establishment of working groups of people from the community who focus on areas such as finance, energy and sanitation, all of which helps strengthen ownership and participation. This participatory approach also enhances the involvement of women and young people. Through the project, they have had the chance to contribute towards community development through the setting up and running of the bio-centre and/or by initiating their own projects through the self-help groups within the settlements.

Community groups can manage the bio-centre effectively and this has been made possible through the training provided in the capacity development strategy on a range of topics including accountability, promoting hygiene, leadership, procurement and tendering procedures, record keeping, financial management and reporting, governance, etc. These, and other skills gained, allow members of local communities to have a means of earning a living.

The community spaces provided in the facilities have created a platform for dialogue amongst residents and as an opportunity to share common issues and offer a space for leisure activities (watching football matches, music rehearsals, etc.), and other services such as training, access to the internet etc. Some bio-centres incorporate community halls that allow for meetings and discussions to be held between leaders and residents or just for residents to use discuss issues or undergo training.

The dividends received from the income goes to the community groups and are used to support the community in a variety of ways. Increased access to sanitation facilities reduces the costs associated with seeking medical attention for water-borne diseases thereby reducing household bills. Frequent hygiene promotion activities are carried out by the group members in the neighbourhood and these directly involve residents, who are encouraged to get involved in community ‘clean-up’ activities and to dispose of waste correctly. Community education and sensitisation on conservation and hygiene have increased people’s awareness of the importance of practices such as hand washing after using the toilet to reduce disease outbreaks within the community.

Access to water, proper sanitation and bio-gas fueled stoves has lowered the incidence of common diseases such as eye infections, respiratory disease, smoking-induced coughs, diarrhea, dysentery, cholera and parasites among both adults and children. Women and children experience fewer bronchial problems and can expect to live longer; in turn the money they would use on going to hospital is saved.

The facilities are designed to be accessible to people with disabilities, which makes this an inclusive solution, which is appropriate for all ages and all physical conditions, hence reducing inequalities in terms of access to sanitation. An additional outcome that has been noted is that people living in the areas close to the bio-centres have started upgrading their own housing in line with the improvements made to their local area.

Barriers

Since the construction of the first bio-centre coincided with the general elections in 2013, there was a fear that the construction area would be unsafe due to civil unrest. This led to delays in the supply of materials and higher costs for materials as suppliers delayed transporting materials as tension was still high at the time and the increased prices were caused by suppliers attempting to protect themselves from losses.

The construction also coincided with a rainy period which led to the excavation site becoming water-logged. Some informal settlements have narrow roads making them inaccessible which made it difficult for lorries to access the site.

These challenges were addressed as follows:

  • A partnership with the local administration helped provide security which was maintained through frequent visits by the Local Administration Chief.
  • Signing a Memorandum of Understanding with different suppliers delivered a wide range of materials at different prices.
  • The lack of access to the site provided employment opportunities for young people in the area as they were used to carry materials from the drop off point to the site using wheelbarrows.

Some barriers remain in terms of resource availability, cultural barriers to using energy from waste and spaces that are linked to sanitation and limited dissemination of knowledge. There is unmet potential in terms of wider provisions of eco-sanitation but the Umande Trust aims to keep on partnering with communities to increase awareness of the benefits of the bio-centres.

Lessons Learned

  • Community participation in the management of services creates a sense of ownership and increases their responsibility.
  • Partnerships helped the organisation and communities to achieve their goals, which would otherwise be difficult to achieve.
  • Opportunities for joint planning and for periodically reviewing the project proved worthwhile as this helped raise awareness of the priorities for the organisation.
  • Community contracting and work-related interventions add value to poverty reduction strategies as they offer employment opportunities.
  • Integrating community contributions including at inception and design stages of the project help with a strong sense of ownership.
  • Income from facilities can provide an alternative source of finance for landlords.

Clear messages through targeted marketing are key as they can challenge and over the stigma associated with the use of bio-gas and bio-slurry from human waste. Effective marketing strategies have included:

  • Open days: where communities are able to access the toilet free of charge on a particular day or cook using bio-gas without paying.
  • Hygiene promotion: involving group members training residents on cleanliness and proper hygiene.
  • Different pricing: depending on the time of day, with higher rates charged at peak times (early mornings and evenings) helped with income generation and also helped lots of members of the community to access the facilities.

Evaluation

A range of tools are used by the Umande Trust to evaluate the programme:

  • Business plan with quarterly monitoring and reporting.
  • Financial reports including annual audits to review the progress of the groups.
  • Field visits by Monitoring and Evaluation (M&E) officer and Area managers.

Links

Authors:

World Habitat

Urban Shelter Project

0

Urban Shelter Project

Mismatches Functional adequacy Vulnerable groups New family structures
Urban Design Urban fabrics Environments Inclusion Equity
Promotion and production Public promotion Participatory processes

Main objectives of the project

The project works with Jordanian owners to refurbish uninhabitable properties to create homes. These are leased to Syrian refugees, rent-free for 18 months.  Funds are used to subsidy the refurbishments, which has a positive impact on the local economy by increasing the availability of housing and providing jobs, which helps to reduce conflicts between refugees and local people. To date, over 5,000 housing units have been improved, providing housing for over 18,000 refugees and creating over 20,000 short term employment opportunities.

The project works with Jordanian owners to refurbish uninhabitable properties to create homes. These are leased to Syrian refugees, rent-free for 18 months.  Funds are used to subsidy the refurbishments, which has a positive impact on the local economy by increasing the availability of housing and providing jobs, which helps to reduce conflicts between refugees and local people. To date, over 5,000 housing units have been improved, providing housing for over 18,000 refugees and creating over 20,000 short term employment opportunities.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Country/Region: Jordan

Description

The Urban Shelter Project creates new housing units in Jordan for Syrian refugees to live in rent-free for 18 months. The project works with local property-owners whose properties are uninhabitable because they are unfinished or incomplete. The Norwegian Refugee Council provides funding to bring the properties up to acceptable standards. The refurbished homes are leased by the owner to a refugee family, rent-free for 18 months.

Norwegian Refugee Council also provides legal assistance services to Syrian refugees in regard to their rights and access to legal and civil documentation, refugee registration procedures and housing, land and property rights (including evictions, and landlord/tenant disputes).

To date, the project has:

  • Created 5,100 units benefitting 1,106 landlords.
  • Provided 18,127 refugees with shelter, 83% of whom are women or children.
  • Created 20,400 short term employment opportunities in northern Jordan, where, in the city of Irbid, the unemployment rate is the second-highest in the country at 21%.
  • Re-vitalised local economies by investing USD $10 million locally.

The project is ongoing and is continuing to fundraise to renovate additional properties.

Aims and Objectives

The main objectives of the project are:

  • to ensure that Syrian refugees can access suitable shelter;
  • to ensure the protection of vulnerable people;
  • to ensure that refugees know their rights and can voice those rights.

The high number of refugees in host communities is putting increased pressure on the local housing and labour market. This is a key source of tension between Syrian refugees and Jordanians. An estimated 20% of Syrian refugees living in host communities do not have rental contracts, which means that they are at constant risk of being evicted. This lack of security of tenure impacts on their ability to stay registered with refugee and Jordanian authorities, which is necessary in order for them to access humanitarian and state-provided services. This project therefore aims to:

  • Provide a secure, adequate and affordable shelter to vulnerable [1] Syrian refugees in out-of-camp areas of Jordan.
  • Limit the increases in rent prices at a local level by increasing the number of housing units.
  • Invest in the local economy, directly through conditional cash grants to Jordanian landlords and indirectly by creating income generation opportunities for skilled and unskilled labourers in the construction sector.

[1] Vulnerability criteria are used to assess those who would benefit the most from the intervention – single parents, single mothers, families, people with disabilities, people with a large number of young children. Preferential treatment is offered to these groups.

Context

Northern Jordan has experienced an enormous influx of refugees fleeing from the war in Syria. More than 635,000 have been registered by the United Nations since the war began in 2011. Whilst several large refugee camps have been built, 82% of Syrian refugees live outside the camps, mainly in cities and towns in the north of Jordan. This has created a significant additional demand and competition for housing, the impacts of this are felt not just by the refugees, but by Jordanians who have seen increases in housing costs.  As the conflict enters its fifth year the vulnerability of refugees increases as their ability to pay for services including housing decreases.

Eighty-six per cent of Syrian refugees are now living below the Jordanian poverty line. According to the UNHCR Vulnerability Assessment Framework Baseline Survey, 50% of the Syrian refugees outside camps are highly vulnerable from a housing point of view. Many Syrian refugees in Jordan are unable to secure adequate shelter for their families. One in five Syrian refugee households live in shelter which cannot offer them basic protection from the elements and may have leaking roofs or plastic sheets in place of windows. Almost half of all accommodation rented by Syrian refugees is also visibly affected by mould and moisture which has a negative impact on family health.

The latest nationwide statistics show that the main sources of income for Syrian refugee households are:

  1. Food assistance (25%);
  2. Income from unskilled labour (23%);
  3. Borrowing money (19%);
  4. Income from skilled labour (10%).

Some 23% of the refugee households assessed live in accommodation where kitchens and bathrooms do not meet minimum standards. In addition, the large refugee influx has significantly impacted on local rent prices, which have gone up by 13% compared to pre-crisis market prices.

The project strives to address the root of the housing crisis, contributing to an increase in the adequate housing stock in Jordan, as well as impacting on the local economy and social cohesion through the clear investment in the host community.  The project takes an integrated approach to the needs of refugees by first providing access to adequate shelter and then working to meet other housing needs, including security of tenure, providing conflict dispute resolution and giving support with documentation and legal assistance as required.

Key Features

Beneficiaries are selected by using the Vulnerability Assessment Framework Baseline Survey (using the VAF Welfare model 2015). Fifty per cent of the Syrian refugees outside the camps are highly shelter vulnerable. The majority of their monthly expenditure is spent on rent.

The Norwegian Refugee Council adopted various measures to ensure beneficiaries and local partners were involved and played an active, meaningful role in the programme:

  • Community Based Organisations and local authorities play a key role in disseminating information and referring potential property owners to the project;
  • Beneficiaries are offered but have the right to refuse a property if they have valid reasons not to live there; and
  • Syrian refugees have been involved in identifying the key vulnerability criteria used to assess people’s involvement in the project.Feedback from the people who are housed through the project is used to improve services and ensure accountability to beneficiaries. This information is collected through a variety of means such as surveys and one to one household interviews. Information, counselling and legal assistance work involves day to day listening and understanding the issues of Syrian refugees and trying to find real-time solutions to them. Landlords are included in this process and are also able to provide feedback and request assistance throughout the term of the lease. The project’s implementation is also coordinated with the local government through a Memorandum of Understanding with the relevant ministry in the Government of Jordan.

The activity involves upgrading existing housing units, including work to:

  • Improve durable protection from cold and wet weather and increase security and privacy. This includes adding permanent doors and windows; insulation (roof, doors and windows) and applying a base coat of plaster.
  • Inclusion of sources of renewable energy (solar thermal) and water conservation kits within the upgrading of properties.
  • Improve hygiene and access to water and sanitation facilities. This includes installing toilets, washing facilities; improving drainage; building new/expanding existing septic tanks; mending leakages in water supply; fixing drainage systems.
  • Improve connections to municipal infrastructure and services. This includes connection to water mains/installing water tanks; installing separate electricity meters.
  • Remove health and safety risks. This includes adding balustrades or barriers to stairs, balconies etc.; adding electrical earths, removing faulty wiring etc.; dismantling and removing any existing unwanted items and removing all debris.
  • Create separate sleeping areas to improve privacy and provide a warmer living area. This includes installing internal doors and lightweight partitions.
  • Ensure that people with disabilities can move around their home, use toilet facilities and enter/exit the home safely. This includes provision of equipment to ensure accessibility, and prioritise safety and dignity tailored to the specific needs of the individuals with disabilities.

The table below summarises the level of payments made to the landlords for upgrading their properties, based on the number of upgraded/livable housing units they can provide to refugees.

Number of Housing Units Investment limit (18 months’ rent free (Jordanian Dinars (JDs)) Minimum requirements
1 2,000 JDs (approximately USD $3,000)
  • Rent-free shelter for 18 months;
  • Security of tenure;
  • No evictions
2 3,000 JDs (approximately USD $4,000)
3 4,000 JDs (approximately USD $5,000)
4 5,000 JDs (approximately USD $6,000)

What impact has it had?

The Norwegian Refugee Council are not aware of any direct impacts on local or national policy as yet. However, the project has been successful in positively engaging the Government of Jordan at a local and national level to discuss the housing needs of refugees. This work has resulted in the signing of a Memorandum of Understanding with the Jordanian Government which had demonstrated the government’s buy-in to the project. One of the main components of the Memorandum of Understanding is the establishment of a steering committee comprised of representative of the various relevant ministries (Social Development, Municipalities, Planning and International Cooperation) along with the representatives from the local authorities of the areas targeted by the project. The steering committee positively influenced the project’s acceptance at national and local levels and provides a platform to ensure the sustainability of the project in the future.

The project has been able to protect and promote the rights to decent housing in a number of ways. Firstly, by directly increasing the supply of decent housing available to refugees. Secondly, the project has raised awareness of building codes with local contractors and has increased the expectation for compliance beyond the project’s own buildings. Thirdly, the project has been active in protecting refugees’ housing rights once they are in the new properties. Additionally, the Norwegian Refugee Council has been actively engaged with Jordan’s newly established Green Building Council advocating for environmental initiatives to be included.

 

How is it funded?

Five thousand, one hundred housing units have already been converted by the project using donations from the funders listed below. Future refurbishments are dependent on additional donor funding and further funding has been secured until September 2017.Costs are related to outputs – between 1,000 JDs (approximately USD $2,000) and 2,000 JDs (approximately USD $3,000) per housing unit – as well as operational costs including staffing, transportation and office rent and utilities.

