ENGINEERING CONTRIBUTION

TO SLUM UPGRADATION
PROJECTS IN THE
DEVELOPING WORLD

By:
Abhinav Tomar (2K12/AE/003)
Alok Jha
(2K12/AE/007)
Bhavesh Dua (2K12/AE/022)
Bhoomij Ravi (2K12/AE/024)

Engineering for International Development

The foreign engineer may have a significant role to play in poverty alleviation
1
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and development. Engineering could address the huge lack of infrastructure
and basic services that exacerbate global poverty and hold back sustainable
development. Globally, many nations lack the basic requirements to survive and
develop; safe drinking water, basic sanitation, shelter and infrastructure,
aggravated by an increasing population putting even more strain on the earths
resources. Engineering has the potential to deliver solutions to these problems.
A major historical engineering contribution to development was Joseph
th
Bazalgettes design and implementation of an efficient sewerage system in 19
century London. Bazalgettes defining issue [sic] was dealing with the problem of
urban sewage and its disposal into local water courses and the resultant
occurrence of water related diseases such as cholera and their impact on public
health (Jowitt 2006). Bazalgettes sewer solution resulted in not only an improved
appearance of Londons streets but most significantly a huge increase in standards
of health (BBC n.d.), the sewer network is said to have added an average of twenty
years to life expectancy (Engineers Without Frontiers 2004).
Engineering could provide the vital infrastructure needed for societies to
develop. However due to an under-investment in aspects of basic infrastructure
and concerns of the detrimental affects engineering activity can have on the
environment, some have been wary of engineering offering a solution to aid
development in developing countries (Engineers Without Frontiers 2004).
Over the past two decades, engineering has not made a significant contribution
to international development practice. This is partly because of some past failed
attempts of infrastructure projects in developing countries which ignored critical
social, environmental and economic factors (Juma 2006). High profile projects
such as dams, power stations and prestigious commercial centres and highways
are not seen to have helped reduce levels of poverty or improved access to
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2

Engineering means the application of scientific and technical knowledge to solve specific questions.

Infrastructure is used within this report to describe the facilities, structures, associated equipment,
services, and institutional arrangements that facilitate the flow of goods and services between
individuals, firms and governments (Juma, 2006).

services, and the growth of slums outstrips any attempts to service them
(Engineers Without Frontiers 2004). Some of these large projects were
associated with ecological damage, corruption and macro-economic
distortions, consequentially leading to policy proposals that neglected the
important role of infrastructure in sustainable development (Juma 2006).
Because of these failed projects, much investment in engineering schemes
over recent years has often been directed to solving the expensive problems of
deficiencies in infrastructure. Such inadequacies include;
Lack of planning for ongoing operation and maintenance of the facilities
Limited attention to the development of a sense of ownership by the local
community
Political interference and intervention
Allocation of funds to countries without a poverty strategy of their own
Corruption, leading to ineffectiveness of infrastructure
(Singleton 2003)
This was prominent at the 2002 World Summit on Sustainable Development in
Johannesburg, where there was a call for alleviation strategies involving no
more hardware, noting that major investments in water infrastructure schemes
over the last 20-30 years had failed to bring any benefits. The Summit
emphasized that smaller-scale solutions suited to local capabilities,
understanding and skills would be more appropriate.
International contribution to development engineering poses a number of
challenges due to cultural, perceptual, technical, economical, social,
environmental, political etc. reasons. The typical western culture may assume
that development is positive and risks imposing this view on other cultures. For
example, many international contributions to development (although with good
intentions) may not actually be satisfying a need, may be a one-off demonstration
project, may not be affordable, reproducible, maintainable or culturally sensitive,
and could result in doing more harm than good to the recipient community.
The organizational imperatives of the [development] industry have
generally worked against our ability to act on what we do
understand about real development, rendering us not only
ineffective but often harmful as well (Dichter 2003).

Today, the international community acknowledges that engineers do in fact have a

key role to play in the delivery of the MDGs, and engineering professionals are
learning from the lessons of the past and beginning to understand how their role
should adapt to deliver sustainable solutions for the future.

The role of infrastructure and associated engineering fields are now accepted
as vital for the implementation of sustainable development strategies and
reaching the goals, as is the need for the delivery of engineering within an
appropriate integrated strategy;

The fields contribution can reduce poverty by contributing to

sustainable development (for example, by creating job opportunities
and raising agricultural productivity); and alleviate hunger by providing
the physical infrastructure needed to advance agriculture. These
technological measures themselves, however, do not solve the
challenges of poverty and hunger; they must be to be part of an
integrated strategy aimed at improving overall human welfare (Juma
2006).

