THE UNITED REPUBLIC OF TANZANIA NATIONAL AUDIT OFFICE

Transcription

1 THE UNITED REPUBLIC OF TANZANIA NATIONAL AUDIT OFFICE A Performance Audit of the Management of Prevention and Mitigation of Floods at Central, Regional and Local Levels of the Government of Tanzania A Case Study of FLOODS IN BABATI A REPORT OF THE CONTROLLER AND AUDITOR GENERAL OF THE UNITED REPUBLIC OF TANZANIA

2 FLOODS IN BABATI LIST OF CONTENT PREFACE... 4 EXECUTIVE SUMMARY... 9 CHAPTER 1: FLOODS ONE KIND OF DISASTER The importance of dealing with disasters Babati Floods in the context of Disaster Elements of Disaster Management Disaster preparedness Prevention/Mitigation Response Recovery CHAPTER 2: PURPOSE, DESIGN AND LIMITATIONS OF THE AUDIT Purpose and scope Audit Design Auditees Audit questions Method and implementation Structure of the Audit report CHAPTER 3: DESCRIPTION OF THE AUDIT AREA Law and regulations for disaster management in Tanzania Law National Policy National Operational Guidelines Goals and objectives given by the government Funding Key Players and Main Activities The Inter Ministerial Committee The Disaster Management Department Manyara Regional Secretariat (MRS) Babati Town and District Councils Other concerned actors CHAPTER 4: FINDINGS OF THE AUDIT Introduction Using the sketch map and photos Adequacy of Preventive Structures The importance of the Kigongoni Outlet and the Channel Physical factors and structures influencing the efficiency of the Kigongoni Outlet The Kiongozi Channel The earth embankment and the artificial waterfalls in the Channel Maintenance of the Channel and the waterfalls Kiongozi Bridge Design of the rehabilitation of the Arusha Dodoma trunk road Kigongoni outlet Kiongozi bridge Residential and Business Location of Babati Town Mobilization and Funds for Flood Management Pre-Disaster Planning Summary of Findings Relational graph CHAPTER 5: CONCLUSIONS General The grass barrier and the Kigongoni road embankment The grass barrier Kigongoni road embankment National Audit Office Tanzania 2

3 FLOODS IN BABATI 5.3 The earth embankment and the artificial waterfalls Kiongozi Bridge Design of the rehabilitation of the Arusha Dodoma trunk road Residential and Business Location of Babati town Pre-Disaster planning, Mobilization and Funds for Flood Management Training, action plans and the role of PMO-Disaster Management Department CHAPTER 6: RECOMMENDATIONS The grass barrier The Kigongoni embankment The earth embankment and the artificial waterfalls Kiongozi bridge Design of the rehabilitation of the Arusha Dodoma trunk road Residential and Business Location of Babati Town Pre-disaster planning and funds for flood management Training, action plans and the role of PMO-Disaster Management Department REFERENCES ANNEXES Annex 1: Handing Over Letter from the Steering Group to District and Regional Authorities Annex 2: Catchment Area of Lake Babati Annex 3: Map of Babati Town indicating Flood Flow and Positions of Photographs in this Report.. 73 Annex 4: Sketch Map of Flooded Babati Town and Key Sites National Audit Office Tanzania 3

4 FLOODS IN BABATI PREFACE The Public Finance Act No. 6 of 2001, Section 33(1) authorises the Controller and Auditor General to carry out Performance Audit (Value-for-Money Audit) for the purpose of establishing the economy, efficiency and effectiveness of any expenditures or use of resources in the Ministries, Regions and Local Authorities. I have the honour to submit to the Minister of Finance for presentation to Parliament my first Performance Audit Report. The report concerns the prevention and mitigation of floods in Tanzania with particular reference to Babati Town and District Councils in Manyara Region. My office traditionally audits the financial statements prepared by Ministries, Departments and Agencies. Performance Audit is currently being introduced at the Tanzanian National Audit Office as part of a capacity building project in co-operation with Sida and the Swedish National Audit Office. It may be noted that Performance Audit normally has a wider coverage than Financial Audit. Performance Audits aims at better use of resources, improved operations and better decision-making in reaching policy objectives set by Parliament, in this case regarding the government authorities that are responsible for disaster prevention and management. The report contains conclusions and recommendations that directly concern Manyara Regional Secretariat, Babati Town and District Councils, TANROADS Manyara, TANROADS Head Office, and the Disaster Management Department in the Prime Minister s Office (PMO-DMD). The said MDAs have been given the opportunity to scrutinise the factual content of and comment on the draft report. I wish to acknowledge that the discussions with the auditees, i.e. the Manyara Regional leadership, TANROADS Manyara, and the (PMO-DMD) have been very constructive. In fact, some of the recommendations of the report have already been acted upon by some of the auditees. My office intends to carry out a follow-up at an appropriate time regarding actions taken by the auditees in relation to the recommendations of this report. This report has been prepared by George C. Haule and James G. Pilly under the guidance of Gregory G. Teu and Carl Ake Gerden. I would like to thank my staff for their assistance in the preparation of this report. Thanks also go to the auditees for their fruitful interaction with my office. Controller and Auditor General Dar es Salaam, April 2007 National Audit Office Tanzania 4