The costs have been covered by direct funding from various donors including:

The scalability of the project is wholly dependent on funding. The Norwegian Refugee Council is actively fundraising to continue to further develop their work.

Why is it innovative?

Breaking with convention, the project sought to address multiple issues and not simply provide shelters for refugees. The project strives to address the root of the housing crisis, contributing towards an increase in the adequate housing stock in Jordan, as well as impacting on the local economy and social cohesion through a clear investment in the host community.

Investment into the local economy brings clear benefits in reducing conflict between refugees and local people. Supporting this initiative, the programme mapped the skilled labourers in different trades and locations and shared the contact list with the landlords, linking them to the labour market. This is also an example of supply chain innovation in the project and responded to a local need whereby there were insufficient labourers to respond to the construction programme.

In the context of the Jordanian rented housing sector, the provision of renewable energy (solar thermal) and water conservation kit is also innovative. It is only in very recent years that renewables have begun to be adopted and water conservation is still not consistently applied within construction or upgrading in Jordan and the project provides a platform for others to learn from and copy.

In this project, The Norwegian Refugee Council used Cash Transfer Programming as the delivery mechanism for the assistance to the landlord. In addition, as an additional feature the Norwegian Refugee Council provides the landlords with the opportunity to install solar water heaters in exchange for a reduction in rent (beyond the rent-free period) – and this option is clarified in the scope of works agreed with the landlord.

The approach taken by the Norwegian Refugee Council has included using proactive engagement with other key stakeholders e.g. local authorities and the newly established Green Building Council to inform them about the project which has strengthened the project itself and benefited the refugee communities more widely.

What is the environmental impact?

At the project design phase, an internal environmental impact assessment indicated that there were no significant risks to the environment associated with the project implementation and, therefore, no specific mitigation measures were put in place. This reflects principally the fact that the refurbishments and upgrades are not new build and therefore there is no issue of land take and its associated impacts on the environment.

The project involves the renovation of existing buildings rather than demolition and reconstruction and the Norwegian Refugee Council has incorporated renewable energy, energy efficiency and water conservation in the project design including:

  • Installation of solar water heating to households utilising renewable energy resource. The solar water heaters considerably cut down household energy bills and improve living conditions of beneficiaries;
  • Provision of energy efficient lighting which contributes further towards cutting down household energy bill;
  • The distribution of water saving kits to reduce household water consumption which, in addition to the environmental benefits, reduces the costs of water trucking and wastewater disposal faced by vulnerable households.

Overall with the emphasis on re-use of existing structures and the inclusion of renewable energy and water conservation measures the project is considered to have a positive impact on the environment when considered against the options associated with new build.

Is it financially sustainable?

Five thousand, one hundred housing units have already been converted by the project. Future refurbishments are dependent on donor funding. As of April 2016, funding is secured until August 2016. However, several proposals are under review by donors committed to supporting the project and the Norwegian Refugee Council is confident that the project will continue to be implemented in Jordan.

What is the social impact?

The high number of refugees in host communities in Jordan is putting increased pressure on the housing and labour markets. This is a key source of tension between Syrian refugees and Jordanians.

Without the project Syrian refugees would face protracted displacement with no or limited livelihood options which could result in:

  • Negative coping mechanisms adopted by vulnerable Syrian refugees e.g. prostitution, crime, exploitative labour.
  • Risk of deportation by Syrian refugees working illegally.
  • Return to Syria.
  • Involuntary returns to camp settings.

For Jordanian host communities:

  • Loss of income for construction labourers in areas of poverty in Jordan.
  • Mismatch between the demand and supply of affordable housing.

In a survey of Syrian refugees currently assisted through the project, 93% felt ‘secure’ or ‘very secure’ in their new accommodation compared to only 58% before. A third of all beneficiaries reported that they had previously lived in a basement, tent, warehouse or partially constructed house compared to their new accommodation which was either a flat or fully constructed house meeting minimum standards. Some 92% considered their new accommodation ‘good’ or ‘very good’.

The impact of the project on the Jordanian landlords and their families is longer lasting. The upgrading of the housing units directly impacts the value of the landlords’ housing asset and allows them to generate more income following the end of the project by entering the rental market.

Barriers

Several challenges have been highlighted in the implementation of activities:

  • The project’s detailed assessment of construction delays helped the Norwegian Refugee Council adapt and highlighted ways to reduce such delays in the future. One of the issues identified by the landlords as causing delays in the completion of the construction was the availability of skilled labourers. In an attempt to support the landlords overcome this challenge, the programme mapped the skilled labourers in different trades and locations and shared the contact list with the landlords linking them to the labour market. This is also an example of innovation in the project.
  • Some of the refugee families didn’t accept the housing offered to them. A detailed assessment of why showed interesting results. At the time of the assessment the level of non-acceptance was 15%. Findings from the assessment included a better understanding of the refugees’ perception of the importance of, for example, the proximity of the housing to services and markets. As a result the criteria used to select properties were revised and proximity to services and markets were given a higher priority.
  • Eighty per cent of refugees in Jerash governorate and 61% in Aljoun chose to live there because they had family close by, while only 13% and 28%, respectively, chose to live there because of low rents. This highlights the significance of social networks in refugee housing choices. This has only proved to be a barrier for the project in being able to find enough properties close to people’s relatives. However, by involving the community and with the support of local authorities, the impact of more outreach focused on Jordanian landlords increased the availability of properties in most locations.
  • Overcrowding and sub-standard housing conditions in urban areas may result in increased family violence and early marriage of girls. And although this has not been a noticeable issue specifically within the project, protection measures are mainstreamed through all of the Nowegian Refugee Council’s activities with referrals made to specialist sources of support.
  • The lower costs of supporting refugees outside camps means that the demand for provision of urban shelter by humanitarian organisations is likely to rise which increases the importance of advocacy efforts with the main donors and stakeholders to ensure continued support for extremely vulnerable cases. In addition, the programme is looking at various interventions supporting the livelihoods of the refugee households, and promoting their engagement in useful income generating activities (such as in the construction sector or in home based businesses) in order to grow their independence from humanitarian assistance.

Lessons Learned

  • Integration of legal assistance and security of tenure into the housing project was vital to ensure the sustainability of the activities and provide, as far as is possible, protection from eviction.
  • Coordination with the hosting government at national and local level was instrumental in ensuring buy-in and the smooth implementation of the project, and allowed the Norwegian Refugee Council to be better placed in order to reach beneficiaries in different governorates.
  • The project design which included significant benefits for the local community in terms of conditional cash grants mitigated any likelihood of increased tension between host and refugee communities. It also increased the ability of the local communities to cope with the protracted crisis by increasing the number of housing units and also mitigating the increase in rent prices.
  • Building partnerships with local organisations helped the acceptance of the programme and empowered them with the learning and training they would need to implement similar projects in the future. It also increased the reach of the programme and allowed better access to beneficiaries in different locations.
  • The coordination efforts with other humanitarian actors at a national and local level helped with the quality of the beneficiary selection process by avoiding duplication and by standardising the methodology used by different organisations.  And the setting up of various referral mechanisms ensured that the assistance given to refugees was timely.
  • The approach of actively engaging with local governors, local authorities and community-based organisations, as well as developing legal guidance for project activities, could be even more valuable in the future if the urban shelter programme is expanded.

Evaluation

The Norwegian Refugee Council has rolled-out a consistent approach to monitoring and evaluation across all its Middle East country operations. The roll-out also includes a complaints, response and feedback mechanism.

For many years Norwegian Refugee Council has used standard indicators across all of its operations, first through its core activity database and now its global output reporting system. It ensures that there is maximum accountability to beneficiaries and that there are systems in place which will support the improvement of the programme during its course.

Technical monitoring of the shelter component of the programme is provided by civil engineers on the Norwegian Refugee Council staff, supporting and following up with landlords in their implementation of construction works. The engineers ensure that the construction work is undertaken to an adequate, safe standard and in a timely way. In addition to technical supervision, the Norwegian Refugee Council undertakes regular visits to the beneficiaries following up on their experiences of living in the housing and trying to mitigate any disputes.

An external evaluation of the project was completed in 2015, with recommendations that have been incorporated into the project design and processes in order to better reach the target objectives. One of the recommendations of the external evaluation was that the programme should consider a more ‘area-based’ approach to programming in addition to strengthening engagement with local stakeholders and organisations. As a result, in 2016 the Norwegian Refugee Council started the implementation of its community-based approach in programming ensuring different projects and interventions are implemented together in order to maximise the impact on beneficiaries.The impact of the project on host communities has not been looked at in depth, beyond the economic impact.

Recognition

The Integrated Urban Shelter Project was selected and presented as good practice programming during the Mediterranean Municipalities at the Forefront of the Refugee Crisis: Peer-to-Peer Learning Workshop for Communities Hosting Refugees organised by the World Bank and Crisis Management Initiative (CMI) in Amman in 2016 and has received considerable attention in the media within and beyond Jordan including:

Transfer

The Norwegian Refugee Council is keen to continue scaling up the project within Jordan – the only barrier is funding. The approach could be a replicable model in other emergency settings and bridge the gap between humanitarian and development approaches in the shelter sector. The project in Jordan was developed from a similar project implemented by the same organisation in Lebanon, where other organisations involved in shelter are now replicating the intervention.

In Jordan, the Norwegian Refugee Council is the only organisation involved in implementing this project. However, it is included as a priority shelter intervention in the Jordan Response Plan for the Syria Crisis and the Shelter Working Group has developed detailed technical guidance on how to implement the project. Transferring the project into similar settings and repeating success is very much dependent on communicating the process. The Norwegian Refugee Council is actively engaged outside Jordan with various working groups such as the Shelter Cluster, where this approach is being discussed.

Links

Authors:

World Habitat

Resilient Social Housing

0

Resilient Social Housing

Mismatches Functional adequacy New family structures Climate change
Policies and regulations Local policies Governance
Urban Design Urban fabrics Liveability Inclusion
Promotion and production Participatory processes Self-management Self-promotion

Main objectives of the project

Over 11,000 buildings on the Chilean coast were destroyed by an earthquake and tsunami in 2010. The challenge of reconstructing people’s houses and livelihoods in situ involved the design of social housing adapted to local needs and resilient to extreme natural events. A total of 180 ‘stilt houses’ were built with input from the communities in five villages where people make their living from the sea.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: South America
City: Concepcion
Country/Region: Chile, Concepción

Description

Project Description

The 2010 earthquake and tsunami destroyed 11,400 buildings on the Chilean coast – shattering people’s houses and livelihoods. For these families, the government’s reconstruction programme could have seen them resettling in a safer place away from the sea but this would have meant not only losing their homes but their livelihoods and community identity.

The challenge of reconstructing these houses and livelihoods – so deeply linked to the sea – involved the design of social housing adapted to local needs and resilient to extreme natural events.

This resilient social housing has helped to preserve the culture and identity of coastal communities and has supported people’s livelihoods. A total of 180 ‘stilt houses’ were built in five fishing villages for local families who make their living from fishing or by collecting algae.

Aims and Objectives

The aim of the project was to develop a new model of resilient social housing to help rebuild fishing communities. This project’s objectives were:

  1. To rebuild communities of families that depend on the sea for their livelihoods by recognising and respecting their needs and wishes as well as architectural traditions.
  2. To help fishermen and algae collectors  to recover their livelihoods, which are so deeply connected to the coast.
  3. To design high quality, resilient housing which is able to minimise risks from future natural occurrences, such as tsunamis or tidal waves and which is simpler and quicker to rebuild or repair if affected by a future natural disaster.
  4. To support the development of the coastal culture, which is a national tradition.

Context

The Chilean coast is characterised by towns and villages where fishing and collecting algae are not only the main sources of income but also inherently linked to a sense of culture and identity. But the coast also represents significant threats. The Chilean coast is one of the most geologically active places on earth. Several earthquakes occur every year, occasionally and without warning there are big earthquakes and associated tsunamis. Such an event occurred in 2010. On that occasion, people from across the region of Bío Bío lost their homes and all their belongings. Future natural disasters are all but certain, exposing these communities to continuous threats. The threat is worsened by the type of housing typical of the area: mostly self-built, with few people complying with building regulations and standards. The families do not want to move from the source of their livelihoods, thus creating a situation of vulnerability. The design of the new housing aims to increase the resilience of these communities, allowing them to remain on the coast whilst ensuring their safety.

Key Features

An innovative design for resilient social housing that respects the wishes and coastal identity of the communities to stay in the same place, and allows them to recover their livelihoods. The new houses are architecturally and structurally designed to offer extra safety to the families and enable quick repairs if they are affected by future tsunamis or rough seas.

After the disaster, the affected communities became key players in decisions about what should happen next. There was close collaboration between them and housing professionals in the early technical assessments stage. Focus groups with neighbourhood leaders identified the most relevant and sensitive topics which needed to be considered for the reconstruction of the coastal villages. Then each family was consulted and asked whether they wanted to stay in the same place or be relocated somewhere safer. The ‘pros’ and ‘cons’ of each option were discussed at community workshops. Lots of families wanted to stay on the coast as their livelihood depended on fishing. The communities that decided to remain became part of the Resilient Social Housing programme.

Community workshops were carried out with these families where they discussed and agreed which aspects of the physical appearance and functionality of the new houses were important to them. After this, the design proposal was finalised in assemblies or workshops in each locality. The programme focused on several related activities:

  • Identity and architecture: looking at how traditional materials and elements of architecture could be integrated into the design and architectural style of the houses.
  • Economic activities: supporting fishermen and algae collectors to acquire equipment and boats; support for small and medium sized enterprises to establish commercial activities and a wider programme of training.
  • Cultural activities: the development of various programmes including an annual festival ‘Viva Dichato’.

