Towards “On-Site Sketch Plan” in Small Emerging

Urban Centers: The Case of Dawuro Zone in SNNPR

Author: Diress Ahmed

ID. No. : ECSU1400709
Advisor: Dr. Degu Bekele (PHD)

A Thesis Submitted to Ethiopian Civil Service University, College of Urban Development

and Engineering, Department of Urban Planning and Land Development in Partial
Fulfillment of the Requirements for the Award of a Master’s Degree of Science in Urban
Planning and Development

December, 2016
Addis Ababa, Ethiopia

i
 Declarations
I Diress Ahmed, ID. Number ECSU1400709, do hereby declare that this thesis is my original

work and it has not been submitted partially or in full, by any other person for an award of a

degree in any other universities/institutions.

Name of Participant…………………………….Signature……………………Date…………….

This Thesis has been submitted for examination with my approval as University supervisor.

Name of Advisor………………………………Signature……………………. Date……………

I
 Approval
The undersigned certify that they have read and hereby recommend to the Ethiopian Civil
Service University to accept the Thesis submitted by Diress Ahmed and entitled Towards “On-
Site Sketch Plan” in Small Urban Centers: The case of Dawuro Zone in SNNPR in partial
fulfillment of the requirements for the award of a Master‟s Degree of Science in Urban Planning
and Development.

Name of Supervisor ……………….………………………...……Signature………………….

Date………………………

Name of Internal Examiner ……………………………………... Signature…………. ……..

Date……………………...

Name of External Examiner ………………………………….… Signature…………. ……..

Date……………………....

Name of Head of Department ……………………………..…. Signature………………….

Date……………. ………..

II
 Acknowledgement
Prior to any else I would like to thank the almighty God for helping me in my success. Next,
great thanks go to my advisor Dr. Degu Bekele, for his genuine and vital guidance to this end. I
am very grateful to the tremendous support from Essera Woreda Administration and I would like
to give my special thanks to Mr. Mengistu Mekuriya. Last but not least, I would like to give my
heart-felt gratitude for my families and those who put print in this education career.

III
 Abstract
Rapid urbanization of Ethiopia as the whole and specifically in the study Zone, besides its positive
impact there are a number of negative consequences that has been calling for solutions which can
sustain urban development and alleviate its negative influences of the process. Among various
inevitable urbanization born challenges, managing urban centers by urban planning as per urban
policy, strategies and laws recommend has been facing acute problems. These problems are more
severe in small emerging urban centers regarding applying existing urban planning types to
manage and guide their urban centers due to incapacity to introduce technology, shortage of skilled
man power in urban profession, poor physical infrastructure provision to alarmingly emerging
small towns and low financial capacity of local government to invest on urban development in these
urban centers. Thus this research aimed to assess infeasibility of surveying and base map
preparation as precondition for urban plan preparation particularly for small urban centers and to
explore the best fitting urban plan type for aforementioned town levels. The research employed the
combination of descriptive and explanatory methods and survey research strategy. In addition to
secondary data obtained from published and unpublished documents, semi-structured
questionnaire, interview, focus group discussion and physical observation was made to collect
primary data to meet the objective of the research with relevant data. Non-probability sampling
technique was taken as more desirable sampling technique. As the result, five newly certified urban
centers of Dawuro Zone Administration were purposively selected and data collected accordingly
predesigned methodology was analyzed using both descriptive and inferential statistics. Finally, the
data analyzed in such a way are presented in text, tables, figures and graphs. The final result
realized that the root causes for the challenges to apply surveying and base map preparation in
small emerging urban centers include technological challenges, shortage in skilled manpower,
poor infrastructure provision and limitation in financial capacity of local government. The result
also shows that the community members at large had no position except few elite residents while
plan preparation process. Thus in most emerging towns, the community member’s engagement and
coordination have been insignificant in urban development and the existing urban planning type in
small emerging urban centers is hardly applicable. Based on these findings the researcher strongly
recommended that local planning entitled ‘On site Sketch Plan’ is the best fitting
economically efficient, socially inclusive and implementation oriented planning approach to these
urban centers.

IV
 Table of Contents
Contents Pages
Declarations ....................................................................................................................................... I
Approval ........................................................................................................................................... II
Acknowledgement ........................................................................................................................... III
Abstract ............................................................................................................................................IV
Table of Contents .............................................................................................................................. V
Acronyms .......................................................................................................................................IX
Lists of Maps..................................................................................................................................... X
Lists of Figures ................................................................................................................................. X
Lists of Graphs .................................................................................................................................XI
PART ONE ....................................................................................................................................... 1
1. INTRODUCTION........................................................................................................................ 1
1.1 Background of the Study ....................................................................................................... 1

1.2 Statement of the Problem ...................................................................................................... 2

1.3 Objectives of the Research .................................................................................................... 4

1.3.1 General Objective ........................................................................................................... 4

1.3.2 Specific Objectives ......................................................................................................... 4

1.4 Research Question.............................................................................................................. 4

1.5 Conceptual Definition ....................................................................................................... 5

1.6 Significance of the Study .................................................................................................. 6

1.7 Scope of the Study ............................................................................................................. 6

1.7.1 Thematic Scope .............................................................................................................. 6

1.7.2 Spatial Scope .................................................................................................................. 6

1.7.3 Temporal Scope .............................................................................................................. 6

1.8 Description of the Study Area .......................................................................................... 6

1.9 Organization of the Thesis .................................................................................................... 8

V
PART TWO ...................................................................................................................................... 9
2. RELATED LITERATURE REVIEW ....................................................................................... 9
2.1 Introduction ........................................................................................................................... 9

2.2 What is Urban Planning?....................................................................................................... 9

2.3 What is Sustainable Urban Planning? ................................................................................. 10

2.4 Urban Planners .................................................................................................................... 11

2.5 Planning Approaches and Practices of Urban Planning in Different Countries ................. 11

2.6 Traditional, Modernist and New Innovative Approaches to Urban Planning ..................... 14

2.7 Urban Planning Preparation and Implementation Process .................................................. 15

2.8 Public Participation in Urban Planning Process .................................................................. 17

2.9 Objectives of Public Participations ..................................................................................... 18

2.10 Surveying and Urban Planning- Overview ....................................................................... 19

2.11 Why is Local Knowledge Important? ............................................................................... 21

2.12 Legal Backing of Urban Planning in Ethiopia .................................................................. 22

2.13 Summary of Related Literature Review ............................................................................ 23

PART THREE................................................................................................................................ 25
3. RESEARCH METHODOLOGY ............................................................................................. 25
3.1 Introduction ...................................................................................................................... 25

3.2 Research Design .................................................................................................................. 25

3.2.1 Research Approach ....................................................................................................... 25

3.2.2 Research Type .............................................................................................................. 25

3.2.3 Research Strategy ......................................................................................................... 25

3.2.4 Method of Data Collection ........................................................................................... 26

3.2.5 Population or Universe ............................................................................................ 26

3.2.6 Sampling Technique ................................................................................................ 26