5 FLOODS IN BABATI ACRONYMS BAWASA BDC CBO DC DED DMD GoT LAMP MDA MRS NAO NGO NOG PMO PORALG RC TANDREC Babati Water and Sewerage Authority Babati District Council Community Based Organization District Council District Executive Director Disaster Management Department - Government of Tanzania Land Management Programme Ministries Departments and Agencies Manyara Regional Secretariat National Audit Office Non-Governmental Organization National Operational Guidelines for Disaster Management Prime Minister s Office President s Office Regional and Local Government Authorities Regional Commissioner Tanzania Disaster Relief Committee (Inter-Ministerial Committee) TANROADS Tanzania National Roads Agency REDMAC TMA - Tanzania Disaster Relief Committee - Tanzania Meteorological Agency National Audit Office Tanzania 5

6 FLOODS IN BABATI Figure 1.1: Location of Babati in Tanzania National Audit Office Tanzania 6

7 FLOODS IN BABATI National Audit Office Tanzania 7

8 FLOODS IN BABATI Figure 1.3: Lake Babati flooding through Babati town in April, National Audit Office Tanzania 8

9 CHAPTER 1: FLOODS ONE KIND OF DISASTER 1.1 The importance of dealing with disasters Tanzania has been experiencing a number of disasters for years. These have caused losses of life, property and destruction of environment. A disaster is a serious disruption of the functioning of a society causing wide spread human, material and environmental losses, which exceed the ability of the affected society to cope with using its own resources. The occurrence of disasters can be termed as rapid or slow onset depending on the speed and span of time of origination and impact. Both natural and human made disasters can be slow or rapid. Common hazards that carry the danger of causing disasters in Tanzania include epidemics, pest infestation, droughts, floods, major transport and industrial accidents, refugees and fires. Strong winds and earthquakes are few and occur rarely, others occur more regularly. Disasters can produce complex emergencies in some incidences. The severity of the disaster impact on a population is dependent upon its capacity to absorb, deflect or manage the actual disasters. Considering the disaster threats in the country, the government passed an Act of Parliament known as the Disaster Relief Coordination Act No.9, of 1990 and established an inter ministerial committee (TANDREC) for overseeing and coordinating overall relief operations at national level. Similar committees were to be established at regional and district levels. The policy addresses all issues embracing the disaster management cycle, namely: prevention, mitigation, preparedness, response and recovery. In a Vulnerability Assessment Survey conducted by the PMO for the period of floods were one of the big four disasters as regards frequency. The others were epidemics, pests and drought. Some towns in Tanzania, for example Dar es Salaam and Mwanza, experience floods almost every rainy season. This performance audit focused on floods as an issue of Disaster Prevention and Mitigation and used the Babati floods as a case study. The floods in Babati served as a practical example of how the government s prevention of disasters functions. Our recommendations are based on the situation regarding floods in Babati. The ministry (PMO) has confirmed to us that similar problems with floods as it is with other disasters exist in other areas. That is why there is justification for the government to consider how these experiences and recommendations can be implemented with a view to generally improve disaster management in terms of floods in Babati and in the country generally. 1

10 1.1.1 Babati Floods in the context of Disaster Flooding is one type of disaster which Babati is experiencing occasionally. Floods had occurred at Babati Manyara in 1998, 1990, 1980 s, 1970 s, 1964 etc. The photo below gives an impression of how floods can appear and influence on the community. Figure 1.4: Lake Babati flooding through the main street of Babati town, April Elements of Disaster Management The role of the Disaster Management Department (DMD) is to provide the necessary disaster management capability to effectively deal with disasters as and when they arise. The National Disaster Management Policy of May, 2004 identified Disasters Management as a planning, mitigation/prevention, responses, recovery/rehabilitation and preparedness with two separate but related elements readiness and sustainability. Readiness is the ability of a community/entity (nation, region, district or ward disaster committee) to reach within a specified period of time, a level of capability whereby it will be able to perform designated operational roles and tasks. 2

11 The elements of disaster management are as depicted on the diagram below: DISASTER MANAGEMENT PREPAREDNESS PREVENTATION/ MITIGATION RESPONSES RECOVERY/ REHABILITATION Figure 1.5: Elements of Disaster Management The elements of disaster management are as explained below: Disaster preparedness The issue of disaster preparedness is an aspect that involves putting in place appropriate legislative, administrative and technical measures to minimize the adverse effects of those affected by disasters. The objective of disaster preparedness is to ensure all institutions responsible for management of disasters are prepared, coordinated and equipped with resources to handle disasters Prevention/Mitigation Prevention measures are aimed at stopping a disaster from occurring and/or preventing such occurrence having harmful effects on communities (or groups of individuals) such as vaccination programmes by the health sector. Mitigation encompasses all activities undertaken in anticipation of the occurrence of a potentially disastrous event, including preparedness and long term risk reduction measures. An example of mitigation measures is relocation or elevation of structures out of flood plains Response Response is a set of activities to address the immediate and short-term effects of an emergency or disaster. Response includes immediate actions to save lives, protect property, and meet basic human needs Recovery Recovery refers to those activities necessary to provide a rapid return to normalcy both for the affected community and for those involved with the response. 3