The involvement and collaboration of different actors and institutions was essential in each locality including:

  • local families and residents;
  • the technical and political authorities of each municipality;
  • the Ministry of Housing and Urban Development (providing funds and resources);
  • the Universities (carrying out the risk assessments);
  • the Housing and Urban Development Service (ensuring the technical standard of the buildings);
  • different construction companies (carrying out the works);
  • the Coastal Border Reconstruction Plan team from the Regional Government of Bío Bío (in charge of project coordination).

What impact has it had?

The project demonstrates that public housing policies can and should respect local identities and ensure they are a joint development with the community. This project has placed the concept of resilience at the heart of Chilean reconstruction policy in a country which, because of its geographical location, is so prone to natural disasters. Public policy focused on the needs of the community whilst recognising the value and right to stay in the place where people live. This has facilitated the recovery not only of the housing, but of the coastal communities themselves, their culture, identity and dignity.

How is it funded?

The costs of Resilient Social Housing were covered by the Post-Earthquake and Tsunami Reconstruction Programme in 2010 run by the Chilean government’s Ministry of Housing and Urban Development. The cost of each Resilient Social House was up to USD $25,000. The residents had already been identified as in need of social housing and so they were able to benefit from new homes, free of cost, without obtaining loans and getting into debt. Annual maintenance costs are covered by each household, which they have been able to achieve by re-establishing their coastal livelihoods.

Why is it innovative?

Although the country is characterised by its geographical location, the design of this type of housing, which is resilient to tsunamis or coastal storms, is new and provides opportunities for communities affected by global climate change. Resilient Social Housing was a pioneering social housing programme in Chile, as its features were designed and adapted to the requirements of the community and the coastal geography.

The design of other social housing programmes in Chile is neither the result of a participatory process with the community nor designed with potential coastal floods in mind, with their standard for structural calculation not conceived for use in coastal areas. Some of the unique features include:

  1. The houses are earthquake-resistant stilt houses, responding to a structural calculation model that considers the particular challenges of a flood-prone area.
  2. The ground floor is flood-able to take account of tsunamis and can otherwise be used as a work or storage area.
  3. The living space (bedroom, kitchen and bathroom) is higher and at a safer level which makes it much easier to make the house habitable again after a tsunami or high seas.
  4. The design of the houses acknowledges the local, architectural tradition expressed by the communities during the design process.
  5. The structural design allows for faster reconstruction in the event of potential extreme natural disasters.

What is the environmental impact?

The project focuses on sustainability in terms of the conservation and adaptation of housing in a coastal environment with high levels of risk:

  1. The stilt houses are an adaptation to local conditions and have a low impact on the local environment and topography.
  2. This type of construction deals with the risks inherent in being on the coast. The structure protects the heart of the house at a safe height by using a platform of pillars and slabs calculated to provide better performance in future floods.
  3. The houses are resilient as their design provides better performance in natural disasters such as earthquakes and tsunamis, and faster recovery (reconstruction). The new social houses will always be at risk from natural events but their structure will provide more resilience.

The houses are specified according to earthquake resistant design; reinforced concrete and high resistance steel make up the stilt platform and a wood structure is used over this platform (wood being the traditional construction material in the local area). The Resilient Social Housing complies with the General Urban Development and Construction Decree which defines Chile’s thermal regulation standard. Likewise, it complies with the requirements to be connected to the electricity grid as well as waste and drinking water networks.

Is it financially sustainable?

Being a social housing programme set up after the earthquake and tsunami of 2010, funds were only allocated for the reconstruction period. It is assumed that the new residents will take care of their new homes and provide for their maintenance and conservation in the same way as all beneficiaries of social housing in Chile. The Resilient Social Housing has allowed families to remain in the same places they lived in before the disaster and this has contributed to enable them to access their existing sources of income, has supported the local economies and also their community support network. This factor has been key to the economic and social resilience of these communities.

What is the social impact?

The consequences of the disaster caused by the earthquake and tsunami were not only felt by the loss of material goods, including housing, but also the risks from loss of jobs and incomes and the breakdown of communities and social cohesion. The destruction of the built environment causes the loss of access to services, weakening of family bonds and neighbourhood support networks as well as affecting other aspects of the daily lives of the families.

There are a number of social aspects of this project:

  1. The collaborative, joint work with the affected families allowed the opinions and wishes of the people affected to be better reflected in the solution to their problem. This joint process with the community enabled further empowerment of the community and the development of bonds which increased social capital.
  2. The flexible approach the reconstruction project took to finding housing solutions that are different to traditional ones and which are able to adapt to the needs of the coastal area (economic, cultural etc.) was key to designing the new housing. This has helped with the recovery of the housing and at the same time has supported the social fabric of communities by promoting their unique culture and identity.
  3. The resilience of the new social housing will help improve the social resilience of the families when they face future natural disasters.
  4. The project allowed communities to remain in the same place they had lived in for decades and so avoided a relocation process.
  5. The quality of the housing also has an impact on the health of the residents, who have benefited from improved living conditions and safer houses.

Whilst the project focused on the affected families – mainly fishermen and algae collectors – there was also a very significant impact on the whole community of the area, who were able to regain their rich coastal life and livelihoods. The wider community had been greatly affected by the tsunami and not only those who had lost their homes. Neighbours and relatives had provided housing and support to others, livelihoods had been affected where people depended on their neighbour’s work and family networks had been put under strain or had broken down. This programme helped re-establish these links – between families, within the community and in connection with employment. This wouldn’t have happened if the affected families had been relocated to other areas.

Barriers

Institutional issues:

  • The institutions involved were traditionally conservative in their approach and not natural innovators. This made the development of this model more difficult. In order to solve this constraint they strengthened the project teams by adding in the time and skills needed to help influence key people.

Political issues:

  • The priority of many local politicians was a speedy response to the housing needs caused by the tsunami. This made the comprehensive nature of the project more difficult to implement. This challenge was overcome by putting more time into communicating the benefits of the wider approach of the project.

Social issues:

  • The affected communities had to wait for the construction of the Resilient Social Housing whilst living temporarily in emergency camps which had limited facilities.

Technical issues:

  • Chile’s building regulations did not have a standard structural calculation for buildings that were at risk from both earthquakes and tsunami flooding. Because of this, the project had to carry out its own research and develop new approaches. This work has now been incorporated into the building regulations.

Economic issues:

  • The Resilient Social Housing costs were higher than those of social housing built under regular programmes. This meant that additional funds had to be found for these houses, which was justified by the long-term social benefits.

Lessons Learned

  1. The community should be part of the solution to the problem from the start and should be involved at each stage and kept well informed with a constant flow of communication.
  2. Managing the expectations of the community is key, particularly regarding the anticipated results as these can affect the performance of the process and in the end damage the perception of results. The timescales should be very clear and over-optimism regarding the speed of delivery should be avoided.
  3. Uncertainty or lack of information can become a real enemy and prevent genuine ownership by the community.
  4. A project is a lot more than one good idea. It is the result of individuals and organisations working collaboratively in a persistent and systematic way to create a community of thought.

Evaluation

The Resilient Social Housing project was completed in 2014 and no systematic evaluation studies have been conducted to date. However, several university dissertations focusing on the perception of the community have shown significant levels of satisfaction amongst residents in relation to the Resilient Social Housing[1].

[1] Masters Dissertation: “Planning strategies for the urban-social vulnerabilities in the resilient reconstruction process in the coastal locality of Dichato, VIII Region” Carolina Arriagada, Universidad de Chile, 2015.

Masters Dissertation: “Conflict and Dispute for an Alternative Construction of the Territory” Camilo Riffo, Pontificia Universidad de Católica, 2014.

Learning From 27F, A Comparative Assessment Of Urban Reconstruction Processes After The 2010 Earthquake In Chile. Columbia – Chile Fund, Global Center Santiago y CONICYT. Directed by Latin Lab, GSAPP Columbia University y Santiago Research Cell. 2015.

Recognition

  • Urban reconstruction post 27F PDF – Ministry of Housing and Urban Development, Chile, 2014.
  • Urban resilience: learning how to live with the threats of nature: the experience of the earthquake and tsunami of 2010 in the Bío Bío coast. Margenes Magazine, University of Valparaiso, Chile, 2015.
  • A new view from the Coastal Border. Theory and Practice from Urban Design Book, p. 113-122, Chile, 2014.
  • Dichato – from crisis to reconstruction. A model of risk management and resilience, Urbano Magazine, N°27, Chile, 2013.
  • Urban resilience: the challenges of reconstructing the coastal area, Urban Space, Reconstruction and Territorial Re-Setting Book, p.199-2012, Chile, 2013.
  • Urban Resilience: the Experience of Urban Reconstruction in the Coastal Area in the Bío Bío Region, Chile. Special Edition of the Escala Magazine, Bogota, Colombia, 2013.
  • Reconstruction Plan for the Coastal Area – Bío Bío Region. CA Magazine, Nº 145, p. 62 – 68, Chile, 2011.
  • Urban resilience: the challenges of reconstructing the coastal area, book: The City, a Social Anthropogenic Construct, pages 417-432, Mexico, 2015.

The project has been visited by various government delegations, academic, and researchers from national and foreign universities.

Transfer

The Resilient Social Housing project and the concepts associated with the reconstruction of the coastal area are now incorporated into the public policies of the Ministry of Housing and Urban Development of the Government of Chile. These are now being implemented in other coastal localities affected by natural disasters, such as Coquimbo city (in the north of Chile), after the earthquake and tsunami of 2015.

This experience has been an “experimental laboratory” and has presented in congresses, seminars and at national and international meetings, the most recent in Ecuador following an invitation from the government of that country to present the Chilean experience and contribute to the reconstruction process after the earthquake in Manabí province[1].

The resilience of coastal communities is a local and global issue, particularly within the context of rapid urbanisation around the world and climate change. We need greater cooperation between donors to help encourage discussions and solutions. International organisations can make a big difference by disseminating information, supporting the transfer and exchange of experiences, and by targeting the creation of communities and networks of new knowledge.

[1] http://noticias.ubiobio.cl/2016/06/01/academicos-de-la-ubb-asesoran-evaluacion-tecnica-y-reconstruccion-post-terremoto-en-ecuador/

http://www.ing.udec.cl/node/276

http://learnchile.cl/academicos-de-la-universidad-del-bio-bio-asesoran-evaluacion-tecnica-y-construccion-post-terremoto-en-ecuador/

Links

Authors:

World Habitat

Intercultural Neighbourhood

0

Intercultural Neighbourhood

Mismatches Vulnerable groups New family structures
Policies and regulations Local policies Building capacity
Promotion and production Progressive housing

Main objectives of the project

Over 11,000 buildings on the Chilean coast were destroyed by an earthquake and tsunami in 2010. The challenge of reconstructing people’s houses and livelihoods in situ involved the design of social housing adapted to local needs and resilient to extreme natural events. A total of 180 ‘stilt houses’ were built with input from the communities in five villages where people make their living from the sea.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: South America
City: Neuquén
Country/Region: Argentina, Neuquén

Description

The 2010 earthquake and tsunami destroyed 11,400 buildings on the Chilean coast – shattering people’s houses and livelihoods. For these families, the government’s reconstruction programme could have seen them resettling in a safer place away from the sea but this would have meant not only losing their homes but their livelihoods and community identity.

The challenge of reconstructing these houses and livelihoods – so deeply linked to the sea – involved the design of social housing adapted to local needs and resilient to extreme natural events.

This resilient social housing has helped to preserve the culture and identity of coastal communities and has supported people’s livelihoods. A total of 180 ‘stilt houses’ were built in five fishing villages for local families who make their living from fishing or by collecting algae.

Aims and Objectives

The aim of the project was to develop a new model of resilient social housing to help rebuild fishing communities. This project’s objectives were:

  1. To rebuild communities of families that depend on the sea for their livelihoods by recognising and respecting their needs and wishes as well as architectural traditions.
  2. To help fishermen and algae collectors  to recover their livelihoods, which are so deeply connected to the coast.
  3. To design high quality, resilient housing which is able to minimise risks from future natural occurrences, such as tsunamis or tidal waves and which is simpler and quicker to rebuild or repair if affected by a future natural disaster.
  4. To support the development of the coastal culture, which is a national tradition.

Context

The Chilean coast is characterised by towns and villages where fishing and collecting algae are not only the main sources of income but also inherently linked to a sense of culture and identity. But the coast also represents significant threats. The Chilean coast is one of the most geologically active places on earth. Several earthquakes occur every year, occasionally and without warning there are big earthquakes and associated tsunamis. Such an event occurred in 2010. On that occasion, people from across the region of Bío Bío lost their homes and all their belongings. Future natural disasters are all but certain, exposing these communities to continuous threats. The threat is worsened by the type of housing typical of the area: mostly self-built, with few people complying with building regulations and standards. The families do not want to move from the source of their livelihoods, thus creating a situation of vulnerability. The design of the new housing aims to increase the resilience of these communities, allowing them to remain on the coast whilst ensuring their safety.

Key Features

An innovative design for resilient social housing that respects the wishes and coastal identity of the communities to stay in the same place, and allows them to recover their livelihoods. The new houses are architecturally and structurally designed to offer extra safety to the families and enable quick repairs if they are affected by future tsunamis or rough seas.

After the disaster, the affected communities became key players in decisions about what should happen next. There was close collaboration between them and housing professionals in the early technical assessments stage. Focus groups with neighbourhood leaders identified the most relevant and sensitive topics which needed to be considered for the reconstruction of the coastal villages. Then each family was consulted and asked whether they wanted to stay in the same place or be relocated somewhere safer. The ‘pros’ and ‘cons’ of each option were discussed at community workshops. Lots of families wanted to stay on the coast as their livelihood depended on fishing. The communities that decided to remain became part of the Resilient Social Housing programme.