3.2.7 Sources of Data ......................................................................................................... 27

VI
 3.2.8 Data Analysis and Interpretation ........................................................................... 28

3.3 Operationalization Framework ...................................................................................... 28

3.4 Limitations ........................................................................................................................ 29

PART FOUR .................................................................................................................................. 30

4. DATA ANALYSIS AND INTERPRETATION ...................................................................... 30
4.1 Introduction ......................................................................................................................... 30

4.2 Response Rate .................................................................................................................. 30

4.3 Findings ............................................................................................................................. 30

4.3.1Challenges to Apply Surveying and Base Map Preparation in Small

EmergingUrban Centers ............................................................................................... 30

4.3.1.1 Technological Challenges .......................................................................... 31

4.3.1.2 Shortage in Skilled Man Power ................................................................. 33

4.3.1.3 Poor Infrastructure Provision ..................................................................... 34

4.3.1.4 Limitation in Financial Capacity of Local Government ........................... 34

4.3.2 Evaluation of Community Participation Level in Urban Planning Process in

Existing Planning Types ............................................................................................... 35

4.3.3 The Applicability of Existing Urban Planning Type for Small Emerging
Urban Centers ............................................................................................................... 39

4.3.4 The Attitude of Local Communities Toward Urban Plan Preparation

Process in Small Emerging Urban Centers................................................................ 41

4.3.4.1 Community Attitudes and Perception on Existing Planning Type........... 41

4.3.4.2 Local Knowledge on Local Planning Concept .......................................... 42

4.4 Interpretation and Discussion .............................................................................................. 48

4.4.1 Challenges to Apply Surveying and Base Map Preparation in Small

Emerging Urban Centers ............................................................................................. 48

4.4.2 Evaluation of Community Participation Level in Urban Planning Process in

Existing Planning Types ............................................................................................... 50

VII
 4.4.3 The Applicability of Existing Urban Planning Type for Small Emerging
Urban Centers ............................................................................................................... 52

4.4.4 The Attitude of Local Communities Toward Urban Plan Preparation Process
in Small Emerging Urban Centers ............................................................................... 53

4.5 Correlation between Variables ............................................................................................ 54

4.6 Summary of Findings, Discussion and Interpretation ......................................................... 57

PART FIVE .................................................................................................................................... 58

5. CONCLUSIONS AND RECOMMENDATIONS ................................................................... 58
5.1 Introduction ......................................................................................................................... 58

5.2 Conclusion........................................................................................................................... 58

5.3 Recommendations ............................................................................................................... 59

5.3.1 Recommendations for Further Study ............................................................................... 59

5.3.2 Recommendations for Practice......................................................................................... 60

5.3.2.1 Every Idea and Everybody‟s View Counts ............................................... 60

5.3.2.2 The Learning Attitude ................................................................................ 60

5.3.2.3 Transparency .............................................................................................. 61

5.3.2.4 Flexibility .................................................................................................... 61

5.3.2.5 Ownership of the Plan ................................................................................ 61

5.3.2.6 Decline in Land Use Conflicts ................................................................... 61

5.3.2.7 Empowerment to Local Community ......................................................... 62

5.3.2.8 Resource Mobilization ............................................................................... 62

5.3.2.9 Protection of the Commons ....................................................................... 62

REFERENCES ................................................................................................................................ 69
APPENDIXES ................................................................................................................................. 71

VIII
Acronyms
AA Addis Ababa
AIA American Institute of Architects
APA American Planning Association
CAD Computer Aided Design/Drafting
CIA Central Intelligence Agency
DZUDHD Dawuro Zone Urban Development and Housing Department
ECSU Ethiopian Civil Service University
EWUDHO Esera Woreda Urban Development and Housing Office
FAO Food and Agricultural Organization
FGD Focus Group Discussion
GIS Geographic Information System
GPS Global Positioning System
GWUDHO Gena Woreda Urban Development and Housing Office
IISD International Institute for Sustainable Development
ILO International Labor Organization
LWUDHO Loma Woreda Urban Development and Housing Office
MUDC Ministry of Urban Development and Construction
MWUDHO Mareka Woreda Urban Development and Housing Office
SNNPR Southern Nation Nationality and Peoples Region
SP Structure Plan
TWUDHO Tocha Woreda Urban Development Office
UN United Nation
UNDESA United Nations Department of Economic and Social Affairs
UNHSP United Nation Human Settlement Program
RUPI Regional Urban Planning Institute
WCED World Commission on Environment and Development

IX
 Lists of Tables
Tables Pages
Table 1: Designed Sample Size ………………………………………………………..………. 27
Table 2: Operationalization Framework ……………………………………………………..… 28
Table 3: Response rate when Data Collection …..………………...…………………………… 30
Table 4: Technological Instruments in Institutions under the Research ……………………...... 32
Table 5: Number of Instruments versus Number of Towns in SNNPR …………...................... 33
Table 6: Number of Instruments versus Number of Towns in Dawuro Zone ….....................… 33
Table 7: Number of Urban Professionals in the institutions‟ under the study …………...…….. 33
Table 8: Responses on the Applicability of Existing Planning Type …...................................... 39
Table 9: Responses on the Expected Causes for Unaffordability of Existing Planning Types... 39
Table 10: Community Feeling Concerning Their Town Plan …………………………………. 41
Table 11: Community Benefit from Town Plan ……...…………………………………………41
Table 12: Community Know How Local Plan Prepared ……………….…………………….....45
Table 13: Respondents experience on measurement based tasks ….............................................46
Table 14: Research variables …...……………………………………………………………….51
Table 15: Correlation between applicability of town plan and community preference
for plan preparation ………...………………………………………………………....55
Table 16: Correlation between community participation in plan preparation process
and community care for plan abuse.….………………………………..……………..55
Table 17: Correlation between community benefit from plan and Community care for plan
abuse...……………………………………………….………...……………………..56
Table 18: Correlation between community benefit from plan and Community care
for plan abuse …………………………………………………………………………56
Lists of Maps
Maps Pages
Map 1: Location map of the study area …......................................................................................8
Map 2: Proposed on-site sketch Land use plan model (Final)...................................................... 68
Lists of Figures
Figures Pages
Figure 1: Urban Planning Process for Basic Urban Plan …………………………………….....16

X
Figure 2: Components of Planning Process in SP …………………………………………..….16
Figure 3: Grid layout Local Plan of Shota Town in Esera Woreda…………….…………….....44
Figure 4: Grid layout Local plan of Kechi Town with basic service distribution in
Tocha Woreda.……………………………..………………………………………….44
Figure 5: Cause-effect Relationships of Urban Challenges with Urban Growth ………….........50
Figure 6: Proposed Urban Planning Progress for Small Emerging Urban Centers……...............64
Figure 7: Proposed “On-Site Sketch Planning” Process on Site for Small Emerging
Urban Centers…………………………………………………………………………65
Figure 8: Proposed “On-Site Sketch Planning” Process on Site for Small Emerging
Urban Center..…………………………………………………………………………66
Figure 9: Proposed “On-Site Sketch Planning” Process on Site for Small Emerging
Urban Centers ...……………………………………………………………...……… 67
Lists of Graphs
Graphs Pages
Graph 1: Respondents Knowledge on Who Prepared Their Town Plan …………………….....36
Graph 2: Respondents Knowledge on Their Town Plan Preparation Process ……………….....36
Graph 3: Respondent‟s Knowledge on the Type of Instrument used in Planning
Process ……………………………………………………………………………......37
Graph 4: Community Observation on Dispute Due Town Plan ………………………….…….42
Graph 5: Community Satisfaction on Authority Responsiveness………………….…………... 42