12 CHAPTER 2: PURPOSE, DESIGN AND LIMITATIONS OF THE AUDIT 2.1 Purpose and scope The purpose of the audit was to report if the Central Government and the Local Government have managed the flood disasters (i.e. Prevention, Rehabilitation, Preparedness and Responses) according to political decisions made. Another purpose was to suggest ways of improving the Disaster Management process. This audit has its focus on prevention and mitigation of floods. The audit was carried out in accordance with the mandate vested in the Controller and Auditor General (CAG) under section 33(1) of the Public Finance Act No.6 of 2001, as revised in 2004 which authorises the CAG to carry out Performance Audit (Value for Money Audit) for the purpose of establishing the economy, efficiency, and effectiveness of any public expenditure or program. When conducting the audit, we visited the Prime Minister s Office Disasters Management Department, the Manyara Regional Secretariat, the Arusha Regional Secretariat, Babati District and Town Councils, TANROADS-Manyara, TANROADS- Arusha, TANROADS-HQ, and Babati Water and Sewerage Authority (BAWASA). These offices were chosen because of their roles in the management of disasters, in this case, floods. The Audit focused on the flood events from January, 1990 to December, 2005 in Babati. We conducted the audit between May 2005 (entry conference) and August In brief, the scope of the audit covers the responsibilities to be carried out by the head of the PMO-DMD down to and including the focal officers at Manyara regional and Babati district levels in terms of flood prevention and mitigation/rehabilitation. The scope is focusing physical structures to prevent and mitigate floods. It is acknowledged that Manyara region and the local authorities have tried to decrease siltation of Lake Babati and thereby lower the risk of floods through soil conservation measures around the lake. The more siltation, the more reduction of the lake depth and consequently the higher the risk of water flooding through Babati town. However, the scope of this audit concerns primarily the preventive actions through physical structures to avoid damage caused by floods after heavy rainfall. Obviously, the combined efforts of reducing concentration time of rainfall in relation to the lake and its siltation as well as physical structure of water diversion and minimising soil erosion are needed to prevent and mitigate floods in an optimum way. 4

13 2.2 Audit Design Auditees The audit focused on five auditees, which were responsible for disaster management as mandated by the Disaster Relief Coordination Act No. 9 of The five auditees are Prime Minister s Office Disaster Management Department (PMO DMD), Manyara Regional Secretariat, Babati Town Council, Babati District Council and TANROADS- Manyara Audit questions This report provides the result from applying the following seven audit questions: 1. Are adequate preventive structures in place? 2. Is there an appropriate drainage system regarding flood water? 3. Are residences located in threatened areas? If so, what measures have been taken to reduce damages or put preventive structures? 4. Is the Regional Secretariat mobilizing specific funds for floods prevention? 5. Does the Regional Secretariat have an anti-flood program? 6. Has the PMO- DMD got an adequate monitoring system for flood prevention at Babati and elsewhere in the country? 7. Has the PMO DMD promoted/arranged seminars/workshops/courses or other events that directly aim at improving flood management (disaster management) in Babati? Method and implementation The audit involved extensive discussions and document review in the Prime Minister s Office Disasters Management Department and with Manyara Regional Secretariat, Babati District Council and Babati Town Council officials. The material obtained covered views from a variety of sources including; TANROADS Manyara and TANROADS Arusha 1, Arusha Regional Secretariat, BAWASA, Babati District Officers responsible for Water and Livestock Development, Works, and Natural Resources and Tourism. 1 The Audit team visited the two regions of Manyara and Arusha since before 2000 Manyara region was part of Arusha region. 5

14 Discussions were also held with the representatives from the Non-Governmental Organizations situated at Babati such as FIDE and FARM AFRICA and the common people at Babati. Initial discussions were held with PMO-DMD and Manyara Regional Secretariat in 2005 and field work was between 19 th May, 2005 and March, A number of officials at the National, Regional and District levels were interviewed. The RC, the RAS and the acting Director of DMD were interviewed to discuss about their monitoring and supervisory roles regarding flood prevention at Babati. The Regional Accountant and the Planning Officer were interviewed to discuss about funding for flood prevention. The TANROADS Manyara Engineer and two District Engineers were interviewed to discuss about their operations and the extent of damage caused by floods. The Regional and District Focal Officers, the Managing Director of BAWASA, LAMP officials, CBOs & NGOs officials and common people were also interviewed to discuss a variety of issues regarding floods in Babati. Various documents were reviewed during the audit. The purpose of reviewing documents was to establish the mandate, role and responsibilities of key actors charged with the responsibility of disasters management and assess the level of implementation during the period of the audit. Several documents were reviewed including: Disaster Relief Coordination Act No. 9 of 1990 National Disaster Management Policy of May 2004 National Operational Guidelines for Disaster Management Wild Lake Report Disaster Management & Early Warning Systems by Intermaecos Vulnerability Assessment Report by the PMO- Disaster Management Department Land Management Program Report BABATI by LAMP 2.3 Structure of the Audit report Chapter 3 gives a detailed description of the set up and processes of disaster prevention in Tanzania from national level down to the district level. This is done in terms of legislation, national disaster management policy and operational guidelines for disaster management in order to deal with different kinds of disasters. The description also includes goals and objectives, funding, key players and main activities. The findings of the audit are presented in chapter 4 and the conclusions of the audit in chapter 5. Recommendations appear in chapter 6 with the aim to improve capacity for prevention and mitigation of damage from floods in Babati and in the country in general. The experiences from this audit and the recommendations are likely to be relevant for management of floods elsewhere in Tanzania. 6