Community workshops were carried out with these families where they discussed and agreed which aspects of the physical appearance and functionality of the new houses were important to them. After this, the design proposal was finalised in assemblies or workshops in each locality. The programme focused on several related activities:

  • Identity and architecture: looking at how traditional materials and elements of architecture could be integrated into the design and architectural style of the houses.
  • Economic activities: supporting fishermen and algae collectors to acquire equipment and boats; support for small and medium sized enterprises to establish commercial activities and a wider programme of training.
  • Cultural activities: the development of various programmes including an annual festival ‘Viva Dichato’.

The involvement and collaboration of different actors and institutions was essential in each locality including:

  • local families and residents;
  • the technical and political authorities of each municipality;
  • the Ministry of Housing and Urban Development (providing funds and resources);
  • the Universities (carrying out the risk assessments);
  • the Housing and Urban Development Service (ensuring the technical standard of the buildings);
  • different construction companies (carrying out the works);
  • the Coastal Border Reconstruction Plan team from the Regional Government of Bío Bío (in charge of project coordination).

What impact has it had?

The project demonstrates that public housing policies can and should respect local identities and ensure they are a joint development with the community. This project has placed the concept of resilience at the heart of Chilean reconstruction policy in a country which, because of its geographical location, is so prone to natural disasters. Public policy focused on the needs of the community whilst recognising the value and right to stay in the place where people live. This has facilitated the recovery not only of the housing, but of the coastal communities themselves, their culture, identity and dignity.

How is it funded?

The costs of Resilient Social Housing were covered by the Post-Earthquake and Tsunami Reconstruction Programme in 2010 run by the Chilean government’s Ministry of Housing and Urban Development. The cost of each Resilient Social House was up to USD $25,000. The residents had already been identified as in need of social housing and so they were able to benefit from new homes, free of cost, without obtaining loans and getting into debt. Annual maintenance costs are covered by each household, which they have been able to achieve by re-establishing their coastal livelihoods.

Why is it innovative?

Although the country is characterised by its geographical location, the design of this type of housing, which is resilient to tsunamis or coastal storms, is new and provides opportunities for communities affected by global climate change. Resilient Social Housing was a pioneering social housing programme in Chile, as its features were designed and adapted to the requirements of the community and the coastal geography.

The design of other social housing programmes in Chile is neither the result of a participatory process with the community nor designed with potential coastal floods in mind, with their standard for structural calculation not conceived for use in coastal areas. Some of the unique features include:

  1. The houses are earthquake-resistant stilt houses, responding to a structural calculation model that considers the particular challenges of a flood-prone area.
  2. The ground floor is flood-able to take account of tsunamis and can otherwise be used as a work or storage area.
  3. The living space (bedroom, kitchen and bathroom) is higher and at a safer level which makes it much easier to make the house habitable again after a tsunami or high seas.
  4. The design of the houses acknowledges the local, architectural tradition expressed by the communities during the design process.
  5. The structural design allows for faster reconstruction in the event of potential extreme natural disasters.

What is the environmental impact?

The project focuses on sustainability in terms of the conservation and adaptation of housing in a coastal environment with high levels of risk:

  1. The stilt houses are an adaptation to local conditions and have a low impact on the local environment and topography.
  2. This type of construction deals with the risks inherent in being on the coast. The structure protects the heart of the house at a safe height by using a platform of pillars and slabs calculated to provide better performance in future floods.
  3. The houses are resilient as their design provides better performance in natural disasters such as earthquakes and tsunamis, and faster recovery (reconstruction). The new social houses will always be at risk from natural events but their structure will provide more resilience.

The houses are specified according to earthquake resistant design; reinforced concrete and high resistance steel make up the stilt platform and a wood structure is used over this platform (wood being the traditional construction material in the local area). The Resilient Social Housing complies with the General Urban Development and Construction Decree which defines Chile’s thermal regulation standard. Likewise, it complies with the requirements to be connected to the electricity grid as well as waste and drinking water networks.

Is it financially sustainable?

Being a social housing programme set up after the earthquake and tsunami of 2010, funds were only allocated for the reconstruction period. It is assumed that the new residents will take care of their new homes and provide for their maintenance and conservation in the same way as all beneficiaries of social housing in Chile. The Resilient Social Housing has allowed families to remain in the same places they lived in before the disaster and this has contributed to enable them to access their existing sources of income, has supported the local economies and also their community support network. This factor has been key to the economic and social resilience of these communities.

What is the social impact?

The consequences of the disaster caused by the earthquake and tsunami were not only felt by the loss of material goods, including housing, but also the risks from loss of jobs and incomes and the breakdown of communities and social cohesion. The destruction of the built environment causes the loss of access to services, weakening of family bonds and neighbourhood support networks as well as affecting other aspects of the daily lives of the families.

There are a number of social aspects of this project:

  1. The collaborative, joint work with the affected families allowed the opinions and wishes of the people affected to be better reflected in the solution to their problem. This joint process with the community enabled further empowerment of the community and the development of bonds which increased social capital.
  2. The flexible approach the reconstruction project took to finding housing solutions that are different to traditional ones and which are able to adapt to the needs of the coastal area (economic, cultural etc.) was key to designing the new housing. This has helped with the recovery of the housing and at the same time has supported the social fabric of communities by promoting their unique culture and identity.
  3. The resilience of the new social housing will help improve the social resilience of the families when they face future natural disasters.
  4. The project allowed communities to remain in the same place they had lived in for decades and so avoided a relocation process.
  5. The quality of the housing also has an impact on the health of the residents, who have benefited from improved living conditions and safer houses.

Whilst the project focused on the affected families – mainly fishermen and algae collectors – there was also a very significant impact on the whole community of the area, who were able to regain their rich coastal life and livelihoods. The wider community had been greatly affected by the tsunami and not only those who had lost their homes. Neighbours and relatives had provided housing and support to others, livelihoods had been affected where people depended on their neighbour’s work and family networks had been put under strain or had broken down. This programme helped re-establish these links – between families, within the community and in connection with employment. This wouldn’t have happened if the affected families had been relocated to other areas.

Barriers

Institutional issues:

  • The institutions involved were traditionally conservative in their approach and not natural innovators. This made the development of this model more difficult. In order to solve this constraint they strengthened the project teams by adding in the time and skills needed to help influence key people.

Political issues:

  • The priority of many local politicians was a speedy response to the housing needs caused by the tsunami. This made the comprehensive nature of the project more difficult to implement. This challenge was overcome by putting more time into communicating the benefits of the wider approach of the project.

Social issues:

  • The affected communities had to wait for the construction of the Resilient Social Housing whilst living temporarily in emergency camps which had limited facilities.

Technical issues:

  • Chile’s building regulations did not have a standard structural calculation for buildings that were at risk from both earthquakes and tsunami flooding. Because of this, the project had to carry out its own research and develop new approaches. This work has now been incorporated into the building regulations.

Economic issues:

  • The Resilient Social Housing costs were higher than those of social housing built under regular programmes. This meant that additional funds had to be found for these houses, which was justified by the long-term social benefits.

Lessons Learned

  1. The community should be part of the solution to the problem from the start and should be involved at each stage and kept well informed with a constant flow of communication.
  2. Managing the expectations of the community is key, particularly regarding the anticipated results as these can affect the performance of the process and in the end damage the perception of results. The timescales should be very clear and over-optimism regarding the speed of delivery should be avoided.
  3. Uncertainty or lack of information can become a real enemy and prevent genuine ownership by the community.
  4. A project is a lot more than one good idea. It is the result of individuals and organisations working collaboratively in a persistent and systematic way to create a community of thought.

Evaluation

The Resilient Social Housing project was completed in 2014 and no systematic evaluation studies have been conducted to date. However, several university dissertations focusing on the perception of the community have shown significant levels of satisfaction amongst residents in relation to the Resilient Social Housing[1].

[1] Masters Dissertation: “Planning strategies for the urban-social vulnerabilities in the resilient reconstruction process in the coastal locality of Dichato, VIII Region” Carolina Arriagada, Universidad de Chile, 2015.

Masters Dissertation: “Conflict and Dispute for an Alternative Construction of the Territory” Camilo Riffo, Pontificia Universidad de Católica, 2014.

Learning From 27F, A Comparative Assessment Of Urban Reconstruction Processes After The 2010 Earthquake In Chile. Columbia – Chile Fund, Global Center Santiago y CONICYT. Directed by Latin Lab, GSAPP Columbia University y Santiago Research Cell. 2015.

Recognition

  • Urban reconstruction post 27F PDF – Ministry of Housing and Urban Development, Chile, 2014.
  • Urban resilience: learning how to live with the threats of nature: the experience of the earthquake and tsunami of 2010 in the Bío Bío coast. Margenes Magazine, University of Valparaiso, Chile, 2015.
  • A new view from the Coastal Border. Theory and Practice from Urban Design Book, p. 113-122, Chile, 2014.
  • Dichato – from crisis to reconstruction. A model of risk management and resilience, Urbano Magazine, N°27, Chile, 2013.
  • Urban resilience: the challenges of reconstructing the coastal area, Urban Space, Reconstruction and Territorial Re-Setting Book, p.199-2012, Chile, 2013.
  • Urban Resilience: the Experience of Urban Reconstruction in the Coastal Area in the Bío Bío Region, Chile. Special Edition of the Escala Magazine, Bogota, Colombia, 2013.
  • Reconstruction Plan for the Coastal Area – Bío Bío Region. CA Magazine, Nº 145, p. 62 – 68, Chile, 2011.
  • Urban resilience: the challenges of reconstructing the coastal area, book: The City, a Social Anthropogenic Construct, pages 417-432, Mexico, 2015.

The project has been visited by various government delegations, academic, and researchers from national and foreign universities.

Transfer

The Resilient Social Housing project and the concepts associated with the reconstruction of the coastal area are now incorporated into the public policies of the Ministry of Housing and Urban Development of the Government of Chile. These are now being implemented in other coastal localities affected by natural disasters, such as Coquimbo city (in the north of Chile), after the earthquake and tsunami of 2015.

This experience has been an “experimental laboratory” and has presented in congresses, seminars and at national and international meetings, the most recent in Ecuador following an invitation from the government of that country to present the Chilean experience and contribute to the reconstruction process after the earthquake in Manabí province[1].

The resilience of coastal communities is a local and global issue, particularly within the context of rapid urbanisation around the world and climate change. We need greater cooperation between donors to help encourage discussions and solutions. International organisations can make a big difference by disseminating information, supporting the transfer and exchange of experiences, and by targeting the creation of communities and networks of new knowledge.

[1] http://noticias.ubiobio.cl/2016/06/01/academicos-de-la-ubb-asesoran-evaluacion-tecnica-y-reconstruccion-post-terremoto-en-ecuador/

http://www.ing.udec.cl/node/276

http://learnchile.cl/academicos-de-la-universidad-del-bio-bio-asesoran-evaluacion-tecnica-y-construccion-post-terremoto-en-ecuador/

Links

Authors:

World Habitat

Passiv Solar Verandas

0

Passiv Solar Verandas

Mismatches Functional adequacy
Urban Design Urban fabrics Environments Liveability
Promotion and production Participatory processes Self-construction Progressive housing

Main objectives of the project

Since March 2014, over 1,500 Passiv Solar Verandas have been built onto the houses of people living in the remote Central Highlands of Afghanistan creating additional living spaces and providing warm air, which circulates round the house. More than 100 trained local craftsmen were involved in building the verandas, creating a livelihood for them and their families.

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: Asia
Country/Region: Afghanistan

Description

Project Description

Passiv Solar Verandas are wood-framed structures built against the south-facing wall of a house. The project installs them in the highland region of Afghanistan where winter temperatures are cold and access to fuel is expensive and difficult. They act like a greenhouse using the sun’s warmth to heat the air. The warm air circulates into the rest of the house achieving an indoor temperature of around +20°C. The verandas are easy and cheap to install, constructed from timber or steel and polythene sheets. The veranda creates an additional room, extending the living space of the house.

Since March 2014, over 1,500 verandas have been built in the Central Highlands (in the Bamyan and Maydan-Wardak districts). More than 100 trained local craftsmen were involved in building them creating a livelihood for them and their families.

The project is scheduled to be completed in September 2017 by which time GERES aims to have trained a total of 170 local workers who will complete 700 verandas (in addition to those completed by individuals/communities without GERES’s input).

Acknowledged by global consulting firm Hystra as one of the world’s 15 pioneers in marketing for vulnerable populations, GERES deploys an innovative approach to the large-scale dissemination of pioneering and sustainable energy solutions.

Aims and Objectives

The project aims to help vulnerable and poor households overcome fuel poverty through a market-based approach. The veranda was developed in collaboration with households, by including them in the design and adaptation process, and then training local craftsmen. They are provided with the technical and business tools to support a veranda-based business. GERES introduced the veranda into the market but households are responsible for placing the order and paying between 80 and 100% of the total cost.

Passiv Solar Verandas offer a more sustainable means of heating than the traditional practice of cutting down trees for fuel, which has a negative impact on the environment, degrading soil fertility and leading to erosion.

There are two groups who benefit directly from this project:

  • The local people who are able to operate within the marketplace and generate additional sources of income.
  • Households who purchase the Passiv Solar Verandas (with or without a GERES subsidy) and benefit from a warmer house and an additional, warm day room as well as savings on fuel costs.

The objective is that the demand will be self-sustained once the project ends, providing households with increased comfort and warmth, while craftsmen gain an additional source of income. As the primary goal of GERES is to provide sustainable energy solutions to as many people as possible, large-scale dissemination is at the heart of its strategy. By the end of the programme, GERES aims to equip 3,000 households with energy saving solutions.