XI
 PART ONE
1. INTRODUCTION
This part of the research discusses on background of the study which highlights
urbanization trend of the world and locally in Ethiopia. It also presents the challenges of
rapid urbanization, their root causes and probable solutions through effective and
efficient urban planning approaches. The limitations of many technological innovations
and modern solutions are discussed and the local and traditional skills and non-market
based solutions are appreciated in this section. Moreover, issues of the study called
statement of the problem discussed in detail; objectives and scope of the research are
presented and finally the geographical study area is clearly described and supported by
location map.
1.1 Background of the Study

The 2014 revision of the World Urbanization Prospects produced by the UN Population
Division notes that 54 percent of the world‟s population lives in urban areas. This figure
is expected to increase to 66 percent in 2050. The urban population of the world has
grown rapidly from 746 million in 1950 to 3.9 billion in 2014. Continuing population
growth and urbanization are projected to add 2.5 billion people to the world‟s urban
population in 2050, with nearly 90 per cent of the increase concentrated in Asia and
Africa.
The urban population of Ethiopia is 19.5% of total population in 2015 with rate of
urbanization 4.89% in annual rate of change 2010-15 (CIA, 2015). Even if Ethiopia is
one of the least urbanized countries in Sub-Saharan Africa, by 2050 it is expected to
become significantly more urbanized, with as much as twice its respective proportion
urban in 2014 (UN, 2015). Southern Nations, Nationality and Peoples Region of Ethiopia
is in the domain of rapid rate of urbanization which has been producing high number of
small urban centers in all parts of the region. This rapid urbanization of Ethiopia as the
whole and Dawuro Zone of SNNPR specifically calls for solutions which can sustain
urban development and alleviate negative impacts of the process. Among various
solutions for urban development sustainability, application of effective and efficient

1
urban planning approaches takes a larger part in simplifying urbanization related
challenges. A successful urban planning agenda will require attention that to be given
urban settlements of all sizes and appreciating local skills and non-market based
solutions. Though, from the experience traditional activities have been ceased and
dependency on technology becoming superior. UNDESA (2012) witnessed in its study
that many technological innovations and modern solutions tend to be short-lived, difficult
to maintain and repair, and costly. Cities and the built environment need solutions that
have been adapted to local climate, materials and handicraft skills, maintenance
capacities and culture. It also realizes that heavy infrastructure and the latest technology
is not necessarily the best solution. National and local standards for buildings and
infrastructure should encourage and incentivize the development of contemporary
technological solutions that are based on traditional principles and local skills and
materials.
Thus, one can imagine that modern approaches of urban planning in small emerging
towns are not the best solution due to multi-facts. In place of it, alternative scenario that
can be economically efficient, socially acceptable, community engaged urban planning
and local resource exploitation is required to offer important opportunities for economic
development and expanding access to basic services for large numbers of people at
respective urban levels. To realize this, the researcher identified problems related to
modern planning approach in small emerging towns and proposed the appropriate
planning approach as per new urbanism concept with minimum cost of resources but
maximum benefit of the community in small urban centers of selected study area.

1.2 Statement of the Problem

Due to rapid urbanization and its subsequent challenges, Ethiopia enacted a proclamation
to guide and regulate the proliferation of unplanned urban centers by sound and visionary
urban plans to bring about balanced and integrated national, regional and local
development (Urban Planning Proclamation No. 574/2008). The intention of the
proclamation is to create a favorable condition for public and private stakeholders to fully
participate in the process of urban plan initiation, preparation and implementation on the
basis of national standards. The proclamation also identified the types of plans depending
on the urban population size as city wide Structure Plan and Local Development Plan.

2
The revised proclamation (unpublicized) reclassified the types of urban plans as city wide
Structure Plan, Strategic Plan, Basic Plan and Sketch Plan. In the ongoing proclamation;
Neighborhood Development Plan, Urban Design and Block Design are legally binding
types of plans used for realization of Structure and Strategic Plans. Even though the
revised proclamation is not nationally publicized, the newly introduced types of plans are
in practice with the support of manuals and regulations. As urban plan preparation and
implementation strategy of Ethiopia and urban planning and implementation manual of
SNNPR recommends that, these plan types should be prepared with the help of remote
sensing (using satellite image and aerial photograph) otherwise ground surveying, GIS
and CAD which are new software tools designed to facilitate the process with spatial
decision support system technologies. In fact, remote sensing is the use of high
technology and application of GIS and CAD in the planning process also necessitate
proper and accurate spatial data bases for spatial planning analysis; this will call for even
greater involvements of skilled surveyors, surveying instruments, computers and other
appliances and financial capacity in the urban planning process. From this ground it is
clear that the preparation of certain urban plan has to obviously pass through surveying
and base map preparation with these technologies without the regard of urban level,
human, financial and technological capacity of the urban centers. The second edition of
Urban Land Development and Management policy and strategy of Ethiopia (Amharic
version of 2013) describes the three basic shortcomings of implementation of urban land
use plan are limitations in plan preparation, sense of ownership by the community
(community participation) and plan implementation. This document also clearly discusses
on the root causes for the fore-mentioned basic problems focusing mainly on the plan
preparation skill gap and capacity of organization, inappropriate budget allocation, poor
quality and incomprehensive plan, failure to incorporate the community interest and
implementation problems related to plan abuse, illegal land use change and poor capacity
of the municipalities. However, the implementation strategies did not propose alternative
approaches rather saying hard working critique. Moreover, Urban Plan preparation and
implementation strategy (Amharic version of 2014) also states the limitations concerning
remote sensing, surveying and base map preparation in relation to skilled man power and
modern surveying instruments. Besides, there has not been any kind of research or

3
articles conducted to enable urban law makers to examine and monitor the
appropriateness of these modern types of planning approach for whatever levels of urban
centers. Consequently, the urban planning law still inspects all types of plans at various
levels in the same fashion with the existing deficiencies in urban planning processes.
These are the issues that motivated the researcher to assess infeasibility of the existing
small town planning type and come up with the appropriate planning approach for small
towns as the solution as per new urbanism concept with minimum cost of resources but
maximum benefit of the community at large in small urban centers of selected study area.

1.3 Objectives of the Research

1.3.1 General Objective

The main objective of this research is to assess infeasibility of surveying and base map
preparation as precondition for urban plan preparation particularly for small emerging
towns and explore “On-Site Sketch Plan” as best fitting urban plan type for fore-
mentioned town level.