15 CHAPTER 3: DESCRIPTION OF THE AUDIT AREA 3.1 Law and regulations for disaster management in Tanzania Laws, rules and regulation mentioned below form the norm, which NAO will use in assessing the responsible actors. The government has set legislation, national disaster management policy and operational guidelines for disaster management in the country in order to deal with different kinds of disasters as explained in the diagram below: DISASTER RELIEF COORDINATION ACTS NO. 9 OF 1990 (PARLIAMENT DECISION) Performance Audit NATIONAL DISASTER MANAGEMENT POLICY and OPERATIONAL GUIDELINES (POLICY LEVEL) POLICY MADE BY INTER MINISTERIAL COMMITTEE POLICY AND GUIDELINES MADE BY DISASTER MANAGEMENT DEPARTMENT IMPLEMENTATION LEVEL MANYARA REGIONAL LEVEL REGIONAL SECRETARIAT REGIONAL DISASTER MANAGEMENT COMMITTEE DISTRICT LEVEL BABATI TOWN and DISTRICT COUNCILS Figure 3.1: Description of the Audit Area Nota bene: The above organization chart is valid from year 2000 when Manyara region was formed. From 1990 up to year 2000 Arusha regional authorities were responsible for disaster preparedness in Babati. As reflected in the above chart, the scope of Performance Audit is to assess if the actual implementation is efficient and effective and in accordance with laws, policies and directives. However, Performance Audit does not question the political goals set by Parliament. 7

16 3.1.1 Law Considering the disaster threats in the country, the Government passed an Act of Parliament known as the Disaster Relief Coordination Act No. 9, of The government has also established an Inter-Ministerial Committee known as Tanzania Disaster Relief Committee (TANDREC) for overseeing and coordinating overall relief operations at the national level. Similar committees were to be established at Regional and District levels National Policy The National Disaster Management Policy of May 2004 was put in place since a properly defined policy framework is crucial for disaster surveillance and management as a measure to reduce vulnerability and hence poverty reduction National Operational Guidelines The National Operational Guidelines (NOG) of 2003 attempt to outline and address various elements in Disaster Cycle: mitigation/prevention, preparedness, responses and recovery/rehabilitation Goals and objectives given by the government In developing the NOG, the government had the following objectives: (i) (ii) (iii) (iv) (v) Develop higher level of preparedness, response and mitigation capacity for all types of disasters. Promote public knowledge and awareness of disaster and enhance the involvement of the community in disaster management. Establish and maintain an effective institutional arrangement for the coordination and collaboration. Promote research, information generation and dissemination. Mainstream disaster management issues into development plans and other sector/ policies and programs at all levels. Other goals and objectives set by the government are: (i) (ii) (iii) Sustain activities aimed at reducing or eliminating long term risks to people and property from hazards and their effects. Build the emergency management capacity to effectively prepare for mitigation against, respond to, and recover from any hazard by planning, training, research, rehearsals and investigations. Conduct emergency operation to save life, project livelihood and property by positioning emergency equipment and supplies, evacuating potential victims, providing foods, water, medical care, restoring critical public service, etc. 8

17 These objectives imply that the PMO DMD was expected to perform the following activities in relation to floods prevention in Babati: Clearly inform Manyara Regional Secretariat (MRS) about the policy and the need to form required disaster committees. Follow up and ascertain that MRS disaster committee has formulated a plan of action. Arrange or make others to arrange training events Annually follow up the implementation of the action plans In the case of floods, analyze the damage in view of the prevention measures taken Assist MRS to improve floods prevention measures. 3.2 Funding The availability of financial resources for PMO-DMD, MRS and Babati District Council for Flood Prevention and Management have been reviewed in this audit. We found that no specific fund has been set aside for floods prevention and mitigation. 3.3 Key Players and Main Activities To facilitate the whole action of dealing with floods, there is a number of key players, who are accountable according to the National Disaster Management Policy and who are supposed to perform the main activities as mentioned in the system graph below: 9

18 Inter-Ministerial Committee Disaster Management Department PMO Manyara Regional Secretariat Manyara Regional Disaster Management Committee - Regional Focal Officer for Disaster Management Babati District Council District Focal Officer for Disaster Management Babati Town Council TANROADS Manyara Ministry of Water & Livestock Development BAWASA Ministry of Natural Resources & Tourism CBOs & NGOs Activities aimed at reducing floods damage and flood occurrence Figure 3.2: Systems Graph The Inter Ministerial Committee The Inter-Ministerial Committee - Tanzania Disaster Relief Committee (TANDREC) comprises of Permanent Secretaries of key ministries (disaster related activities), representatives from TMA, Food Security Department, Commissioner of Fire Brigade and is chaired by the Permanent Secretary of the PMO. The main activity of the Inter-ministerial committee is to be the national coordinating body for the implementation of cross-sector disaster management programs as well as to oversee the implementation of the policy and strategies at all levels are working properly 10