The role of engineers in delivering infrastructure schemes needs to change

significantly (Singleton 2003). Paul Jowitt stressed this point when discussing
th
the role of the engineer in the delivery of the MDGs in the 6 Brunel International
Lecture delivered at the Institute of Civil Engineers in 2006.
In the past, engineers have driven highways and railroads across
continents, dammed mighty rivers, tunnelled under the sea and put
men on the moon. As engineers we are a key profession in the
implementation of societys desires and needs. Yet, our profession
needs to change in response to new social and environmental
challenges where we claimed to direct the powers of nature for the
use and convenience of mankind we now need to focus on working
with the powers of nature for the use and benefit of society (Jowitt
2006).

The capability of a nation to initiate and sustain economic growth depends on its
ability to provide clean water, good health care, adequate infrastructure, and
safe food, which undoubtedly rely on engineering capability. Domestic
competence needs to be built at the local level. Engineering capabilities such as
information and communication technologies (ICT), healthcare dependant on
infrastructure, improved technological knowledge and innovation, are vital for
sustainable development.
When the preconditions of basic infrastructure (roads, power and
ports) and human capital (health and education) are in place, markets
are powerful engines of development. Without those pre-conditions,
markets cruelly by-pass large parts of the world, leaving them
impoverished and suffering without respite (Sachs 2005).

The importance of investment in infrastructure and associated human capital

development was emphasised by Calestous Juma in the 2006 Hinton Lecture. He
highlighted that more attention needs to be paid to investing in people and
promoting technological innovation rather than simply short term palliatives that
relief activities often deliver. He highlights that a new focus on competence building
is replacing a traditional focus on emergency relief activities. This shift will involve
building capabilities in key areas related to production, project execution, and
technical innovationMuch of the work to build local competence entails training in
engineering and related management fields (Juma 2006).

Obviously, engineering has a positive role to play in alleviating the global

problems of poverty and delivering sustainable development, but the inter-linking
conditions that impact such issues must be carefully considered. The Institute of
Civil Engineers commission Engineers Without Frontiers states;
If engineering is truly to deliver the best possible outcomes to society,
engineers must understand their role in this wider field, and shape
their work and their contribution accordingly.
This is the new challenge that faces engineering, both at home and in
the global arena. Engineers must remain experts in their field but must
also understand the interaction between their work and the
environment, culture and society, and the economy. It is no longer an
apolitical activity indeed if it ever was. Engineering constructions are
not monuments, but just parts of complex, changing systems both
human and environmental (Engineers Without Frontiers 2004).

The Forth Brunel International Lecture, 2003 presented by David Singleton

stresses that the wider issues of sustainability must be addressed when
developing strategies to alleviate poverty. Singleton states that engineering
solutions are integral to mitigating poverty, but these must be balanced with
attention to social, economic and political influences in order to deliver
appropriate engineering.
Box 1 Conditions necessary for sustainable engineering
The conditions necessary for sustainable engineering projects;
The local community must be empowered by the decision-making process

The local community must be involved in the ongoing operation and

maintenance
National and regional governments must also be involved in the project
Project selection must favour those projects that lead to economic growth
Strength of the market economy is a prerequisite to economic growth

Close involvement of the local community will improve the chances of project
success, it needs to be owned.
Life-cycle engineering takes into account the operational and maintenance cost of the
engineering solutions proposed.
Empowered engineering takes into account the capabilities of the local communities.
Appropriate engineering will consider various options that meet the engineering needs of the
project. For example, these may adopt techniques of labour-based construction, (differing from
labour intensive construction) which facilitates knowledge transfer, creates jobs, encourages private
enterprise, creates ownership and may reduce costs.
(Singleton 2003)

Privatisation in Development
Various engineering organisations have dedicated teams to contribute to the
alleviation of poverty in the developing world, sustainable development,
humanitarian relief and the delivery of the MDGs. Large international
engineering consultancies, small to medium sized specialist engineering
organisations, independent consultants, engineering institutions, NGOs and
charities each have an important contribution to make.
Multi-disciplinary international engineering and management consultancies can
contribute to sustainable development in poor communities by delivering their
technical expertise to infrastructure and shelter for the development of the built
environment on a large-scale. These private firms may have the funds, skills and
expertise to address the infrastructure and shelter problems that urban slums are
experiencing. If the involvement of private engineering consultancies is
appropriately implemented in partnership with local organisations, a sustainable
solution could be achieved.
the market for engineering services is shifting towards developing
countries and the companies involved have to contend with a range of
new and unfamiliar challengesthe companies most likely to prosper
in this changing environment are those that are able to adapt their
business models to these new circumstances and align their
commercial drivers with the development priorities of the countries
where they work (Matthews 2008).