1.3.2 Specific Objectives

The specific objectives of the research are to:
1. Identify the challenges to apply surveying and base map preparation for urban
planning as preconditions in small emerging urban centers
2. Evaluate the community participation level in urban planning process in existing
planning type particularly in small emerging urban centers
3. Examine the applicability of existing urban planning type for small emerging towns
4. Assess the attitude of local communities toward urban plan preparation and implem
entationprocess in small emerging urban centers
5. Suggest urban law makers to incorporate “on-site sketch plan” as appropriate
planning type for small emerging urban centers

1.4 Research Question

The possible research questions which are derived from the specific objectives of the
research are:

4
 I. What are the basic challenges to employee surveying and base map preparation
for urban planning as preconditions in small emerging towns?
II. What is the participation level of the community in urban planning in existing
planning type particularly in small emerging towns?
III. Is the existing urban planning type applicable for small emerging towns?
IV. What is the attitude of the local communities toward urban plan preparation
process in their small emerging towns?

1.5 Conceptual Definition

In this section all the most important but abstract concepts used in the research are
defined. The concepts used in this research might have multiple and contentious
definitions given by various scholars. Hence, to avoid ambiguity of concepts the
researcher has given confined working definitions not limited to the following concepts
for this research purpose.
Small Emerging Urban Center: is a town with a population number less than 20000 and
more than 500 for which basic plan and sketch plans have been preparing in SNNPR.
Sketch: a rough manual drawing on tracing or hard paper that shows only basic details.
On-Site Sketch Plan: is urban planning on particular urban center roughly on the field
and finalizing in the office
Surveying: is science and art of making all essential measurements to determine the
relative position of physical features above the surface of the Earth
Base Map: is a map employed in urban planning to indicate major natural and man-made
features such as bodies of water, roads, buildings, and fences on a coordinate reference
system.
Community: a local people who are affected by or benefited from urban plan
Modern Planning Approach: Plan types such as Structure Plan, Strategic Plan, Basic
Plan and Sketch Plan which are prepared by the aid of advanced technologies and
analysis tools.
Existing Planning Types: Basic and Sketch Plan which have been in practice in small
emerging towns in SNNPR.
Infeasible Plan: is a kind of plan which is economically inefficient, socially not
inclusive, environmentally not sound and unsustainable.

5
1.6 Significance of the Study
This research is primarily used for an academic purpose for the partial fulfillment of
Masters of Science degree in Urban Planning and Development. Besides this, it has a
significant contribution to forward constructive suggestion on the issues for urban law
makers to look inward the strengths and weakness of the laws and regulations concerning
small emerging towns. Finally its contribution as reference for further researcher on
related matters will take the credible position.

1.7 Scope of the Study

In this part of the research, the contextual and conceptual boundaries of the study are
presented as follows.

1.7.1 Thematic Scope

This research thematically limited to explore the infeasibility of surveying and base map
preparation as precondition for urban plan preparation particularly for small emerging
towns.

1.7.2 Spatial Scope

Though the research issue is the national wide, for this specific research the spatial scope
is limited to small emerging towns in Dawuro Zone jurisdiction in SNNPR.

1.7.3 Temporal Scope

This research is deemed to be practical for all emerging urban centers in their premature
periods until they transform.

1.8 Description of the Study Area

Dawuro Zone is one of the fourteen zones in SNNPR which is located at about 500km in
south-west of Addis Abeba and 275 km from Hawassa, the capital of SNNPR. Dawruo is
bordered in the South by Gamo-Gofa, in the West by the Konta special woreda, in the
North by the Gojeb River which defines its boundary with the Oromia Region, in the
North-West by Hadiya and Kembata-Tembaro, and in the East by Wolayita with the total
area of 4,403.427 square kilometers (own computation by GIS). It‟s Eastern and Southern
boundaries are defined by Omo River on which the second biggest hydroelectric power
dam in Ethiopia, Gibe III was constructed.

6
The zone has immense natural resources that can attract potential investors and tourists to
the area but these potentials have not yet been harnessed because of underdeveloped
infrastructure facilities like transportation and market links. More than 85% of the
population of the zone is living in rural areas and engaged in different agricultural
activities such as crop production, livestock rearing, fruit and vegetables cultivation.
Land of Dawuro is among the suitable areas for agriculture. It‟s warm temperature,
availability of enormous perennial rivers for irrigation, possibility to grow crops both in
dry and rainy seasons, fertile soil; depth and texture are among the indicators of
suitability for agricultural activities in the area (Terefe, 2014).
Dawuro Zone is constituted from five woredas namely Essera, Tocha, Mareka, Gena and
Loma. These woredas have small emerging towns which are serving as administrative
seat for the woreda people and others are residential towns with municipal status. Esera
Woreda has two small municipal towns called as Bale (woreda seat) and Dali. Tocha
Woreda has three small municipal towns namely Kechi, Tocha (woreda seat) and Wara.
Mari, Gendo and Waka (woreda seat) are the municipalities of Mareka Woreda. Angela,
Woldehane and Karawo (woreda seat) are municipalities of Gena Woreda and Loma
Woreda have four municipalities namely Dissa, Yalo-Lala, Loma-Bale and Gessa
(woreda seat).The capital seat of Dawuro Zone administration is Tarcha Town which is
located in Mareka Woreda. It was acquired it municipality status in 2005 and registered
as a reform town in 2006. Tarcha Town Structure Plan was prepared in 2007 by SNNPR
Trade, Industry and Urban Development Bureau covering the total area of 997.29
hectares(own computation by CAD).

7
Map 1: Location Map of the Study Area

Source: SNNPR Administration Map; produced by Researcher using GIS (2016)

1.9 Organization of the Thesis

This research organized in five consecutive parts. Accordingly, it starts with the first part
describing introduction of the research followed by the second part that deals on related
literature review from which lesson acquired and supported as important input for the
research. The third part mainly focused on research methodology in which research
design, method of data collection and sampling techniques are discussed. The fourth part
presents data analysis and presentation including major findings, interpretation and
discussion. Finally, the fifth part closes the soul of the entire research by conclusion
which is drawn from the discussion of major findings and forward recommendation for
action.

8
 PART TWO
2. RELATED LITERATURE REVIEW
2.1 Introduction
In this section related literatures seriously reviewed to provide background information
on the substance under the study. It included definitions of important concepts, practices
of various countries on related issues, past and current urban planning trends; their
failures and successes on related issues. Furthermore, the lessons are derived from the
literatures and analyzed in a way that it suits statement of the problem of this research.