19 3.3.2 The Disaster Management Department As a secretariat to the TANDREC, the DMD is accountable/responsible for the following main activities: Coordinate all disaster relief operations and preparedness measures subject to the directions of the committee. Carry out all research relevant to its functions for the purposes of advising the committee on measures for disaster preventions. Arrange for and carry out the dissemination on behalf of the committee, information concerning disaster operations preparedness and prevention. Formulate and recommend for establishment by the committee the scope of the disaster prevention plans and the basic policies designed to govern them. Review regularly and coordinate the different disaster prevention measures. Recommend to the committee measures and methods necessary for promoting awareness and understanding among the public, of disaster prevention activities and measures Manyara Regional Secretariat (MRS) The MRS is the pivotal point for the allocation of disaster management resources in the region. As a link between national objectives and district priorities, the MRS has the following main activities: Continuously monitor the hazards risk, and disaster threats and the conditions of vulnerable populations within the region. Conduct vulnerability analyses on emerging disaster prone areas and prepare recommendations on reducing their vulnerability. Mobilize and coordinate all interventions from other agencies. Ensure that compatible disaster management is fully reflected in Regional and national priorities. Identify training needs and conduct training and public awareness. Support implementation of disaster management programs agreed for the region. Mobilize needed financial and material resources for disaster management. Regional Disaster Management Committee (REDMAC) This committee is the pivotal point for allocation of disaster management resources in the region. REDMAC is the committee responsible for the prevention and mitigation of disasters in the region in which case, therefore, it is the committee which was supposed to have acted during the Manyara floods. 11

20 Regional Focal Officer/ Coordinator The regional focal officer is the desk officer appointed by the regional authority to be responsible for coordination of disaster management activities in the region and implementing the decisions made by the Regional Disaster Management Committee Babati Town and District Councils The Babati district and town councils have the following responsibilities regarding disasters management in the Babati district: Mainstreaming disaster management issues in the district/councils plans. Continuously monitor the hazards, risks, and disaster threats and the conditions of vulnerable population within the district council. Identifying and mapping of all hazards in the district and conduct risk and vulnerability analysis. Identifying training needs and conduct education, training and public awareness programs. Establishing response team and civil protection system for disaster. Mobilization of needed financial and material resources for disaster management. District Focal Officer/ Coordinator The district focal officer is the desk officer appointed by the district authority to be responsible for coordination of disaster management activities in the district. From the above description of the chain of command and responsibilities regarding flood management, we conclude that the PMO-DMD particularly the officer responsible for floods in Babati area and the Manyara Regional Disaster Management committee with their focal officers at regional and Babati district level are supposed to play crucial roles in Babati flood preparedness and mitigation Other concerned actors The other actors in disaster management are: Ministry of Works (TANROADS MANYARA and TANROADS HQ) Ministry of Water and Livestock Development (BAWASA) Ministry of Natural Resource and Tourism Community Based Organization (CBOs) and Non Governmental Organization (NGOs) 12

21 CBOs and NGOs are important partners in disaster management activities. They are often able to respond flexibly and rapidly to urgent needs of disasters. The main activity of these actors is to participate in training, public education, damage assessment, rehabilitation and construction activities in disaster stricken areas CBOs and NGOs are not auditees but they are important actors to consider in the total context of disaster management. 13

22 CHAPTER 1: FLOODS ONE KIND OF DISASTER 1.1 The importance of dealing with disasters Tanzania has been experiencing a number of disasters for years. These have caused losses of life, property and destruction of environment. A disaster is a serious disruption of the functioning of a society causing wide spread human, material and environmental losses, which exceed the ability of the affected society to cope with using its own resources. The occurrence of disasters can be termed as rapid or slow onset depending on the speed and span of time of origination and impact. Both natural and human made disasters can be slow or rapid. Common hazards that carry the danger of causing disasters in Tanzania include epidemics, pest infestation, droughts, floods, major transport and industrial accidents, refugees and fires. Strong winds and earthquakes are few and occur rarely, others occur more regularly. Disasters can produce complex emergencies in some incidences. The severity of the disaster impact on a population is dependent upon its capacity to absorb, deflect or manage the actual disasters. Considering the disaster threats in the country, the government passed an Act of Parliament known as the Disaster Relief Coordination Act No.9, of 1990 and established an inter ministerial committee (TANDREC) for overseeing and coordinating overall relief operations at national level. Similar committees were to be established at regional and district levels. The policy addresses all issues embracing the disaster management cycle, namely: prevention, mitigation, preparedness, response and recovery. In a Vulnerability Assessment Survey conducted by the PMO for the period of floods were one of the big four disasters as regards frequency. The others were epidemics, pests and drought. Some towns in Tanzania, for example Dar es Salaam and Mwanza, experience floods almost every rainy season. This performance audit focused on floods as an issue of Disaster Prevention and Mitigation and used the Babati floods as a case study. The floods in Babati served as a practical example of how the government s prevention of disasters functions. Our recommendations are based on the situation regarding floods in Babati. The ministry (PMO) has confirmed to us that similar problems with floods as it is with other disasters exist in other areas. That is why there is justification for the government to consider how these experiences and recommendations can be implemented with a view to generally improve disaster management in terms of floods in Babati and in the country generally. 1