Context

The Central Highlands of Afghanistan is a mountainous area north of Kabul forming part of the HinduKush mountain range. The area is largely rural. Some parts of it are remote and very sparsely populated. The climate is dry and seasonal temperatures vary. In upland areas the average summer temperatures don’t exceed 15°C and average winter temperatures are below 0°C.

Afghanistan is a poor country ranking 175th on the United Nations’ Human Development Index. Its recent history has been affected by decades of conflict which has destroyed much of the country’s infrastructure and severely hampered trade. The Central Highlands is a relatively safe area. It is traditionally populated by the Hazara ethnic group, but there has been a significant rise in population as refugees from other ethnic groups have fled from other areas of the country to escape the war. The Hazara group has a history of being discriminated against and there are numerous reports of members of the group being attacked and kidnapped on the primary access roads that run through the region.

The population of the Central Highlands primarily relies on agriculture and livestock as a source of income. Livelihoods depend mainly on the availability and management of natural resources: land for pastures and agriculture; water for irrigation; biomass (wood) for cooking, heating and construction purposes. The area has suffered a prolonged drought. This combined with high population increases since 2001 have drastically increased the pressure on already scarce natural resources.

GERES’ passiv solar house technologies have been disseminated in remote regions of Afghanistan, Tajikistan and India since 2009. In Afghanistan, GERES has identified that the vast majority of the population live in uninsulated houses, with high indoor air pollution and energy expenses from heating. It also showed that 76% of these houses could be modified into passiv solar houses, which are cheaper to heat, energy efficient and locally installed. After a pilot initiative in the Bamyan region in 2010, and a larger scale project in Kabul, the project currently promotes the verandas at a larger scale in Central Highlands.

GERES implements its activities within the framework of the “Central Highland Rural Development Programme”, a consortium of three French NGOs (MADERA, Solidarités International and GERES as the lead partner) focused on improving the living conditions of the rural population in terms of agriculture, environment and natural resource management. Solidarités International focuses on agricultural development and water/sanitation activities and MADERA focuses on livestock and related natural resources management.

Key Features

The key features of the approach can be summarised as follows:

  • GERES works to find the best compromise between efficiency, acceptability, affordability and local ownership so that their technologies have a high market penetration rate and impact the largest number of beneficiaries. Finding the best balance among these four elements is the key to success, and requires lengthy analysis, research and development.
  • They maximise local added-value by developing or reinforcing value chains ensuring the local ownership and sustainability of their solutions by providing capacity building to local people (mainly craftsmen) so they can operate independently.
  • GERES also supports by generating demand through awareness-raising campaigns and enhancing policy frameworks.

Craftsmen are approached based on recommendations from the heads of communities. GERES then develops demonstration sites with these craftsmen in strategic places in their communities to raise awareness and share information about the benefits with local communities. The Passiv Solar Verandas are developed in collaboration with both households and craftsmen. GERES’ Research and Development team works with local households to identify their specific energy needs and problems and to create appropriate solutions.

Pilot designs are incorporated into houses and focus groups involving residents help ensure people’s inputs are incorporated into the adaptation process. Capacity building workshops were planned with local communities in order to explain how to use and maintain the verandas for optimal efficiency; Technical workshops were implemented with local stakeholders in order to clarify and explain the main purposes of the programme. Craftsmen were also consulted at this stage to make sure the technologies fit with their skills and the materials used are readily available locally.

What impact has it had?

In close cooperation with academia and UN agencies, the technologies and approaches developed by GERES are being embedded into the traditional construction designs of housing in the Central Highlands region of Afghanistan and GERES is currently working in collaboration with UN-HABITAT on improving the Afghan national standards for housing.

The project promotes and protects the rights of citizens by carefully considering cultural factors during the design process and by going to some lengths to ensure the solutions are affordable for the target community.

How is it funded?

The project was originally funded by the Government of France’s development agency ‘Agence Française de Développement’ (AFD) to work in Kabul with the support of the European Commission and private foundations. This agency fully funded the Central Highland Rural Development Programme (10 million euros; USD $11.1 million) for three partner organisations covering four components WASH, Agriculture, Energy Saving Solutions (ESS) in housing and capitalisation. Of these NGOs, GERES is in charge of the ESS and capitalisation components.

GERES’s development of the energy saving solutions component including the dissemination of Passiv Solar Veranda and other Energy Saving Solutions costs 4.5 million euros (USD $5 million). The annual running costs (14.5% of this amount) have been completed thanks to the support of private foundations (Fondation Abbé Pierre and Lord Michelham of Hellingly Foundation). The full implementation cost of the Passiv Solar Verandas project is 1 million euros (USD $1.1 million). This includes research and development, the direct material costs as well as a part of the HR and logistic resources needed for this activity, training and capacity building with craftsmen, toolkits and plans, demonstration units and awareness-raising and marketing.

The Government of France’s Development Agency (AFD) are fully funding the dissemination of the Passiv Solar Verandas in the Central Highlands area as a component of a wider programme of housing energy saving solutions. It is intended that by the end of the project the Passiv Solar Verandas will have been fully integrated into the local market ensuring financial sustainability for the local craftsmen. While the existing project funding ends in September 2017, additional funding is currently being sought to expand the project into new districts in the Central Highlands. At present, craftsmen have been trained in the construction of three different types of veranda. These range in price from approximately USD $130 to USD $350. The price variations are due primarily to the selection and availability of materials – from the more expensive hardwood veranda with a plastic cover through to one with a steel profile and then the cheaper round-pipe veranda. These variations make the Passiv Solar Verandas affordable for the majority of the target population.

Why is it innovative?

The programme has taken a proven technology and adapted it to deal with the challenges faced in an extreme environment due to the scarcity of materials and the geographic isolation of the community. An innovative approach to affordability has been strategically designed into this project. GERES has introduced the veranda into the market based on the need identified for such solutions in the community.

An innovative subsidy model has been used that keeps the verandas affordable without distorting the local market. The amount of the subsidy is calculated based on the average price of materials in the local bazaar and the expected time for construction. When a product is first introduced to an area a ‘high subsidy’ (approximately 12% of the total material and labour cost) is provided to the craftsmen. This ‘high subsidy’ remains for six weeks before moving to a ‘low subsidy’ (approximately 6% of the total material and labour cost). This low subsidy lasts for three months, or until the end of the project depending on the uptake in the different districts. The high subsidy coincides with a spring or winter promotional campaign which includes a series of awareness sessions and promotional events in communities to accelerate the acceptance of the technologies and increase the number of orders for the craftsmen.

A staggered subsidy campaign, with high subsidies available over two promotional periods (spring and winter) means that GERES contributes between 6% and 12% of the overall costs. This strategy allows for easier entry into the marketplace for craftsmen constructing these technologies and the staggered delivery is designed to eventually eliminate the subsidy to support the continuity and financial sustainability of the project. The subsidy is given to the craftsmen directly as they are the target beneficiaries of the project. It is then their responsibility to pass on the cost savings to the families.

The delivery is described as staggered as when the technologies are introduced into the community, the high subsidy leads to increased affordability and supports dissemination. As the subsidy decreases from high to low it is anticipated that a) the craftsmen will have gained more business and marketing skills (provided by GERES) and b) the technologies will be well known within the target area (meaning they will help to market themselves). This strategy eventually balances out to a point where once the subsidy ceases, the craftsmen have the start-up skills necessary to be sustainable, supporting themselves financially.

The programme has adapted its model as it has been implemented. The Passiv Solar Verandas developed in earlier GERES projects and at the initial phases of this project used imported Russian timber as the primary construction material. Given the lack of available local materials this timber was accepted locally and had improved durability and longevity over local materials. Since then however, the GERES team has developed variations of the timber veranda by using cheaper, locally available steel. While construction techniques differ slightly overall, these new techniques are more affordable for the most vulnerable households.

What is the environmental impact?

The veranda reduces the energy burden on the environment by significantly reducing the amount of bushes and wood that households collect to meet their daily heating needs. The Passiv Solar Verandas are primarily made up of the frame and polythene cover. The frame is made from either imported Russian timber, local timber, steel profile or steel pipes (based on the availability of material and financial constraints of the household). The local timber has the lowest embodied energy of these materials, however its poor quality and low density also make it the least sustainable in the long-term. Material selection in this region is based on availability and sustainable material selection for this project is an ongoing challenge in the Central Highlands area.

The verandas increase the household temperature by +10 to 15°C and reduce the amount of natural resources used as heating fuel in the household by between 5 and 30% per year. In the Central Highlands these fuels comprise primarily of dung, bushes and locally grown timber. The Passiv Solar Verandas, in combination with the other energy saving solutions disseminated by craftsmen as part of the programme, contribute to the overall awareness in the region of natural resource management, environmental stewardship and sustainable environmental best practices in general. For example, specific objectives have been outlined for the remainder of this project to train households on the reuse of plastic materials (at the end of each winter) and to create collection points for recycling.

Is it financially sustainable?

The programme has been developed so that once the funding comes to an end and the project is completed, the verandas will already be integrated into the marketplace and the trained craftsmen will have the capacity to further develop their enterprises without the ongoing support of GERES. The extensive replication of Passiv Solar Verandas in the project area indicates already that these technologies are being accepted into the local marketplace and are providing sources of income for craftsmen outside of the GERES project.

The current funding is guaranteed until the end of the project in late 2017. GERES is currently negotiating funding for a second phase of the project across different districts in the target provinces. While this funding is not guaranteed, it will not change the overall impact and ongoing sustainability of the current project. The project is specifically designed to ensure the trained craftsmen have a longer term source of income and will provide ongoing cost savings for the households involved. The business and marketing aspects of the project have focussed on the linkages between craftsmen and local material providers to ensure the current value-chain remains intact on completion of the project. While this project does not directly reduce the cost of building houses, the cost benefits achieved through fuel reduction does mean that household running costs are reduced.

What is the social impact?

The Passiv Solar Verandas project helps to facilitate greater cooperation and cohesion by working closely with communities and through awareness-raising activities. GERES ensures acceptance from communities by engaging community leaders in the decision making around the choice of craftsmen and the selection of verandas and other energy saving solutions.

Passiv Solar Verandas reduce social inequalities by allowing reductions in fuel consumption (giving financial savings), and increasing internal temperatures and improving living conditions in winter. In addition, the provision of an additional warm space in winter where people can undertake daily chores, such as washing dishes, looking after children and receiving guests has benefits for the whole household, particularly women, who are traditionally responsible for overseeing these activities.

The Passiv Solar Verandas project allows individual craftsmen to take a more active role in society by providing services that benefit their community. The marketing training provided allows them to reach out and generate business which increases the productivity of their enterprises. Craftsmen engaged in the Passiv Solar Verandas are trained on technical and business/marketing skills increasing their construction skills and also creating additional income opportunities for their enterprises. Given the harsh winter conditions in the Central Highlands region of Afghanistan the simple fact that the Passiv Solar Verandas increase the inside living temperature by about 10°C means the quality of life and overall health of the community is improved.

Barriers

The success of the Passiv Solar Verandas within the community is evident by the organic spread of this technology that is occurring within the community.  While this is a positive development and shows the acceptance of the concept by the community, the overall quality has not been to the standard prescribed by GERES; thus not delivering the same benefits.

Quality standards are being developed with local actors and UN-Habitat to create a minimum standards framework and ensure the safety of any Passiv Solar Verandas developed through this route.

Lessons Learned

The primary lesson learned by GERES in the Central Highlands is that of accessibility and availability of materials. The region is difficult to access and many of the communities live in remote, hard to reach areas. This presents challenges for the project team and the craftsmen seeking to disseminate the Passiv Solar Verandas in these areas. These geographic challenges also correlate to the availability of materials at an affordable price. GERES has worked hard to develop variations of the original Passiv Solar Verandas design to allow for easier access to more appropriate and affordable materials.

Evaluation

Three main areas of indicators are used to evaluate the overall success of the project:

  • The diversification of energy-saving solutions are evaluated using a number of data sets including structural tests, load bearing (with wind and snow), plastic weathering comparisons based on price of material and these are validated in the Research and Development work.
  • The strength of the value chain is demonstrated by the number of craftsmen trained/training sessions delivered, marketing material distributed and perceived demand from the community for the energy saving solutions.  These indicators allow the programme to assess the different stages of the value chain.
  • The overall impact of the project is evaluated using data regarding the dissemination of energy saving solutions, the reach of promotional campaigns and the overall mapping of the dissemination area.

Internal monitoring and evaluation activities track and analyse the implementation of the project on an ongoing basis in line with the overall objectives. External consultants have also been commission to undertake a mid-term and final review of the project activities. The overall conclusions presented as part of the mid-term review suggested that the fact that the spread of the verandas was happening organically and being led by the community themselves, without GERES’ involvement, was a testament to the appropriateness and effectiveness of the project activities.

Recognition

This submission is the first application from GERES for an award for this work. However, it is worth noting that two other solar passive technology projects by GERES in Ladakh, India have received some recognition: an Ashden in 2009 (passive solar greenhouses) and as a World Habitat Award finalist in 2011 (passive solar houses).

Transfer

GERES regularly publishes its work and attends related conferences at an international level. In Afghanistan, publications and studies are distributed via the Afghanistan Centre at Kabul University in the Dari language, so are accessible to a wider public. Professional, public, donor agency and academics regularly visit the project sites and there are regular field visits by representatives of provincial and national government.

The original veranda was developed in Kabul as well as being piloted in other districts. It has since then been transferred by GERES with the current project to the rural Central Highlands of Afghanistan. Provided there is a market and an identified need within the community there is little reason why the current Passiv Solar Verandas technologies could not be transferred and replicated elsewhere. The veranda technology could be transferable to other locations that face similar heating issues during the winter if the design is adapted to the resources available within those areas. In addition, the market-based approach could be transferred to any location. Similarly, the approach with which GERES researches, develops, pilots and validates the Passiv Solar Verandas technology could be transferred to other similar energy saving solutions and sustainable housing and construction initiatives.