2.2 What is Urban Planning?

Definitions of planning have changed over time and are not the same in all parts of the
world. Earlier views defined urban planning as physical design, enforced through land-
use control and centered in the state. Current perspectives recognize the institutional shift
from government to governance, the necessarily wider scope of planning beyond land use
and the need to consider how plans are implemented. While urban planning as a form of
governmental practice can be found in most parts of the world, its role and form, and
perceptions of what it should achieve, vary significantly and there are debates on this
within regions and countries. Even the term used to describe the activity of planning
varies: spatial planning, land-use planning, physical planning, city planning, town
planning and development planning are English-language terms in use (UN, 2009). Yet
even among planners, there appears to be no agreed definition of “planning” or “urban
planning”, and writers have struggled with whether a definition can be provided (New
Zealand Productivity Commission, 2015). Among various definitions given by various
institutions and expertise, the following are the most commonly used definitions.
The American Planning Association defines that urban planning is a dynamic profession
that works to improve the welfare of people and their communities by creating more
convenient, equitable, healthful, efficient and attractive places for present and future
generations. Planning enables civic leaders, businesses, and citizens to play a meaningful
role in creating communities that enrich people's lives.
Adams and Watkins in The Value of Planning (2014) explain urban planning as: “A
useful way to understand planning is to start by thinking about its broad purposes, in

9
other words, to concentrate first on its ends rather than its means. At a high level,
planning can be seen as helping to create the kind of places where people want to live,
work, relax and invest, while acknowledging that different people will interpret concepts
of place differently according to their own particular interests and experiences. Hence,
planning is a collective endeavor that is about more than the mere sum of individual
interests (New Zealand Productivity Commission, 2015). Urban planning is a technical
and political process concerned with the use of land, protection and use of the
environment, public welfare, and the design of the urban environment, including air,
water, and the infrastructure passing into and out of urban areas such as transportation,
communications, and distribution networks. Urban Planning is also referred to as urban
and regional, town, city, rural planning or some combination in various areas worldwide.
Urban planning takes many forms and it can share perspectives and practices with urban
design.
Urban planning guides and ensures the orderly development of settlements and satellite
communities which commute into and out of urban areas or share resources with it.
Urban planners in the field are concerned with research and analysis, strategic thinking,
architecture, urban design, public consultation, policy recommendations, implementation
and management. Urban Planners work with the cognate fields such as Architecture,
Landscape Architecture, Civil Engineering, and Public Administration to achieve
strategic, policy and sustainability goals. Early urban planners were often members of
these cognate fields. Today urban planning is a separate, independent professional
discipline. The discipline is the broader category that includes many different fields such
as land use planning, zoning, environmental planning, transportation planning and parks
and recreation.

2.3 What is Sustainable Urban Planning?

Sustainable development is a noble and necessary aspiration. It is a visionary
development paradigm; and over the past 20 years governments, businesses, and civil
society have committed to sustainable development goals (IISD, 2010).The term,
sustainable development, was popularized in “Our Common Future”; a report published
by the World Commission on Environment and Development in 1987 also known as the
Brundtland report defined as “development which meets the needs of the present without

10
compromising the ability of future generations to meet their own needs” (WCED, 1987).
This can be achieved integrating rural and urban development. Concerning urban
development, proper urban planning is the key to bridging the urban divide and is an
essential tool to make cities/towns inclusive, environmentally friendly, economically
vibrant, culturally meaningful and safe for all. To be successful in helping to achieve
urban development, planning needs continuous updating. In many developing countries,
planning systems and processes are still largely based on colonial laws, designed to
support spatial segregation and population control. They fail to reflect the need and
priorities of urban residents. The urban model they have promoted has proved both
unaffordable and inadequate for catering to the diversity of ways of life and needs of
developing world cities (UN-HABITAT, 2010).

2.4 Urban Planners

Planners are professionals who facilitate decision-making. Planners do not make
decisions themselves; rather, they support decision-makers (managers, public officials,
citizens) by coordinating information and activities. Their role is to create a logical,
systematic decision-making process that results in the best actions (Litman, 2013). It
follows that planning is not always done by people called „planners‟. In terms of „place
promotion‟, for example, it could be a local authority but equally a public sector
development agency, a public-private development partnership, a private sector
consortium or even an individual entrepreneur more broadly responsible for aspects of
planning (David Adams and Craig Watkins, 2014).
Planning is a social activity which involves people from diverse backgrounds, interests
and abilities. Successful planning requires effective involvement of stakeholders. These
include users, Citizens/taxpayers, businesses, employees/workers, public officials, affecte
d organization, interest groups, lawyers, and etc. (Litman, 2013).

2.5 Planning Approaches and Practices of Urban Planning in Different Countries

Urban planning approach in the global North, have been important shifts away from
comprehensive master plans and towards strategic spatial plans. Potentially they meet the
requirements in this part of the world for a form of urban planning which is responsive to
strong civil society and business demands for involvement in government and planning

11
for the governance issue. Strategic spatial plans can also co-ordinate and integrate
economic, infrastructural and social policies in space in the interests of a city‟s global
economic positioning; can be used to address resource protection and environmental
issues, as well as on heritage and „quality of place‟ issues; and are implementation-
focused. This approach to planning could be situated within a wider discourse of city
visioning and City Development Strategies (CDSs) with origins in the Global North, but
which has since spread to many other parts of the world. For instance a variant of
strategic spatial planning considered successful in the „Barcelona model‟. Here a city-
wide strategic plan promoted a „compact‟ urban form, and provided a framework for a set
of local urban projects which had a strong urban design component. However, some have
seen this approach to strategic planning as largely corporate planning around economic
development goals (the global positioning of Barcelona) with certain social and
environmental objectives attached (Watson, 2009).
Urban planning in the Sub-Saharan African countries has been commonly unrest over the
years. Advocacies for its methodology and approaches have ranged widely from those for
“comprehensive/Master Planning” approach to “action planning” approach, “structure
planning” approach, “strategic planning” approach, to “community or (public)
participation (subsidiarity)” approach, “sustainable Cities Programme” approach, “city
development strategy” approach, the “Infrastructure-Led Development” approach etc.
The Comprehensive/Master Planning approach is based on the conventional procedural
model (survey-analysis-evaluation-plan implementation) which is a highly analytical and
technical form of planning. Through maps and text, a comprehensive urban master plan
was envisaged to describe the proposed future land-use and infrastructure patterns for the
urban area over a 15-20 year future period. It provides a broader relatively more
comprehensive context and framework to guide city development by delineating major
land uses and other activities location. This planning model or approach has been used
for the planning of several cities in Sub-Saharan Africa, including Lilongwe (Malawi),
Kaduna, Kano, Lagos and Abuja, among others in Nigeria, Dodoma (Tanzania), Addis
Ababa (Ethiopia), Tema and Takoradi (Ghana), among others. It provides the general
framework and guide for sustainable economic, social and environmental development of