23 1.1.1 Babati Floods in the context of Disaster Flooding is one type of disaster which Babati is experiencing occasionally. Floods had occurred at Babati Manyara in 1998, 1990, 1980 s, 1970 s, 1964 etc. The photo below gives an impression of how floods can appear and influence on the community. Figure 1.4: Lake Babati flooding through the main street of Babati town, April Elements of Disaster Management The role of the Disaster Management Department (DMD) is to provide the necessary disaster management capability to effectively deal with disasters as and when they arise. The National Disaster Management Policy of May, 2004 identified Disasters Management as a planning, mitigation/prevention, responses, recovery/rehabilitation and preparedness with two separate but related elements readiness and sustainability. Readiness is the ability of a community/entity (nation, region, district or ward disaster committee) to reach within a specified period of time, a level of capability whereby it will be able to perform designated operational roles and tasks. 2

24 The elements of disaster management are as depicted on the diagram below: DISASTER MANAGEMENT PREPAREDNESS PREVENTATION/ MITIGATION RESPONSES RECOVERY/ REHABILITATION Figure 1.5: Elements of Disaster Management The elements of disaster management are as explained below: Disaster preparedness The issue of disaster preparedness is an aspect that involves putting in place appropriate legislative, administrative and technical measures to minimize the adverse effects of those affected by disasters. The objective of disaster preparedness is to ensure all institutions responsible for management of disasters are prepared, coordinated and equipped with resources to handle disasters Prevention/Mitigation Prevention measures are aimed at stopping a disaster from occurring and/or preventing such occurrence having harmful effects on communities (or groups of individuals) such as vaccination programmes by the health sector. Mitigation encompasses all activities undertaken in anticipation of the occurrence of a potentially disastrous event, including preparedness and long term risk reduction measures. An example of mitigation measures is relocation or elevation of structures out of flood plains Response Response is a set of activities to address the immediate and short-term effects of an emergency or disaster. Response includes immediate actions to save lives, protect property, and meet basic human needs Recovery Recovery refers to those activities necessary to provide a rapid return to normalcy both for the affected community and for those involved with the response. 3

25 CHAPTER 2: PURPOSE, DESIGN AND LIMITATIONS OF THE AUDIT 2.1 Purpose and scope The purpose of the audit was to report if the Central Government and the Local Government have managed the flood disasters (i.e. Prevention, Rehabilitation, Preparedness and Responses) according to political decisions made. Another purpose was to suggest ways of improving the Disaster Management process. This audit has its focus on prevention and mitigation of floods. The audit was carried out in accordance with the mandate vested in the Controller and Auditor General (CAG) under section 33(1) of the Public Finance Act No.6 of 2001, as revised in 2004 which authorises the CAG to carry out Performance Audit (Value for Money Audit) for the purpose of establishing the economy, efficiency, and effectiveness of any public expenditure or program. When conducting the audit, we visited the Prime Minister s Office Disasters Management Department, the Manyara Regional Secretariat, the Arusha Regional Secretariat, Babati District and Town Councils, TANROADS-Manyara, TANROADS- Arusha, TANROADS-HQ, and Babati Water and Sewerage Authority (BAWASA). These offices were chosen because of their roles in the management of disasters, in this case, floods. The Audit focused on the flood events from January, 1990 to December, 2005 in Babati. We conducted the audit between May 2005 (entry conference) and August In brief, the scope of the audit covers the responsibilities to be carried out by the head of the PMO-DMD down to and including the focal officers at Manyara regional and Babati district levels in terms of flood prevention and mitigation/rehabilitation. The scope is focusing physical structures to prevent and mitigate floods. It is acknowledged that Manyara region and the local authorities have tried to decrease siltation of Lake Babati and thereby lower the risk of floods through soil conservation measures around the lake. The more siltation, the more reduction of the lake depth and consequently the higher the risk of water flooding through Babati town. However, the scope of this audit concerns primarily the preventive actions through physical structures to avoid damage caused by floods after heavy rainfall. Obviously, the combined efforts of reducing concentration time of rainfall in relation to the lake and its siltation as well as physical structure of water diversion and minimising soil erosion are needed to prevent and mitigate floods in an optimum way. 4

26 2.2 Audit Design Auditees The audit focused on five auditees, which were responsible for disaster management as mandated by the Disaster Relief Coordination Act No. 9 of The five auditees are Prime Minister s Office Disaster Management Department (PMO DMD), Manyara Regional Secretariat, Babati Town Council, Babati District Council and TANROADS- Manyara Audit questions This report provides the result from applying the following seven audit questions: 1. Are adequate preventive structures in place? 2. Is there an appropriate drainage system regarding flood water? 3. Are residences located in threatened areas? If so, what measures have been taken to reduce damages or put preventive structures? 4. Is the Regional Secretariat mobilizing specific funds for floods prevention? 5. Does the Regional Secretariat have an anti-flood program? 6. Has the PMO- DMD got an adequate monitoring system for flood prevention at Babati and elsewhere in the country? 7. Has the PMO DMD promoted/arranged seminars/workshops/courses or other events that directly aim at improving flood management (disaster management) in Babati? Method and implementation The audit involved extensive discussions and document review in the Prime Minister s Office Disasters Management Department and with Manyara Regional Secretariat, Babati District Council and Babati Town Council officials. The material obtained covered views from a variety of sources including; TANROADS Manyara and TANROADS Arusha 1, Arusha Regional Secretariat, BAWASA, Babati District Officers responsible for Water and Livestock Development, Works, and Natural Resources and Tourism. 1 The Audit team visited the two regions of Manyara and Arusha since before 2000 Manyara region was part of Arusha region. 5