GERES is interested in scaling up the existing Passiv Solar Verandas project provided there is a need and interest from the target community and there is affordable and easy access to the required materials. Future projects (currently under development) seek to build on the current successes of this market based approach to energy efficiency and cover additional districts in the provinces where they are currently working. A forthcoming project in Kabul uses a similar methodology in combination with a micro-finance element to further the potential reach of Passiv Solar Verandas in the capital of Afghanistan.

The current Passiv Solar Verandas design is an evolution of previous Passiv Solar Housing initiatives that have been implemented across part of central and Southern Asia including the dissemination of over 3,000 Passiv Solar Verandas constructed by 74 craftsmen in Kabul between 2009 and 2012. The current Verandas project has built on these successes and evolved the material and construction techniques through its Research and Development process to make the Passiv Solar Verandas more accessible and affordable for the target community.

Locally – through the consortium work, the partners integrate GERES technologies into their programmes.

Nationally – In Afghanistan, the Ministry of Public Health legislated for the inclusion of the GERES’ energy-efficiency standards into the construction of all public buildings.

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World Habitat

More than Housing

0

More than Housing

Mismatches New family structures
Policies and regulations National policies
Promotion and production Self-management Progressive housing Management and maintenance
Ownership and tenure

Main objectives of the project

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: Europe
City: Zurich
Country/Region: Switzerland, Zurich

Description

Project Description

‘More than Housing’ is a large housing cooperative development that seeks to anticipate the future needs of its community and design buildings and ways of living that meet them.

The building is designed to use as little energy as possible but it also promotes sustainable lifestyles with low car use and low heating demands. This helps residents work towards the 2000 Watt society model that the City of Zurich has adopted.

The 2000 Watt society is an environmental vision originally promoted by the Swiss Federal Institute of Technology. It seeks a reduction of individual energy use to a level that would be supported by the continuous running of a 2,000 watt generator. Average energy use is currently about 5,000 watts per person in Switzerland. The City of Zurich has signed up to a target that would see its citizens meet the 2,000 watt level by 2050.

The development is built with the changing make up of households in mind. It is designed to provide homes for households of all types including older people, single person households and traditional nuclear families. The development has apartments of different sizes and incorporates common spaces and rooms that are designed to be relevant for different demographics and family types.

Thirteen buildings with nearly 400 housing units, 35 retail units and large shared community spaces were completed between autumn 2014 and summer 2015. The project was completed at the end of 2015 with all housing units and 90% of retail spaces rented out. In 2016, 1,200 residents and 150 employees live and work in the buildings within the project.

Aims and Objectives

Cooperatives in Switzerland aim to operate according to the principle of “helping people to help themselves”. The ‘More than Housing’ development was based on this tradition. Other objectives included creating a community that embraced households and families of all types. The ethos is a community open to all, especially those in need of affordable housing and affordable working space. It also sought to promote an ethos of initiative-taking and self-organisation in basic democratic structures and to put into practice the vision of a 2000 Watt society.

Context

The Swiss population is aging fast. Switzerland has one of the highest life expectancies and one of the lowest birth rates in the world. This has led to an increasing population of elderly people many of whom are single. As a result, the make-up of Swiss households is changing, with more single person households and more older people. Zurich has a large cooperative housing sector. More than 25% of all homes in the city are not-for-profit. The majority of which are owned by housing cooperatives. But for many years during the late twentieth century the construction rate in the city was extremely low. The situation caused market priced housing to soar in value and many people were priced out of the city.

In 2011, there was a local referendum in which the city voted to increase the proportion of not-for-profit housing to 33% by 2050. In order to achieve this, the local authority released a number of sites for the development of low cost housing. The area of Hunziker Areal, where ‘More than Housing’ is based, was one of the sites released. It was a large four hectare site on the northern edge of the city. The land was waste ground next to a recycling plant. It was generally considered to be an unfashionable district of the city. The nature, location and size of the site made development high risk. No single cooperative was able or willing to develop the site by itself. However, a consortium of 30+ cooperatives came together to form ‘More than Housing’.

Key Features

Participation is at the core of everything that ‘More than Housing’ does. A ‘dialogue process’ was introduced at the beginning of the design of the building and continued through development and into the operation and management of the completed buildings. The design, for example, was decided through an architectural competition, which resulted in focus groups where not only the jury and the winning teams participated but also future residents, neighbours, the founding cooperatives and local authority representatives.

Up until the construction began in 2012, the feedback and visions of the participating parties were taken into account. Specific open spaces and parts of the surrounding area where deliberately left unfinished when people moved in, so they could be adjusted when residents were in a better position to see how they wanted the spaces to be used. All tenants are invited to play an active role in shaping the neighbourhood. Ten non-commercial common spaces are available for them at no cost. Additionally, an annual budget of approximately CHF 80,00 (USD $83,000) from the solidarity fund is at the tenants’ disposal for community initiatives, such as farming and communal gardens, establishing a grocery shop, café, swap shops, dancing and yoga classes. This fund is raised by contributions from residents.

Currently, over 40 groups are registered with and supported by ‘More than Housing’. In addition, close relationships and joint initiatives with the nearby school and other social networks in the north of Zurich such as a youth work project have been established.

What impact has it had?

‘More than Housing’ was itself conceived as an innovation. This means that it is used to test various research projects such as the 2000 Watt society.

How is it funded?

The development was financed with equity provided by the founding members, loans from the City of Zurich, national funds for cooperative housing and commercial bank loans in total amounting to CHF $195 million (USD $202.5 million). ‘More than Housing’ believes it is on target to repay the loans ahead of the due dates.

The cooperative is based on not-for-profit principles. This means there are no commercial shareholders and there is no payment of surpluses to members other than paying interest on members’ equity. Almost all the income is obtained from rent. This income has to cover repayments on the development loan and running costs as well as providing funding for further renovations and infrastructure investments.

Apartments are let at rents that are generally lower than one third of household income. The average rent for a four room family apartment is CHF 2000 (USD $2,000) a month. This is about 70 to 80% of market levels.

Twenty per cent of households in the development have an income that is below the Swiss poverty level. The rent of these households is subsidised.

  • In Switzerland, a rent cap is imposed on cooperatives annually. Budgets are set and if necessary costs are adjusted to ensure that rents are within the rent cap. This cap corresponds to the amount needed for cooperatives to cover the cost of the financial duties (interest rate, deductions), reserves for renovation and the administrative costs. This is the maximum they are allowed to charge.

Why is it innovative?

The scale and extent of this project makes it one of the largest and most ambitious cooperative housing programmes in Europe. The environmental features of the development go way beyond legal requirements. The development is the largest 2000 Watt neighbourhood and is an extensive test bed for low-carbon living.

The deliberate policy to promote social diversity throughout the project is innovative. The concepts are included in the architectural design (to respond to multiple needs), through to the management to the allocation of tenancies (by engaging organisations working with different underrepresented groups). The project brings together the knowledge of traditional cooperatives and new ideas from more recent ones, to produce a complex, experimental new form of cooperative.

What is the environmental impact?

The building complex is designed to be 2000 Watt compatible. That means the building’s energy use is low enough that people can live in it and reasonably achieve the 2000 Watt target with realistic changes to their lifestyles. So far, the living habits of the residents have not yet reduced to keep energy consumption within the 2000 Watt target but the design and lifestyle initiatives promoted in ‘More than Housing’ have helped to work towards this objective.

Floor space consumption is 33 m2 per person, this is less than the average in Zurich (42 m2). There are no individual washing machines. Instead, shared, free launderettes can be found in every residential building, equipped with energy efficient machines. Large private freezers are replaced by centrally located freezer lockers for rent. ‘More than Housing’ generates 45% of its electricity through photovoltaic cells on the roofs. Heating is provided through a district heating system. The building was built with low embodied energy materials. Two houses are constructed entirely from solid wood, one was built with insulating concrete. All the buildings have extremely high levels of thermal insulation.

‘More than Housing’ is nearly car-free and has good public transport, above-average bicycle parking and only 106 car parking spaces for people with disabilities or retail tenants (e.g. bakery employees). Residents do not own cars but use the national car sharing scheme or choose between two electric cars and a bike sharing pool owned and managed by the cooperative. Native trees and bushes improve biodiversity and one house has a vertical garden. Two communal, urban gardens and spaces for herbs are cultivated by residents.

Is it financially sustainable?

The development is financially sustainable. It is on schedule to repay its development loans ahead of schedule. Repayment and operational costs are met by rental income. Every resident becomes a cooperative member and purchases shares. Through this, equity increases over time and the capital stock can be decreased. The development has created 150 jobs, which increases the community’s wealth. Rent is charged at 20% to 30% below market levels creating a saving for those moving from market priced housing.

What is the social impact?

An aim of the development is to create a lively neighbourhood where people like to live, work and spend their leisure time. The development is designed for people from all social strata and of all ages. By exploring the housing needs of the future, ‘More than Housing’ offers space for all kinds of households, from single units, family apartments to large cluster apartments with up to 15 rooms.

The project actively approached excluded groups and supported them through activities to facilitate integration. Although the rents are already low compared to the free market, 80 of 370 apartments are additionally subsidised by 20% by public authorities. Ten per cent of all apartments are reserved for charities and non-profit foundations that work with people with disabilities, families with immigrant backgrounds and restricted budgets or children in care.

The cooperative structure provides a framework where individuals are empowered to actively participate in and shape their community, which not only creates strong social networks but also provides a safe and appropriate environment. About 65% of the inhabitants haven’t lived in cooperative housing before and have been supported in learning and participating in the democratic structures of the cooperative. With over 300 children under the age of seventeen, a large community of young adults will grow over the next decade with a deeper understanding of ecological and social sustainability and an understanding of shared housing principles. Living in a community promotes social and intercultural integration. Exchanges with your neighbours also include having to learn how to deal with conflicts.

Barriers

One main barrier encountered was the complexity of the development, which was initially underestimated. To develop such a large project with five architectural practices, hundreds of specialist planners, who were asked to be innovative and a contractor under considerable cost-efficiency pressure (to keep the rents low), was a big challenge.

As a newly founded cooperative, another barrier was gathering initial funding. The help of the large and long-established cooperatives in Zurich proved to be crucial. They gave credibility to the reliability of the concept and provided the funding for the project development and their long relationships with the financial institutions and the City of Zurich helped secure low interest loans and guarantees.

Lessons Learned

Regarding the social diversity of the inhabitants, the development has a wide spread in backgrounds, income and ages but people older than 70 are underrepresented.

The development found that older people needed more time to decide and plan to move into a new community but there was financial pressure to rent all the apartments as fast as possible. They recognise now that they should have reserved more small units for older people to ensure they would have a greater chance of being part of the project. ‘More than Housing’ reserved a part of the site’s four hectares for future developments. This can be an opportunity to adjust the design and allocation of space based on existing and future feedback.

Evaluation

Three separate evaluations are underway but have yet to report:

  1. A three-year research programme is currently evaluating the development’s contribution to the 2000 Watt society concept.
  2. A three-year research programme in cooperation with the Age Foundation of Zurich is evaluating the demographic make-up of the cooperative.
  3. A financial evaluation is being conducted with the main contractor Steiner AG.

Recognition

  • Winner of an Urbamonde “European Community-led Housing Award” 2016 .
  • Best Architects Gold Award for “Mehr als Wohnen, Haus G” .
  • Winner of the Special Price Brick Award 2016 for Duplex Architects Haus A .
  • Shortlisted for “Auszeichnung für gute Bauten 2011 – 2015“ City of Zurich  (winners yet to be announced).

There is a series of publications on the Mehr als Wohnen website (go to Medienspiegel) in German, and the project has also been captured on TV and in films .

The cooperative offers guided tours for groups and individuals. Since May 2015, more than 3,300 people have visited the site. Most of them are from Switzerland but they have had visitors from all over the world.

Transfer

The establishment of ‘More than Housing’ was an important trigger and had a large impact on the development of the north of Zurich into a sustainable, lively new part of the city. Several construction projects started in the area, which was previously just an unattractive waste land, with similar aims and run by cooperatives or public authorities e.g. “Leutschenbach Mitte” by the City of Zurich or “Thurgauerstrasse West”, a cooperation between the City and cooperatives.

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Authors:

World Habitat

A Roof, A Skill, A Market

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A Roof, A Skill, A Market

Mismatches Cultural suitability
Policies and regulations Participatory processes
Urban Design Quality
Promotion and production Participatory processes Materials Self-construction

Main objectives of the project

Date

  • 2016:

Stakeholders

  • Promotor: World Habitat

Location

Continent: Africa
Country/Region: Burkina Faso

Description

Project Description

The project revives an ancient architectural approach to overcome the problem of unsuitable materials being used for roofs in houses in the Sahel. Traditionally house roofs were timber framed, but deforestation and the increasingly arid environment led to a scarcity of timber. In its place metal girders, concrete and sheet metal were used. These provide poor heat insulation, have to be imported at great expense and have high embodied energy.

The Nubian Vault Association’s programme “A Roof, a Skill, a Market” promotes a sustainable and affordable alternative: the vaulted earth roof. This approach uses sun dried mud bricks to create a vaulted roof that supports itself and so doesn’t need supporting beams or joists. The design borrows building techniques and materials used in ancient Egypt. A house built using this technique is more comfortable, healthy and robust than one with a sheet metal roof. It is also cheaper and can be made from freely available local materials. The project started in Burkina Faso but has spread to other parts of Western Africa including Mali, Senegal, Benin, and Ghana.

A previous submission to the World Habitat Awards from the Nubian Vault Association for ‘Earth Roofs for the Sahel’ – which was a finalist in 2009 – focused on the initial stages of this work in Burkina Faso, Mali and Senegal. This submission describes how the Nubian Vaults programme has developed and achieved greater impact though the process of scaling up and the transfer of the programme to two other West African countries via training, capacity building and network development.