The contribution of international engineering consultancy could be effectively

delivered as humanitarian relief to post-disaster/post-conflict situations
which offer a window of opportunity for development (da Silva 2008).
The private sector can also generate economic growth to alleviate poverty
within developing communities;
Despite the focus on the role of aid in development, it is actually the
private sector that primarily drives the economic growth needed in
developing countries. It is the private sector that creates jobs and wealth.
And it is the private sector that is responsible for the investment,
innovation and technological progress than underpin both growth and
development (Overseas Development Institute 2008).

However, the informal economy of developing countries is huge and the

significance of this should not be ignored. Profits can be made by working with
economies in developing communities, the fortune at the bottom of the pyramid is
vast (Prahalad 2004), some have said it is the biggest market opportunity of the
next 50 years (Mahajan and Banga 2005), that it is possible to deliver profitable
solutions that also reduce poverty (Hart 2007) and that policies to help the worlds
poor and global environment are in fact some of the best economic

bargains on the planet (Al Gore commenting on Jeffrey Sachs book,

Commonwealth) (Sachs 2008).
In an increasingly globalized world, international engineering consultancies
can also integrate their corporate social responsibility (CSR) within their core
business practice.
Industry has the potential to make an enormous contribution to
development goals - not least because of the financial resources at its
disposal. But in addition to its monetary investments, industry can be a
force for good in other ways, for example by insisting upon and
contributing to good governance practices. Moreover, by aligning its
business activities with countries' or regions' development goals,
industry can not only meet its corporate and social responsibilities but
also protect and enhance its long-term business interests (Matthews
2008).

The Business Call to Action is a UK government campaign to mobilise the

expertise and efforts of large UK businesses to support growth in
developing countries and to contribute to the delivery of the MDGs;
Business is crucial to tackling poverty. Business is an engine of growth
and development and has the potential to impact developing countries
enormously. Increased investment, creation of jobs and the
development of goods, new technologies and innovations can all result
from business activity and considerably improve quality of life and
reduce poverty in developing countries (DfID 2008).

The Call to Action is encouraging companies to explore new business

opportunities that use their core business expertise in order to both achieve the
MDGs and to improve commercial success. For example, large engineering
consultancies such as Arup have now formalised their International
Development department, recognising that making a profit and doing the right
thing are not mutually exclusive (Foreign and Commonwealth Office 2008).
UK based engineering consultancies who have expressed their commitment to
the campaign by attending a UK government and UNDP Business Call to
Action event in May 2008 included;
Rod Macdonald, Chairman, Buro Happold
Terry Hill, Chairman, Arup
Keith Clarke, CEO, Atkins
Peter Gammie, Group Chief Executive, Halcrow
2008 has been a significant year for bi-lateral and multi-lateral campaigning to
speed up the delivery of the MDGs through the involvement of the private
sector. The United Nations ECOSOC held a special event in February 2008 with
hundreds of companies involved to explore how corporate philanthropy can
contribute to advancing the MDGs, particularly for sustainable development.
This meeting in fact discussed how private sector organisations can direct the

expertise of their core business practices into sustainable international

development (despite using the vocabulary of philanthropy).

Figure 1 The Corporate Contribution to Development

(Prescott and Nelson 2003)

Challenges and benefits of private sector involvement

in development
As the UK private sector is becoming increasingly aware of its role in the delivery
of the MDGs, there could be a new industry emerging an introduction into the
market place of a new privatised humanitarian assistance.
There are many benefits that this could bring. The private sector has huge
capacity and can bring the knowledge, experience, skills and technology to
offer a sustainable solution to development. Private sector organisations have a
commercial niche and logistics already in place to attract funding as well as
contingency planning skills that NGOs and CBOs may be lacking. For the
private firm there are numerous advantages to getting involved in development;
these include good publicity for the firm, increased staff morale and significant
profits in a new emerging market.
However, private organisations will also be motivated by profits, seeking to avoid
reputational risk, and will be motivated by the interests of their shareholders.
These factors will undoubtedly influence the nature of the firms involvement in
development, their choice of client and recipient location. Developed nations
governmental involvement has historically been influenced by strategic
political advantage; these factors could also be translated into the private
sectors contributions to development.