27 Discussions were also held with the representatives from the Non-Governmental Organizations situated at Babati such as FIDE and FARM AFRICA and the common people at Babati. Initial discussions were held with PMO-DMD and Manyara Regional Secretariat in 2005 and field work was between 19 th May, 2005 and March, A number of officials at the National, Regional and District levels were interviewed. The RC, the RAS and the acting Director of DMD were interviewed to discuss about their monitoring and supervisory roles regarding flood prevention at Babati. The Regional Accountant and the Planning Officer were interviewed to discuss about funding for flood prevention. The TANROADS Manyara Engineer and two District Engineers were interviewed to discuss about their operations and the extent of damage caused by floods. The Regional and District Focal Officers, the Managing Director of BAWASA, LAMP officials, CBOs & NGOs officials and common people were also interviewed to discuss a variety of issues regarding floods in Babati. Various documents were reviewed during the audit. The purpose of reviewing documents was to establish the mandate, role and responsibilities of key actors charged with the responsibility of disasters management and assess the level of implementation during the period of the audit. Several documents were reviewed including: Disaster Relief Coordination Act No. 9 of 1990 National Disaster Management Policy of May 2004 National Operational Guidelines for Disaster Management Wild Lake Report Disaster Management & Early Warning Systems by Intermaecos Vulnerability Assessment Report by the PMO- Disaster Management Department Land Management Program Report BABATI by LAMP 2.3 Structure of the Audit report Chapter 3 gives a detailed description of the set up and processes of disaster prevention in Tanzania from national level down to the district level. This is done in terms of legislation, national disaster management policy and operational guidelines for disaster management in order to deal with different kinds of disasters. The description also includes goals and objectives, funding, key players and main activities. The findings of the audit are presented in chapter 4 and the conclusions of the audit in chapter 5. Recommendations appear in chapter 6 with the aim to improve capacity for prevention and mitigation of damage from floods in Babati and in the country in general. The experiences from this audit and the recommendations are likely to be relevant for management of floods elsewhere in Tanzania. 6

28 CHAPTER 3: DESCRIPTION OF THE AUDIT AREA 3.1 Law and regulations for disaster management in Tanzania Laws, rules and regulation mentioned below form the norm, which NAO will use in assessing the responsible actors. The government has set legislation, national disaster management policy and operational guidelines for disaster management in the country in order to deal with different kinds of disasters as explained in the diagram below: DISASTER RELIEF COORDINATION ACTS NO. 9 OF 1990 (PARLIAMENT DECISION) Performance Audit NATIONAL DISASTER MANAGEMENT POLICY and OPERATIONAL GUIDELINES (POLICY LEVEL) POLICY MADE BY INTER MINISTERIAL COMMITTEE POLICY AND GUIDELINES MADE BY DISASTER MANAGEMENT DEPARTMENT IMPLEMENTATION LEVEL MANYARA REGIONAL LEVEL REGIONAL SECRETARIAT REGIONAL DISASTER MANAGEMENT COMMITTEE DISTRICT LEVEL BABATI TOWN and DISTRICT COUNCILS Figure 3.1: Description of the Audit Area Nota bene: The above organization chart is valid from year 2000 when Manyara region was formed. From 1990 up to year 2000 Arusha regional authorities were responsible for disaster preparedness in Babati. As reflected in the above chart, the scope of Performance Audit is to assess if the actual implementation is efficient and effective and in accordance with laws, policies and directives. However, Performance Audit does not question the political goals set by Parliament. 7

29 3.1.1 Law Considering the disaster threats in the country, the Government passed an Act of Parliament known as the Disaster Relief Coordination Act No. 9, of The government has also established an Inter-Ministerial Committee known as Tanzania Disaster Relief Committee (TANDREC) for overseeing and coordinating overall relief operations at the national level. Similar committees were to be established at Regional and District levels National Policy The National Disaster Management Policy of May 2004 was put in place since a properly defined policy framework is crucial for disaster surveillance and management as a measure to reduce vulnerability and hence poverty reduction National Operational Guidelines The National Operational Guidelines (NOG) of 2003 attempt to outline and address various elements in Disaster Cycle: mitigation/prevention, preparedness, responses and recovery/rehabilitation Goals and objectives given by the government In developing the NOG, the government had the following objectives: (i) (ii) (iii) (iv) (v) Develop higher level of preparedness, response and mitigation capacity for all types of disasters. Promote public knowledge and awareness of disaster and enhance the involvement of the community in disaster management. Establish and maintain an effective institutional arrangement for the coordination and collaboration. Promote research, information generation and dissemination. Mainstream disaster management issues into development plans and other sector/ policies and programs at all levels. Other goals and objectives set by the government are: (i) (ii) (iii) Sustain activities aimed at reducing or eliminating long term risks to people and property from hazards and their effects. Build the emergency management capacity to effectively prepare for mitigation against, respond to, and recover from any hazard by planning, training, research, rehearsals and investigations. Conduct emergency operation to save life, project livelihood and property by positioning emergency equipment and supplies, evacuating potential victims, providing foods, water, medical care, restoring critical public service, etc. 8