This market -based programme aims to generate, grow and sustain the local supply and demand for the Nubian Vaults via three interconnected concepts:

  • a Roof (referring to the development of appropriate housing within a local housing market),
  • a Skill (i.e. supporting the training of masons and entrepreneurs),
  • a Market (creating economic opportunities by encouraging those involved in the housing market to take up this solution).

The Nubian Vault Association works through pan-African collaborations and knowledge exchanges between a wide range of actors (masons, project leaders and key stakeholders) in order to progress the work at a regional level and learn from different experiences.

Since its inception, the association has constructed 2,000 buildings, and housed 24,000 beneficiaries in five countries, trained 440 masons and 400 apprentices, contributed 2.4 million euros (USD $2.6 million) to local economies and saved an estimate of 65,000 tons of CO2 equivalent (calculated over a 30-year lifespan of the building).The core target group for the programme are rural populations of West Africa, living on less than USD $2 per day and outside formal economies. But, the concept is flexible and appropriate for various uses and types of clients: urban and rural, private and community, low and high income. The association adapts the technical research undertaken in order to adjust their offer and techniques to these differing variety of needs.

There are several groups who benefit from the Nubian Vault Association programme:

  • Local populations with access to affordable and suitable alternative housing and improved livelihoods.
  • Women and children, in particular, are the primary users of houses and courtyards.
  • Local young people have access to vocational training, helping them to find a place in the workplace regardless of their previous level of education. Most of the apprentices and masons are seasonal farmers, with little income security. The jobs within the programme provide them with and additional income during the off-season; masons also learn from other masons from different west-African countries, enriching their experience and knowledge.
  • Local artisans and building companies benefit from a new product which enhances their competitiveness in a green growth context. The Nubian Vaults are low-tech and cost-effective, an ideal business solution.
  • Community members are trained as ‘key people’ – in charge of liaising with other members of the community, and through the programme they learn new skills of community organising and awareness-raising.
  • Local stakeholders using offices, shops, agricultural facilities, classrooms, health centres etc. gain access to adequate and appropriate infrastructure and increased levels of comfort.

Aims and Objectives

The main purpose of the programme is to help as many people as possible across the Sahel region of Africa access appropriate (affordable, decent and durable) housing. The programme also aims to boost the local economy, create jobs through the training of masons and reduce the impact of climate change. Ultimately the association’s goal is to significantly scale up the programme so that it delivers 300,000 homes and trains 60,000 masons by 2030.

Context

Housing is precarious for the majority of the population of the Sahel Region. Incomes are low and the local economy is weak. Urban growth and deforestation have led to the disappearance of the natural timber resources used in traditional architecture. Alternatives to traditional housing construction such as the materials used (cement, steel, corrugated iron roofing) and the monetary systems involved (imports, use of cash), have failed to deliver sustainable housing to the majority.

Sahelian societies are characterised as predominantly rural (80%) and are mainly subsistence farmers. These populations struggle to meet their daily basic needs and have a significant need for income-generating opportunities. Political involvement is usually weak, yet the interest in better housing solutions using local materials has recently grown, given the challenges posed by climate change. The National carbon reduction policies in Burkina Faso and Senegal specifically mention the Nubian Vault as an appropriate solution for sustainable development.

Key Features

The roofs are affordable because they use widely available material, and communities participate in the construction. For example a 25 m2 Nubian Vault in Burkina Faso would cost about 450 euros (USD $500), of which 300 euros (USD $332) is provided by the client in materials and sweat equity. By comparison, a cement and iron roof in the same area would cost about 1,000 euros (USD $1,107).

They are environmentally sustainable. Materials have low embodied carbon because they are locally available reducing the need for transport.  They reduce the local demand for timber which helps reduce the threat of felling trees. The techniques are embedded in local traditions as a revised version of a vernacular form of architecture. These offer a great degree of energy-efficiency and thermal stability. The strategic approach taken by the association is to create and sustain an affordable local market for the Nubian Vaults solution, both in formal and informal ways, in order to make it accessible to as many people as possible.

The initial dissemination methodology is focused on pilot villages, in which agents of the Nubian Vault Association supported by a ‘community stakeholder’ (a key member of the community) conduct awareness-raising activities in order to generate an initial demand amongst potential clients. The community stakeholder is a person with a certain degree of influence in the area, who believes in the value of the vaults as a solution for housing, employment and economic development and who has the capacity to convince others within their own communities. Typically, this person is a farmers’ group leader, or someone already involved in a similar organisation. Many of these key people are women. Their role is central to creating more opportunities to disseminate the concept. Similarly, local Civil Society Organisations play a key role in the dissemination of the concept and growth of a local market for the vaults. This dissemination also happens in parallel to the training of masons through apprenticeships and in some cases this training is delivered by masons from other countries where the project is at a more advanced stage. From these villages the Nubian Vault concept is spread to surrounding communities in order to stimulate a local market for the solution. The masons themselves participate in this dissemination by promoting it through their networks and activities.

In terms of spreading across the region: in the early stages of the programme, new countries (Mali, Senegal) came on board in an ad hoc way at the invitation of local NGOs. But as the project has reached maturity, it has made more strategic choices regarding which countries to work in. Representatives of the programme have undertaken exploratory missions to find out about that the quality of the earth, rainfall levels, types of beneficiaries and the interest levels of potential partners.

For each new country, an international volunteer is trained to lead the implementation by staff from the Burkina Faso office. As trainees participate directly in the daily activities of that office, overheads and training costs are kept low. A strategy for regional duplication is established from the start, to maximise dissemination opportunities, according to resources and relevance. A national team is put together to conduct awareness-raising activities among the local population generating a demand for the vaults and interest in training masons and other building professionals and among local civil society as well as local, regional and national institutions and private sector organisations.

One of the first actions when starting in a new country is building a new office. This itself is an important part of the programme, as the construction of this office serves as an opportunity to train local apprentices in the technique. The finished building becomes a demonstration model of the concept. The land on which the offices are built is not bought by the Nubian Vault Association but granted rent-free to the organisation by local landowners, in exchange for the transfer of the building ownership after an agreed term (around 10 years).

In recent years, building upon its success, the programme has developed new strategies to stimulate the market and reach as many people as possible:

  • They have developed more extensive technical and entrepreneurial training for masons enabling them to increase production every season and to successfully embed their work into their local market.
  • The programme also encourages other organisations to include the vaults into their construction projects.
  • The programme has introduced microcredits and subsidies to improve access to housing for those for whom the low cost of a vault is still too high.
  • Regular meetings of masons and organisations are held across the Sahel region so people can exchange experiences and increase their collective knowledge and to provide a platform for people to report back on progress and share achievements.

A key aspect of the programme is that it supports the relationship between masons and clients. It does this by marketing the concept of the vaults to the public in order to stimulate demand. It also mediates between masons and clients where there are misunderstandings and disputes. This helps reduce the risk of the mason leaving the work unfinished or the client leaving the mason unpaid. The programme also has a vocational training scheme. To date, 440 masons have been trained, there are currently 400 apprentices.

The seasonal nature of the programme complements subsistence farming. Vaults can only be built during the dry season, whereas subsistence agriculture (which is the major source of work) is only possible in the rainy season. Without this scheme there is little work in the dry season, this situation has led to an exodus of young men seeking work. The scheme helps stem this exodus. The Nubian Vaults Association works in an open source manner. This enables it to focus its activities on setting up the programme in new areas and then withdraw leaving the implementation and running of the programme to local people.

What impact has it had?

The programme has played an important role in helping countries of the Sahel region meet their climate change commitments. All United Nations member states were asked to produce commitments for climate change alleviation for the 2015 Paris Climate Conference (called “Nationally Determined Contributions” by the UN). These commitments were expected to show how the countries were going to reduce greenhouse gas emissions and transform practices to adapt to climate change. The Nubian Vault technique was identified by the governments of Burkina Faso and Senegal in their commitments to this conference.

The Government of Mali also chose to identify Nubian Vaults as an appropriate tool for development in its 2016-2018 Strategic Framework for Economic Stimulus and Sustainable Development. This is a public policy framework connecting economic growth and better living conditions for people. In Benin and Ghana the association has led sustained advocacy work throughout 2015 and although the Nubian Vault is not specifically mentioned in the Nationally Determined Contributions of these countries, there is recognition of the importance of the construction and housing sectors in climate change alleviation and adaptation. This represents a step forward in transforming the construction and housing sectors, by recognising that there needs to be a change. Although it is difficult to attribute the impact of this, in Ghana, interest within public sector organisations in the Nubian Vault increased after the Paris Climate Conference.

How is it funded?

The costs of running the programme have increased yearly with the growth of the programme.

  • In 2005, the annual budget was of 11,700 euros (USD $13,000), all staff were volunteers.
  • In 2012, with three countries in operation, the budget had grown to 366,000 euros (USD $405,000) and the programme had 20 salaried employees.
  • In 2016, the budget of 1.4 million euros (USD $1.5 million) covers five countries and a wider range of activities is supporting the work of 70 employees.

The Nubian Vaults Association itself is funded by grants.

  • The first major funding received was a grant from the French Foreign Affairs Ministry of 30,000 euros (USD $33,500) in 2003-2004. Prior to that, activities were funded through individual donations and the personal investment of the co-founders.
  • In 2015-2016, the association received half its support from public sources (French Development Agency, French Facility for the Global Environment) and half from private and corporate foundations.

Why is it innovative?

The innovation lies firstly in the technology itself, simple, replicable, modular and affordable. The mud bricks are sun-dried, requiring no machinery, and assembled with an earth mortar following a simple technique. The social entrepreneurship approach taken by the Nubian Vaults Association is innovative.  Rather than building houses directly, the programme creates and supports a local market in which local masons, apprentices, businesses and clients can operate.

The pan-African nature and cross-country collaboration of the programme is unusual. All country and regional teams meet every season for regular steering committee meeting. Masons in training also have the chance to meet annually at the Masons Congress organised in early June. In 2016, Malian masons were invited to the Burkina Faso congress, with the aim of enhancing skills, capitalising on knowledge and sharing experience from mason to mason across the sub-region. The programme also mobilises the most experienced masons – from Burkina Faso and Mali – to train the first generations of masons in the new countries (Senegal, Benin and Ghana).

What is the environmental impact?

The Nubian Vaults technique facilitates the construction of sustainable, low-carbon buildings and represents a real solution for climate change mitigation and adaptation for the housing sector in West Africa. The main building materials are sun-dried mud bricks, made from locally available earth and the vaults do not require iron roofing sheets, most commonly used in the Sahel despite their environmental inappropriateness (imported, heavy carbon footprint for production and transport).

Earth bricks have very low embodied energy: they are produced without any machinery or fuel wood, on or close to the construction-site and their use is sustainable given the geological nature of these territories. The thickness of the walls and roof and the natural isolation qualities of the earth bricks, provide improved thermal comfort compared to all other construction solutions available in the region. Comparative thermal measurement studies in Burkina Faso and Senegal have confirmed the advantage of the Nubian Vault solution in this respect.

This thermal stability also improves community buildings, such as health centres, schools (longer school hours are possible, in particular in the afternoons, and students and teachers alike benefit of better studying and working conditions), or agricultural facilities (better productivity, longer storage of perishable products). For a 25 m2 building and over a 30-year life cycle, carbon emissions are estimated at 20.5 tons. Nubian Vault constructions also safeguard natural resources, using neither wood nor straw. Traditional houses used both of these materials for the roofs.

Is it financially sustainable?

Costs are expected to grow in line with the growth of the work of the organisation and with the increased demand for its presence in new regions or countries. Expectations for forthcoming budgets are: 2 million euros (USD $2.2 million) in 2016-2017, 2.5 million euros (USD $2.7 million) in 2017-2018 and 3.3 million euros (USD $3.6 million) in 2018-2019.

The Nubian Vault Association maintains its fundraising activities in line with this projected growth. It is preparing to adjust its economic model in the near future to leverage more support from social investors. In keeping with its determination to work with others in an open market, the association aims to create a hybrid for/non-profit model to make it financially viable. This would transfer ownership of the development of a sustainable housing market to local actors (states, training centres, businesses etc.).

The association’s financial partners are not just philanthropists, they are social investors who expect social returns: houses built, masons trained, improved economies and climate change adaptation strategies. Results-Based Financing is a perspective on social investment that focuses on real impact rather than specific projects or processes. This approach allows the Nubian Vaults Association to build a comprehensive, integrated programme aiming to deliver its overarching mission, anticipating its results while providing it with the capacity to adapt its strategy to the context.

What is the social impact?

The Nubian Vault programme has already provided better housing for 2,000 households, with the associated health benefits of improved room temperatures etc., improved living standards and cash savings, especially in very low-income communities and rural areas. Women and children are key beneficiaries of given that they spend more time at home than men.

The nature of the architecture (using raw local materials) encourages the clients and their close circles to participate directly in construction. This helps reduce the costs of the building but also generates a greater sense of control, ownership and achievement, encouraging the custom of community participation and reinforcing traditions of cooperation. The programme has the potential to operate throughout the Sahelo-Sudanian strip, from Senegal to Djibouti, the Nubian Vault has the potential to transform the housing situation of millions of people.

As in most parts of the world, construction in the Sahel is traditionally a male profession. However, Sahelian women are responsible for domestic expenses, including the costs of building the homes. The participation of women in the programme is very important as women have a key role in choosing the type of house the household buys or builds. This does not imply that all decision-making is done by women, but that they often have a key role in household finances. The savings involved in Nubian roofs can help money be redirected to other domestic expenses such as health, education, food, and fuel.