12
the city within which more detailed planning for the various sub-systems could be
undertaken (Okpala, 2009).
This model of planning has however, been severally severely criticized to be too rigid,
too complex, too detailed and static, that it took too long to prepare , is too costly and
largely ineffective. They were criticized for not usually offering an evaluation of the costs
of the implementation of the project it proposed or how they would be financed.
Community leaders, politicians and potential implementing agency executives were
seldom meaningfully involved in the master planning process, being mostly prepared by
professional planners in consultancy firms or working in agencies cut off from
community perspective of the problems. This approach to urban planning was therefore
deemed to be extremely expensive in both money and time as well as in its opportunity
costs, and that even when completed, the additional long and sometimes indefinite
bureaucratic process of formally approving and adopting them and making them
operationally binding on developers. They are also said to inadequately address
implementation issues, the increasing complexity of land markets, the role of the public
sector versus the private sector and the links between spatial and financial planning
(Okpala, 2009).
The failure of city planning in a number of developing countries including Sub-Sahara
African countries is that, for several reasons, including lack of proper legal and
administrative frameworks, lack of and inadequate quantum of technical skills and
financial resources, unrealistic assumptions emanating from the foreign base of the plans
and lack of participation by the community, fail in practice because they are over-
ambitious, considering the capabilities of the administrative system to enforce their
implementation. This approach to planning is therefore said to be unsuitable ineffectively
managing urban growth in developing countries including Sub-Saharan African
countries, as such an approach are better familiar to scenarios of slow urban growth
contexts, as in many older urbanized and developed countries in which major investments
in infrastructure, services and other public investments are already in place (Ibid).
In contrast, Most Sub-Sahara African Countries, call for a more dynamic planning
approach and process in which priorities have to be continually assessed and re-assessed
in the light of available resources and macroeconomic situations. Thus, in reaction and in

13
response to the criticisms of the conventional master planning approach to effectively
respond to the overwhelming urban problems in developing countries, the “integrated
action planning”, “structure planning”, “strategic planning”, “participation (subsidiarity)
planning”, “sustainable Cities Programme” and several recent approaches was promoted
and came into fashion. Its rationale is that rapid urban growth taking place in developing
countries with inadequate infrastructure and services, shortage of funds and skilled staff
as well as the general institutional weaknesses in developing countries make the
conventional long-term approach to urban planning unsuitable for managing urban
growth in such countries, that a more dynamic planning approach which focuses on
“short-term” action planning is desired (Ibid).

2.6 Traditional, Modernist and New Innovative Approaches to Urban Planning

The planning of urban settlements has been taking place since the dawn of civilization.
Middle East and North Africa, Western Europe, Latin America, Asia and sub-Saharan
Africa are homes for some of the oldest cities in the world (UN-Habitat, 2009). For
instance, the ancient cities of the Fertile Crescent of Mesopotamia in Middle East, Cities
in Greece and Italy in Western Europe, cities of Mohenjo- Daro in the Indus Valley and
at Harappa in the Punjab in East and South-East Asia, Mayans urban settlements in Latin
America and many towns and cities flourished in Africa prior to the colonial era
including Axum in Ethiopia and Timbuktu in Mali Urban planning has been practiced by
all these regions and cultures since the earliest times. It represented a collective effort by
societies to organize their living spaces in ways that were most suited to their
environments, economies and political structures. Some characteristics of these
civilizations were encircling wall and citadel for defensive purpose, Acropolis which
served as the center of sociopolitical and economic life and the Agora market and central
meeting place in Greek. Grid-iron Street patterns and deliberately made meandering
streets not only to facilitate the mobility of people, goods and services, but also as an
instrument of social control and acculturation and for military reasons (Rao, 2005). These
creative urban planning innovations were deemed to be the traditional urban planning
approach without the introduction of technologies. Because it was Renaissance period
(between 14th and 17th century) that many new inventions and discoveries made, which
changed the way people worked or looked at things.

14
Modernist planning emerged in the latter part of the 19th century, largely in response to
rapidly growing, chaotic and polluted cities in Western Europe, brought about by the
Industrial Revolution. This planning was accounted for planning‟s effort to combat the
negative externalities of industrialization and urbanization and to describe as a tool for
attaining political and ideological goals of the state or ruling class. The master plans
which carried these urban visions were based on a number of key assumptions that
planners can envisage new and better urban worlds and plan for the modernist. However,
it completely fails to accommodate the way of life of the majority of inhabitants in
rapidly growing, and largely poor and informal cities, and thus directly contributes to
social and spatial marginalization or exclusion. Furthermore, it fails to take into account
the important challenges of cities (e.g. climate change, oil depletion, food insecurity and
informality), and fails to acknowledge the need to involve communities and other
stakeholders in the planning and management of urban areas. It also usually underpinned
by regulatory systems that are applied inflexibly and technocratically (UN-Habitat,
2009).
Thus, new innovative approaches to urban planning have emerged in response to recent
changing economic and environmental imperatives which was not considered in
Modernist Master Plan. For this purpose, new approaches such as Strategic Spatial
Planning, Integrated Development Plan, New forms of Master Plan and Participatory and
Partnership Planning has been practicing in developed and developing countries (Ibid).

2.7 Urban Planning Preparation and Implementation Process

The planning process consists of actions taken by a planning body and its relation with
the different actors in the process of plan making and implementation of plans. It is the
step-by-step development of planning ideas into action tools and implementation of ideas
to achieve a vision. The planning process lays procedures to accomplish a task; in fact
due to the prescriptive nature of process flows some analysts have designated planning
that follows defined procedures by “procedural planning”. However, different planning
approaches may designate stages differently (ECSU, 2012). The following picture
describes the plan preparation and implementation process in Ethiopia in different Urban
Planning approaches.

15
Figure1: Urban Planning Process for Basic Urban Plan

Source: Basic Plan Manual of Ethiopia

Figure 2: Components of Planning Process in SP

Source: Structure Plan Manual of Ethiopia

16
In both approaches in data collection phase topographic surveying is essential to prepare
topographic map showing detail contour lines, manmade and natural features of the study
town. However, there are various factors affecting land survey cost. For example, more
labor and the use of time-saving technologies such as the Global Positioning System
(GPS) are required when there are more complex manmade and natural features. Ability
of the firm to provide needed engineering-related services, size of the surveying firm,
number of crews, and ability to perform required work in the prescribed time frame are
also factors that determine land surveying for urban planning (AIA, 2011). Moreover,
Urban Plan Implementation Manual of SNNPR (2008) the Amharic Version sets
standards of number of surveyors as two surveyors per crew and Total Station and
Differential GPS as mandatory surveying instruments in various urban plan preparation
and implementation process.

2.8 Public Participation in Urban Planning Process

Urban planning in Sub-Saharan African countries has over the years been considered a
technocratic process undertaken by only those technically trained in the design arts and
sciences. The ordinary population was simply on the receiving end of whatever plans
evolved. Inclusiveness in the process is therefore a relatively recent phenomenon, coming
about as a result of pressures from varying categories of stakeholders including the
population which these plans impact on, civil society organizations and various other
actors in the field who over the years have been advocating for inclusive popular
participation in urban planning. International development discourse strengthened this
trend with such concepts as the “subsidiarity principle” which advocates that “decisions
should be made and services provided at the lowest level that is cost-effective without
creating too many over-spill effects” (Urban Futures 21).
The ways of citizens are involved in urban planning can vary a lot from countries.
Actually, each community needs to devise its own community planning process carefully
to suit local conditions. The approach adopted in each case will be different and there is
rarely a quick fix solution or blueprint. The first ladder for public participation with eight
steps proposed by Arnstein in 1969 titled as “A Ladder of Citizen Participation”. The
steps are organized into three levels: nonparticipation (manipulation and therapy),
tokenism (informing, consultation, placation), and citizen power (partnership, delegated

17
power, citizen control). A vast range of methods is available with different uses and
characteristics. These methods have long been used in public participation and certainly
have their remarkable benefits and advantages that have proven efficiency for a long time
in this field.
However, there are some technical and financial disadvantages of using them which can‟t
be ignored for their great effect on the quality and quantity of community participating.