30 These objectives imply that the PMO DMD was expected to perform the following activities in relation to floods prevention in Babati: Clearly inform Manyara Regional Secretariat (MRS) about the policy and the need to form required disaster committees. Follow up and ascertain that MRS disaster committee has formulated a plan of action. Arrange or make others to arrange training events Annually follow up the implementation of the action plans In the case of floods, analyze the damage in view of the prevention measures taken Assist MRS to improve floods prevention measures. 3.2 Funding The availability of financial resources for PMO-DMD, MRS and Babati District Council for Flood Prevention and Management have been reviewed in this audit. We found that no specific fund has been set aside for floods prevention and mitigation. 3.3 Key Players and Main Activities To facilitate the whole action of dealing with floods, there is a number of key players, who are accountable according to the National Disaster Management Policy and who are supposed to perform the main activities as mentioned in the system graph below: 9

31 Inter-Ministerial Committee Disaster Management Department PMO Manyara Regional Secretariat Manyara Regional Disaster Management Committee - Regional Focal Officer for Disaster Management Babati District Council District Focal Officer for Disaster Management Babati Town Council TANROADS Manyara Ministry of Water & Livestock Development BAWASA Ministry of Natural Resources & Tourism CBOs & NGOs Activities aimed at reducing floods damage and flood occurrence Figure 3.2: Systems Graph The Inter Ministerial Committee The Inter-Ministerial Committee - Tanzania Disaster Relief Committee (TANDREC) comprises of Permanent Secretaries of key ministries (disaster related activities), representatives from TMA, Food Security Department, Commissioner of Fire Brigade and is chaired by the Permanent Secretary of the PMO. The main activity of the Inter-ministerial committee is to be the national coordinating body for the implementation of cross-sector disaster management programs as well as to oversee the implementation of the policy and strategies at all levels are working properly 10

32 3.3.2 The Disaster Management Department As a secretariat to the TANDREC, the DMD is accountable/responsible for the following main activities: Coordinate all disaster relief operations and preparedness measures subject to the directions of the committee. Carry out all research relevant to its functions for the purposes of advising the committee on measures for disaster preventions. Arrange for and carry out the dissemination on behalf of the committee, information concerning disaster operations preparedness and prevention. Formulate and recommend for establishment by the committee the scope of the disaster prevention plans and the basic policies designed to govern them. Review regularly and coordinate the different disaster prevention measures. Recommend to the committee measures and methods necessary for promoting awareness and understanding among the public, of disaster prevention activities and measures Manyara Regional Secretariat (MRS) The MRS is the pivotal point for the allocation of disaster management resources in the region. As a link between national objectives and district priorities, the MRS has the following main activities: Continuously monitor the hazards risk, and disaster threats and the conditions of vulnerable populations within the region. Conduct vulnerability analyses on emerging disaster prone areas and prepare recommendations on reducing their vulnerability. Mobilize and coordinate all interventions from other agencies. Ensure that compatible disaster management is fully reflected in Regional and national priorities. Identify training needs and conduct training and public awareness. Support implementation of disaster management programs agreed for the region. Mobilize needed financial and material resources for disaster management. Regional Disaster Management Committee (REDMAC) This committee is the pivotal point for allocation of disaster management resources in the region. REDMAC is the committee responsible for the prevention and mitigation of disasters in the region in which case, therefore, it is the committee which was supposed to have acted during the Manyara floods. 11

33 Regional Focal Officer/ Coordinator The regional focal officer is the desk officer appointed by the regional authority to be responsible for coordination of disaster management activities in the region and implementing the decisions made by the Regional Disaster Management Committee Babati Town and District Councils The Babati district and town councils have the following responsibilities regarding disasters management in the Babati district: Mainstreaming disaster management issues in the district/councils plans. Continuously monitor the hazards, risks, and disaster threats and the conditions of vulnerable population within the district council. Identifying and mapping of all hazards in the district and conduct risk and vulnerability analysis. Identifying training needs and conduct education, training and public awareness programs. Establishing response team and civil protection system for disaster. Mobilization of needed financial and material resources for disaster management. District Focal Officer/ Coordinator The district focal officer is the desk officer appointed by the district authority to be responsible for coordination of disaster management activities in the district. From the above description of the chain of command and responsibilities regarding flood management, we conclude that the PMO-DMD particularly the officer responsible for floods in Babati area and the Manyara Regional Disaster Management committee with their focal officers at regional and Babati district level are supposed to play crucial roles in Babati flood preparedness and mitigation Other concerned actors The other actors in disaster management are: Ministry of Works (TANROADS MANYARA and TANROADS HQ) Ministry of Water and Livestock Development (BAWASA) Ministry of Natural Resource and Tourism Community Based Organization (CBOs) and Non Governmental Organization (NGOs) 12