Barriers

A first barrier encountered was the prejudice against earth construction, seen as too poor, too fragile, not modern enough. The Nubian Vault Association’s strongest argument to counter this prejudice has been the vaults themselves, which demonstrate the versatility and modernity of earth architecture. Today, demand is stronger than the supply of masons, proving this challenge has been successfully overcome.

A second barrier is the lack of organisations involved that support the growth of a sustainable housing market. From the start the programme has had a sustained advocacy strategy but the response was initially slow. With environmental challenges and climate constraints, there has been recently a positive change, indicating the early stages of adoption of the Nubian Vaults by organisations and market stakeholders who are looking for sustainable and low-carbon solutions for human settlements. The Nubian Vaults Association continues to capitalise on this progress in order to boost and accelerate replication.

Lessons Learned

The Nubian Vault Association’s experience initially demonstrated that its exclusive focus on rural communities was not sufficiently efficient: for macro-level impacts they realised they needed to reach to all layers of society and include all possible actors (rural, urban, private, institutional etc.).

The strategy is therefore now much broader and the inclusion of beneficiary communities in the activities (key people in communities, masons, training apprentices, local partners replicating the method), is also a key to long-term success, to enable better knowledge transfer and dissemination.

Evaluation

The programme is evaluated annually, through a bottom-up data collection process in which information is incrementally transmitted from field agents to the international coordination, to create a country-level report. External evaluations also take place regularly to provide non-biased analysis. The results demonstrate the programme’s significant success, with a 30% average growth in the Nubian Vault market.

Analysis has shown that demand is now higher than the level of supply achievable with the number of trained masons, indicating potential for further growth. Consequently, the association has established activities aimed at accelerating production (training units, entrepreneurial support and financial incentives for masons) and the adoption of the vaults solution.

Recognition

The work of the Nubian Vaults Association has received considerable international recognition and over 15 awards for its work for better building in Africa.

Nubian Vaults are frequently visited by neighbours and people who have heard of the concept (in the country or abroad, including other continents).

All built Nubian Vaults serve as ‘model homes’ for the programme and act as key dissemination tools by showing the benefits directly (temperature, comfort, solidity, aesthetics etc.).

Transfer

Initiated in Boromo, Burkina Faso, the programme has since spread to other regions of Burkina Faso (2006) and to neighbouring countries: Mali (2007), Senegal (2010), Benin and Ghana (2014). A few pilot construction projects were also led in other countries, Zambia (2010), Mauritania (2014), operated by local or international NGOs.

Its change of scale began in 2007 with the opening of a second country programme and has accelerated since 2014 and the approach has considerable potential for growth (300,000 houses, three million beneficiaries, 60,000 masons and apprentices by 2030). The association hopes to deploy its programme to other countries of the Western Sahelian region, adjacent to its present territories of action. These would include: Togo, Côte d’Ivoire and Guinea and is also looking to expand to other African sub-regions: Sudan, at the Eastern tip of the Sahel-Sudanian strip, and Rwanda, a key location for expansion both towards Eastern and Austral Africa.

The Nubian Vault construction technique is potentially transferrable to any area where there is low rainfall and timber is in short supply. The association is constantly working to disseminate the concept to local community-based organisations.

Imagery credits: C. Lamontagne Cosmos

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World Habitat

Rent to Buy Scheme

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Rent to Buy Scheme

Mismatches Services Diversity
Policies and regulations Regulation Building capacity
Urban Design Liveability Regulación Técnica
Promotion and production Self-management

Main objectives of the project

Date

  • 2015:

Stakeholders

  • Promotor: World Habitat

Location

City: Inverness
Country/Region: United Kingdom

Description

The Highlands Small Communities Housing Trust (HSCHT) ‘Rent to Buy Scheme’ helps people on low income living in the remote highlands of Scotland to find an affordable home. At the heart of the scheme is a financial mechanism which enables low income families to save up to buy a home whilst they are renting it.

 

Project Description

Aims and Objectives

  • The main aim of this programme is to provide local people in some of the remotest communities of the UK with access to affordable housing and to ensure that the houses that are built remain affordable into the future.
  • The benefits of the scheme extend beyond those who buy the homes. Local contractors benefit from the construction work when the houses are built. Indeed the scheme specifically targets small local building firms. HSCHT also supports training and development and provides a route into apprenticeships for local young people in rural communities. This support is provided in partnership with the University of Highlands and Islands and the contractors employed to deliver Rent to Buy properties.
  • Rural communities retain a greater mix of people, helping local employers retain staff.
  • The affordability of the homes is protected over the long term through a legal mechanism.
  • Local authorities also benefit from reduced pressure on the housing waiting list.

The Rent to Buy Scheme is one of a number of approaches used by the Highlands Small Communities Housing Trust to help small rural communities access affordable housing. The model was designed by HSCHT and is being delivered in partnership with the Scottish Government and the Highlands Council.

The scheme builds new houses and lets them to families at below market rents. Part of the rent is retained by HSCHT and is available as a lump sum that is used as a deposit to buy the house. The scheme is self-financing and does not require a government grant but is supported with development loans from the Scottish Government.

Context

The Scottish Highlands is a huge area covering much of the North of Scotland. As its name suggests it is a mountainous, remote and undeniably beautiful area. It is one of the most sparsely populated parts of Europe, comparable in population density only with Northern Sweden and Finland. The area has become increasingly depopulated over many years.

The Highlands has a thriving tourist industry, which provides employment but does create distortions in the housing market. A large amount of the housing stock is used as second homes and holiday lets. This limits the amount that is available for the local population to rent or buy. The problem is particularly acute in the summer when tourists and seasonal workers in the tourist industry occupy much of the available housing. The effect of this is many local people are forced into inadequate or inconvenient alternatives (for example using caravans or ‘sofa surfing’). Many families unable to find decent housing choose to leave the area altogether.

Since the economic crash of 2008, the availability of mortgages has become much more restricted in the UK. In particular lenders require large deposits (often 25 per cent of the house value) before they will offer a mortgage. House prices in the Highlands vary, but because incomes in rural areas trend to be lower than in urban areas, the ratio of incomes to prices makes renting and buying expensive. For families, repayments on a mortgage remain comparable to the price of renting. This means that many families who could afford to buy a house are unable to do so because of they do not have enough savings to pay the deposit.

Key features

Rent to Buy is a financial model which provides affordable access to home ownership. Tenants rent a property through the scheme with the option to buy it after five years. If they take this option they get a cash-back sum to help them with their mortgage deposit. The selling price is fixed, based on its value at the beginning of the five year term. This provides certainty for tenants and a potential benefit for them if the house goes up in value.

The scheme uses loan finance so the funds can be recycled. Interest on the original loan is repaid on the sale of the home making the scheme cost neutral. Rent levels are set so they can be covered by state benefits if the household has a low income. This means that tenants have a safety net if their income drops or they become unemployed during the scheme.

Affordability is protected using a legal mechanism (called the Rural Housing Burden); this gives HSCHT the right to purchase the property back from the owner if the owner decides to sell it. It means that HSCHT can allocate the house to another family who fits the criteria at the same equity share. This mechanism protects the future affordability of the property.

What impact has it had?

The scheme has provided 30 new affordable homes, with another 34 under development. In 34 small communities, housing 143 people and helping to sustain rural communities. Twenty-two local construction firms have been involved in delivering the schemes. Many have strengthened their links with local communities and have been able to protect their employees and retain their workforce. Young people have also had the opportunity to access training with contractors.
Funding has been agreed for a further phase. HSCHT are identifying sites and carrying out feasibility and financial viability studies.

The project has helped to raise awareness and increase the focus on rural affordable housing delivery both locally and nationally. The cost neutral nature of the scheme has drawn considerable interest as reductions in government subsidy on housing have been introduced in Scotland and other parts of the UK.

The Scottish Government is keen to see the scheme made available across Scotland.

The affordability of the housing has been protected by the ‘Rural Housing Burden’, ensuring that the new properties remain available to local people and aren’t sold on the open market.

HSCHT uses small local contractors and supports local business wherever possible. The houses are modern in design, and use large amounts of timber in their construction. This reduces embodied carbon and allows the houses to be highly energy efficient. Although designed locally, many of the houses look very different from traditional local houses which tend to be built from rendered stone or brick.

HSCHT supports local employment and training by working with the University of Highlands and Islands allowing contractors to set up apprenticeships for local young people.

Community engagement sits alongside the process of delivering Rent to Buy homes. In particular communities are able to feed into allocations policies so that they are able to take account of specific issues (such as a need for key workers like teachers or carers).

How is it funded?

The Scottish Government provides a development loan to cover the house building costs for the scheme. They have so far provided three loans to cover three building phases. For each phase the loan is due to be repaid after six years. The rental income covers the interest on the loan, maintenance, insurance and provides the cash back reserve paid to the tenants when they purchase the homes. HSCHT retains any surplus to contribute to its overheads.

 

Why is it innovative?

  • The project achieves the remarkable feat of providing high quality housing at a below market price without the need for government grant.
  • The model is transferable and can be used by others, for example communities or local businesses. The approach also supports the rural economy. Building contracts allow and encourage the use of local contractors.
  • For households in need of affordable housing with limited access to finance, the cashback element of the scheme gives them a deposit. This accumulates from rental payments over the five year rental period, meaning households don’t have to stretch themselves financially. A fixed price at the outset gives certainty to households using the scheme.

 

What is the environmental impact?

In the Scottish Highlands the weather can be particularly challenging and a focus on high levels of insulation, air tightness, suitable heating systems and the use of renewable technologies where needed (for example photo voltaic panels) have been encouraged on all builds, all of which reduce the running costs of a home.

The first phase of the Rent to Buy Scheme includes seven different developments. Each contractor chose their own house design as appropriate for the site conditions and location. Features include careful design and siting to reduce wind cooling and to increase passive solar gain; high levels of insulation; elimination of fabric thermal bridging and high levels of air-tightness; wood fuel stoves with back up electric heating; low dual flush WC’s; and flow reduced/aerating taps and showers rated at no more than 6 litres of water per minute.

The use of local contractors and local materials also reduces the overall carbon footprint of building activity.

 

Is it financially sustainable?

The Rent to Buy Scheme is self-financing. It creates an income through rent payments and the sale of the houses. The income pays for the cost of running the scheme and allows funds to be reinvested into building new houses.

The scheme generates a predictable income for HSCHT. This has enabled them to retain a skilled staff team. The scheme has helped to raise HSCHT’s profile within communities and with local and national government; providing greater funding opportunities for other projects and schemes.
The use of local contractors ensures as much of the investment as possible remains and circulates within the community and supports other local businesses, shops and services.

 

What is the social impact?

HSCHT works with a network of councils and other bodies such as local development companies – these partnerships have helped to identify a hidden housing need within rural areas. Building more affordable homes in hard to reach rural areas reduces the pressure on more highly populated areas. It also strengthens informal care networks and helps to retain key workers locally (key workers provide essential services, for example health workers, fire fighters, teachers or police). Not only do these benefits reduce costs for central and local government, they also ensure an improved quality of life for people living in rural communities.

Affordable homes help communities retain families with a range of incomes and skills. Training and development provided through the scheme also improves opportunities for young people in rural communities.

 

Barriers

Land needs to be purchased at well below market value. This limits the scheme to places where either public land can be transferred or where there are legal obligations, or where a local landowner is prepared to sell land at a greatly reduced price.

The scheme relies on low interest rates on the loan capital; this was provided by the Scottish government. The scheme also relies on mortgages being affordable for families taking part in the scheme. The UK has benefited from low interest rates in recent years. A rise in the future may affect the attractiveness and viability of the scheme in future.

Some mortgage lenders do not lend on properties with the Rural Housing Burden. This narrows the range of lenders for purchasers.

For Phase 1, there was a short window of opportunity to use “underspend” funding provided by the Scottish Government, so the final project had to be drafted over just four months. This included land purchases, providing a certificate of title for each of the landholdings, assessing total project costs, potential cashbacks and selling prices, agreeing loan drawdown schedules and creating the draft offer for each tenant/purchaser.

The topography of the Highlands creates challenges for building, for example where there is a steep slope. On one site this was addressed by building into the hillside and on another by building a house on stilts. This added to the building costs.

 

Lessons Learned

  • Talk to as many local partner organisations and involve them wherever is feasible. They could have land, expertise and/or access to finance that may be useful.
  • Carry out extensive feasibility work to make sure sites are viable and identify any development issues prior to starting construction activity. Some sites will be rejected but budget overspends will be prevented. Build in a realistic contingency in the financial assessment – there is always something unexpected.
  • A clear design brief should be provided to contractors at the beginning. Smaller firms can be encouraged to tender for contracts through flexible procurement processes.
  • In working with local contractors allow flexibility in the contract. Delaying the start of a build by a month or two may allow the contractor to meet the contract terms more easily. Maintaining open communication channels is important.
  • Working with local contractors is worthwhile in challenging build environments – they are more aware of local issues and can come up with inventive solutions.
  • Continuously look out for potential future building sites. Always have a few back up sites in case additional funds become available.

 

Evaluation

In 2015, the Scottish Government carried out an evaluation of the project to explore the possibility of rolling the model out across Scotland. This has yet to be published.

Follow up surveys with tenants will be carried out after around 18 – 24 months of moving in to their homes when they will be asked to quantify (as far as possible) the impact of access to an affordable home on them and their family.

 

Transfer

A second and third phase have been agreed by the Scottish Government and this will extend the scheme to more areas of the Highlands. The Scottish Government are keen to use the model across all areas of Scotland. Other organisations have also been keen to find out more, for example, communities looking to invest community benefit funds, community landowners and other housing providers, such as Housing Associations.

So far (in 2015), no other organisation has adopted the scheme but the Scottish Government is supportive of the housing model and may use it in other areas in the future.

Links

Authors:

World Habitat