2.9 Objectives of Public Participations

Starting the design process from a theoretical foundation and from abstract notions does
give to the professional, with his or her long period of education and experience, great
advantages over the layperson. However, the layperson, too, has knowledge and
experience. He is expert on his family, its needs and aspirations. This is a highly
specialized knowledge about the sort of housing, educational, health care, and
recreational facilities the family needs and can afford. Also, the layperson is well able to
extend this personal knowledge and to form accurate ideas about his neighbor problems
of the neighborhood in which he or she lives. The professional when carrying out surveys
into user requirements estimates in crude terms this knowledge, whereas the layperson
field is immediate and first hand (Moughtin, 2003).
Moughtin argues that the ordinary citizen also has ideas about the ways in which these
problems can be solved and how to capitalize on any possibilities that exist. Furthermore,
making the most of this wealth of experience requires starting the design process; either
by investigating the problem, permitting the community to outlines its problems, or by
their posing solutions to problems already intimately known to them, then examining
these solutions in the light of an evaluation. “Experiments in Belfast, Nottingham,
residents are perfectly capable to organizing their own survey and are also able to
generate planning and architectural solutions” (Moughtin, 1970). (Note: Belfast is the
capital and largest city of Northern Ireland and Nottingham is a City in England).
According to Gibson (1979) cited by Moughtin, the professional‟s participant role
dominated design, is not defunct on the contrary, it becomes more delicate and subtle
requiring patience and, above all, skills in listening. It also requires of the designer the
humility to able to offer advice only when requested.

18
The professionals advice on technical matters is supreme, experience shows that it is well
respected by the layperson. The layperson can offer solutions only from within, his or
her, own experience. The professional can open up a new whole world of experience to
the client group through knowledge of many other similar situations. Sharing this
knowledge with the client has always been part of the professional‟s role; it remains so in
the layperson‟s knowledge and experience beyond the immediate neighborhood
decreases as does his or her interest. These wider issues, and their implications for the
locality, have to be interpreted and made clear to the community by the professional. If,
however, high levels of participation are thought desirable in the planning and design
process should give emphasis to a bottom-up order rather than working from the region
or city down to the neighborhood and the street.
According to Jean Jack Rousseau cited by Moughtin, Participation has a psychological
effect on the participants, ensuring a continuing interrelationship between the workings of
institutions and the psychological capabilities of individuals interacting with them. His
theory of participatory democracy is based on the argument that participation fosters
human development, enhances the sense of political efficacy, reduces the sense of
drifting apart from power centers, nurtures a concern for collective problems and
contributes to the formation of an active and knowledgeable citizenry capable of taking
an active interest in governmental and managerial affairs. The theory is an attempt to
resolve the antithesis between individuality and sociality. Moreover, Planners
increasingly find that public participation is fundamental to develop appropriate and
effective solutions or community design and planning problems. The benefits of broad-
based community involvement in planning are widely documented; they include:
 Enhancing the capacity of citizens to cultivate a stronger sense of commitment
 Increasing user satisfaction
 Creating realistic expectations of outcomes
 Building trust

2.10 Surveying and Urban Planning- Overview

Mapping and information technologies have rapidly changed and developed in the recent
years, thus creating a new workflow in urban design and planning. The traditional
workflow which used to be graphic and paper-maps directly changed into a digital

19
process. Planning involves an adequate knowledge of engineering, the legal systems, and
significant local facts. These local facts include the characteristics of the natural
environment, such as relief and topography, and information about the existing statutory
conditions of land use, particularly as it relates to the land rights. Hence, there is a need
for systematic data collection phase that includes topographic mapping at a proper scale,
and compilation of statuary and local maps and data of the project area. The phase is
critical to the success of the project since the planning team depend upon these data
reasonable degree of exactness and completeness ( Orit Shwarts and Moshe Felus, 2006).
Surveyors have always played a key role in urban planning, responsible for data
collection and for the management of different design and engineering plans such as
transportation, water system, and power system plans using proper metric standards (e.g.
coordinate system, accuracy, drafting specifications, etc.). Technological advancements
such as Geographical Information Systems (GIS) and Global Positioning Systems (GPS)
have created an even greater need for surveyors in urban planning as spatial data
administrators, organizing the different raster and vector files from the project inception
to the plan implementation. The role of the surveyor in Urban Planning is becoming more
important than ever since there is an ever increasing need to expedite the planning
process. The collaboration between the surveyor, the architect, and the civil engineer is
crucial for a successful and efficient planning process, with the surveyor overseeing the
quantitative, metric aspects of the design. It is important that these basic principles be
common knowledge shared in the architecture, urban planning, engineering, and
obviously- surveying communities. Moreover, Geographical Information Systems
Technologies is part of the urban planning process with new software tools designed to
facilitate the process and with spatial decision support system technologies. Application
of GIS in the planning process will necessitate proper and accurate spatial data bases
formatted specifically for GIS use; this will call for an-even greater involvements of
surveyors in the urban planning process (Ibid.). However, this process is not easy to
practice in small towns due to inadequate resources. For instance Urban Plan Preparation
and Implementation Strategy (Amharic version of 2014) states the limitations concerning
remote sensing, surveying and base map preparation in relation to skilled man power and

20
modern surveying instruments while urban plan preparation and implementation process
in Ethiopia.

2.11 Why is Local Knowledge Important?

Local knowledge is the human capital of both the urban and rural people. It is the main
asset they invest in the struggle for survival, to produce food, provide for shelter or
achieve control of their own lives. Significant contributions to global knowledge have
originated with local people. Local knowledge is developed and adapted continuously to
a gradually changing environment. It is passed down from generation to generation and
closely interwoven with people‟s cultural values. In the emerging global knowledge
economy, a country‟s ability to build and mobilize knowledge capital is as essential to
sustainable development as the availability of physical and financial capital. The basic
component of any country‟s knowledge system is its local knowledge. This encompasses
the skills, experiences and insights of people, applied to maintain or improve their living.
Today, many local knowledge systems are at risk of becoming extinct. This is because
globally natural environments are rapidly changing, and there are fast-paced economic,
political, and cultural changes. Practices vanish, when they are inappropriate, in the face
of new challenges, or because they adapt too slowly. However, many practices disappear
because of the intrusion of foreign technologies, or development concepts, that promise
short-term gains or solutions to problems. The tragedy of the impending disappearance of
local knowledge is most obvious to those who have developed and make their living from
it (FAO, 2004). The use of indigenous knowledge is very important for resource
management. From a local perspective, there is a strong interest in being listened to, and
in having a say in what is happening in the surroundings. Indigenous and local
knowledge for managing resources matters because local knowledge about local
resources is linked to local responsibility (Nordic Council of Ministers, 2015).
In general, a local resource-based approach applies a cost-effective use of local skills,
enterprises, labor and materials in the development process. The process optimizes the
social and economic impact of investments in infrastructure and safeguarding cost
effectiveness, quality and sustainable asset delivery (ILO, 2010).