The Committee Encouraging Corporate Philanthropy highlights that both the

donor and recipient can gain from the situation;
Social investment, when conceived and executed thoughtfully,
creates a win-win scenario for both business and the public. From
boosting employee job skills, opening new markets, and heightening
brand recognition to strengthening communities and building non-profit
organisational capacity business and society both stand to benefit
greatly if companies demonstrate programmatic effectiveness, fiscal
accountability, and good stewardship in their philanthropic
contributions (Committee Encouraging Corporate Philanthropy 2007).

Box 2 Challenges of private sector involvement

Must conform to humanitarian law and basic principles of humanitarian aid - Red
Cross Code of Conduct
Need to retain level of impartiality
Commercial interests could overtake principles of humanitarian aid
Profiting from others misfortune
Private sector gain partnering with public sector money will be scrutinised, all must
be accounted for, needs transparency
Flow of private sector aid may be unpredictable
Recipients may become dependant and form expectations. Raises the question of
when to pull out
Permits governments to diminish responsibility
May struggle to build upon community relations that NGO sector has
Must consider coordination, long-term partnerships
Danger of replacing the humanitarian community should learn from and contribute
Adapted from (Tickell 2007)

Prerequisites for development

In order for a state to develop and for international development assistance
to succeed, there are a number of prerequisites needed. These include;
reasonable governance structures, a functioning civil society, freedom from
persecution, conflict, and corruption.
The main responsibility for the achievement of the MDGs lies with
governments. In particular, there is a need for good governance, rule
of law, human rights, ongoing efforts to tackle conflict and corruption,
and implementation of international norms and standards. There is a
need for more generous and effective assistance from donor
governments, debt relief and fairer access to global markets for
exports from developing countries. It is within such a framework of
government leadership that the private sector can most effectively play
a constructive role (Prescott and Nelson 2003).

Local and central governments need to build both capacity and capability in order to
support the development of their state. UK based engineering consultancies can
share their skills and expertise to support such governments in their development.
For example, for slum upgrading in particular, a shift is needed in national and
international poverty-reduction strategies. At present, many donors and NGOs have
no urban policy, local authorities and development agencies neglect cities assuming
poverty is a rural issue. Governance is key to improving the situation and
government capacity needs to be increased to: recognise the legal rights of
squatters; formalise rights through land tenure, ownership, city-zoning regulations
etc; urban planning needs to involve the urban poor in active participation of slum
upgrading projects; Enable pro-poor financing.

Partnerships
In order to build such capabilities, the UK based engineering consultancies
(private sector) can form international partnerships with governments, NGOs,
CBOs, Bi-lateral, Multi-lateral agencies, civil society and academia, to work
together in our globalized world, sharing local knowledge with technical expertise
to facilitate sustainable development;
Addressing global challenges requires a concerted effort, involving
all actors. Through partnerships and alliances, and by pooling
comparative advantages, we increase our chances of success (UN
Secretary-General, Ban Ki-Moon).

Such partnerships will be required to overcome organisational cultural differences.

For example Bi-lateral donors (e.g. DfID, USAID) do not have the flexibility that
companies have of choosing their recipient countries. Donor agencies and other
public service organisations prefer predictable arrangements, avoid risk and are
involved in work that is not always necessary to measure or quantify. Where as
private sector business is about generating profits, taking risks and engaging in
work for which successes are easy to measure. If the interface between these
differing organisations can be managed effectively, a significant advantage could be
possible by merging different skills and expertise.

The great potential of partnerships lies in the different assets that each sector
could bring. The challenge of cross-sectoral partnerships, including cultural
differences, could be overcome through a shared commitment to success, clearly
defined goals and ownership, and accountability from both partners. The
challenge for effective partnerships for development lies in harmonizing the
approaches of public and private giving e.g. ensuring that the diverse flows of
financing (traditional development assistance and the new forms of giving are
aligned for greater development impact) and ensuring the actions of private
donors are made consistent with long-term country development strategies.
(UN ECOSOC 2008). Figure 2 shows possible transfers and relationships between
stakeholders involved with (and partnering for) slum upgrading projects.
Nabeel Hamdi illustrates in his book Small Change that we need to reverse the
order of work and, in so doing, create more synergy and strengthen the linkage
between practical ground-level work and the more strategic business of policy
development and structure planningwe must increasingly move our territory
of operation outside of these [NGOs, CBOs, Local authorities, Governments,
Private entrepreneurs] individual realms and place our practice firmly in
between (Hamdi 2004). Hamdi shows the differences between the top-down
and bottom-up conventions and the alternative action planning (see Figure 3)
which offers a different process and, at the same time, consolidates the role of
the outsider as a catalyst, mediator, facilitator or enabler;

Figure 3 Planning processes

(Hamdi 2004)

Figure 2 - Dependency and relationships between Stakeholder Groups

Transfers
International
Finance

= Technical s
= Social skills
= Finance

Government
e.g.
- Capacity
- Capability
- Ethical values

International Engineering
Consultancy

Local partner
(NGO, CBO)

e.g.
- Develop new business
- Experience for future projects
- Satisfy CSR
- Communication skills
- Cultural sensitivity

Slum

Local

Global Society

e.g.
- Job creation
Engineering training

e.g.
- Climate change mitigation
- MDGs achieved

increased global security

Utilitie
Provid
(Cons
team)

Research Opportunity
There is an opportunity for international engineering consultancy to effectively
contribute to alleviating the situation of poverty in urban slums. Engineers can
apply a systems thinking and problem-solving approach to deliver solutions such
as improved shelter, water & sanitation and infrastructure for the sustainable
development of urban slums. This development of the built environment, will
impact on quality of live for the inhabitants of the slum and directly contribute to
satisfying the MDGs relating to slum dwellers and access to water. In addition,
these contributions will in turn (through improved living conditions and related
impacts on health, education, gender) enable local communities to build human
capital to develop self-sustained while equalising inequality.
International consultants from the private sector may have desirable skills,
knowledge and the capability to attract supportive funding to direct to slum
upgrading projects that may not be accessible locally. Private sector engineering
consultancies also have the option to integrate their corporate social
responsibility (CSR) within their core business practice enabling them to satisfy
the social responsibility of their business, as well as initiate further business in
the developing context, possibly to profit from the international development. As
well as development, humanitarian relief and post-disaster/post-conflict
situations offers a window of opportunity for development where international
engineering consultancies could play a part. A new industry may emerge, an
introduction into the market place of a new privatised humanitarian assistance
where consultancies could work alongside NGOs and CBOs (Community Based
Organisations) pooling their skills. The international contribution and partnership
could work to build capacity and governance in the developing country through
effective policy dialogue and advocacy.
However despite the expected advantage that international consultancy could
bring to development, there are also a number of important considerations and
possibly negative impacts that inappropriate international assistance could
result in. For international assistance to be successful, it must be sustainable.
Environmental, Economical and Social impacts must all be carefully considered.
Research objective and need
This research is currently at the early stages of development. A literature review
has been conducted on the past and current practices of international
development assistance and slum upgrading which indicates that as the world is
changing rapidly, so too must the nature of these practices. These practices
must adapt and keep up with a changing climate, population and rapid
urbanization in order to continue to make an effective contribution.

In todays world situation, (an increasingly globalized world and promotion of

international partnerships), there is an opportunity for international engineering
consultancies to make a useful contribution to the delivery of the MDGs.
However, engineers will need to redefine their role in development as a process
when the traditional model of top down and foreign intervention are gradually
phased out through international consensus.
The objective of this research is to investigate how engineers contribution could
best be delivered to serve all stakeholders and to result in the most sustainable
development. Although the opportunity for this contribution has been identified,
there needs to be more knowledge of the nature of this contribution.

It is hoped that the analysis will develop an understanding of sustainable building

design engineering for developing countries; develop an understanding of the
process of engaging with overseas stakeholders for improved long term
sustainability of projects where construction consultancy companies could have
an involvement; identify how engineering consultancies can enable vulnerable
communities and governments to build local capacity and capability; assess the
influence of project design processes and implementation on appropriate aid and
development; development of a conceptual model for the process of
implementation.
The overall purpose of the research is to develop knowledge towards
increasing quality of life, alleviation of poverty and achievement of the MDGs.
Research question
To aspire to a sustainable development, sustainability must be considered in
not only what contribution is delivered, but also the way in which it is delivered.
This research seeks to question how the intervention of international
development engineering consultancy affects the sustainable development
of urban human settlements through slum upgrading projects.
This research will consider the effectiveness of different delivery methods, identify
considerations and may result in the proposal of an alternative model for improved
international development assistance through engineering contribution.