21
2.12 Legal Backing of Urban Planning in Ethiopia

Urban planning in Ethiopia has legal basis such as Urban Development Policy of the
country, Urban Planning Proclamations, rules and regulations which are adopted
accordingly in federal administrative hierarchy up to local structures. Urban
development policy of Ethiopia, the third edition of Amharic version enacted in 2005 is
the general frame work that is designed to coordinate interrelated multi-sectoral
development of industrial, commercial, infrastructure and service. The policy is
formulated to enable urban centers to become competitive and designed to regulate
change or manage the use of land rights.
As it has been stated in the policy document the Ethiopian urban centers have
development related constraints such as lack of adequate infrastructure, adequate and
quality of social service, residential houses and dilapidation of urban villages and etc. To
surmount these problems the policy has devised strategic intervention areas such as
expansion of micro and small enterprises, housing development, expansion of social
services, development of land, infrastructure and services, urban-rural and urban-urban
linkage and youth development program through urban development implementation
tools. To strengthen the tools, the urban planning proclamation No 574/2008 was enacted
in 2008 and recently revised (but not publicized) in which article 3 states that it shall
apply to all urban centers throughout the country with the principal objectives:
o To establish a large framework in order to promote planed and well developed urban
centers.
o To regulate and facilitate development activities in urban centers and there by
enhance economic development of the country.
This proclamation also lists basic principles that guide any process of urban plan
initiation, preparation and implementation shall be in accordance with the proclamation.
Moreover, the proclamation clearly identified the types of plans which are practiced in
the country at various urban levels.
However, the second edition of Urban Land Development and Management Policy and
Strategy of Ethiopia (Amharic version of 2013) and Urban Plan Preparation and
Implementation Strategy (Amharic version of 2014) discourse that, there are
shortcomings of urban land use plan preparation and implementation due to the

22
limitations concerning remote sensing, surveying and base map preparation in relation to
skilled man power and modern surveying instruments, capacity of organization,
inappropriate budget allocation and incomprehensive plan.

2.13 Summary of Related Literature Review

Urban planning has been changing its‟ naming, definition, professional content and
function over time throughout the world due to dynamic nature of urbanization,
development level, environmental degradation due to rapid urbanization and
globalization. The reviewed related literatures describes that various approaches of Urban
Planning are come across early civilization to post modern civilization as tools to ensure
urban development as per civilization level of the countries‟ socio-economic, political
and environmental aspect with different purposes. The most planning approaches are
directly derived from colonizer countries and spread over the developing countries with
political and economic influence to expand their interests. As the result, there are failure
of urban planning in a number of developing countries including Ethiopia due to lack of
and inadequate quantum of technical skills and financial resources, unrealistic
assumptions emanating from the foreign base of the plans and lack of participation by the
local community. It is clearly discussed in the literatures that urban planning is not
always done by people called „planners‟ but as it is a social activity, it involves people
from diverse backgrounds, interests and abilities. Successful planning requires effective
involvement of stakeholders and their role is to create a logical, systematic decision-
making process that results in the best actions.
Due to its rigid behavior, the modernist planning approach become extinct and the new
form of urban planning approaches are introduced in the world. However, they are also
challenge-full and unsuitable for small towns because of introduction of advanced
technologies, skilled man power and financial requirements. These approaches such as
Strategic Spatial Planning, Integrated Development Plan, New forms of Master Plan,
Structure Plan and Basic Plan (in Ethiopia) needs topographic surveying by modern
surveying instruments, various stages of plan preparation and implementation process
and specified planning crew which are composed of various disciplines.

23
To overcome these inconveniences in small towns in developing countries, different
scholars propose alternative approaches which are the result of indigenous knowledge
and other local resources. The use of indigenous knowledge is very important for
resource management, enable the local community in being listened to, and in having a
say in what is happening in the surroundings to link local resources with local responsible
community. These laypersons are well able to extend their personal knowledge and to
form accurate ideas about their neighbor problems of the neighborhood in which he or
she lives.
In general, the literatures make certain that a local resource-based approach applies a
cost-effective use of local skills, enterprises, labor and materials in the development
process and give emphasis to a bottom-up order rather than working from the region or
city down to the neighborhood.

24
 PART THREE
3. RESEARCH METHODOLOGY
3.1 Introduction

This part presents the research methodology employed in research work from its
preliminary stage to final research analysis and presentation. Hence, appropriate research
approach, type, strategy, data sources, data collection method and sampling techniques
discussed clearly. It also comprised the way how the collected data analyzed and
presented.

3.2 Research Design

3.2.1 Research Approach
The research approach used for this research work is mixed approach of qualitative and
quantitative. Those data collected in non-numerical form are analyzed and presented in
qualitative approach and those data which have numerical nature are presented in
quantitative approach.

3.2.2 Research Type

In this research work the researcher is interested to employ the combination of
descriptive and explanatory methods. This is because through the first method the
researcher attempted to describe situations, problems and phenomena toward the existing
urban planning approach for small emerging towns and using the later method the
researcher clarified how and why these situations, problems and phenomena happened
and the indicate alternative solutions to over-come the identified problems.

3.2.3 Research Strategy

Among other research strategies; survey research strategy is used due to its logical,
deterministic, general, economical and open to scrutiny characteristic. This strategy
helped to collect factual data and produce information which is extensive and can be
fairly generalized to the population from which sample is drawn.

25
3.2.4 Method of Data Collection
The researcher applied interview and focus group discussion with urban professionals
and officials based on pre-prepared structured interview questions and discussion agenda
to gather primary data. This has been an important method to get an in-depth opinion and
experience from participants. The other data collection techniques designed and applied
was direct observation and semi-structured questionnaire for the leaders of „Blocks‟ in
the selected municipalities.

3.2.5 Population or Universe

The population of this particular research is Urban Development Sector in
SNNPR of which sampling frame is SNNPR Urban Planning Institute, Dawuro
Zone Urban Development and Housing Department for interview and focus
group discussion and five selected Urban Development and Housing Offices and
five selected municipalities under these Offices in Dawuro Zone for
questionnaire.

3.2.6 Sampling Technique

The appropriate sampling technique is adopted to achieve the research objectives and to
address the research questions. Thus, in this research non-probability sampling is
expected as more desirable sampling technique. Among other types of non-probability
sampling, purposive (judgmental) sampling technique employed to determine key
informants who are deemed to be committed to inform relevant data that could maintain
the intended quality of the research. Based on sampling technique specified, among
eighteen urban centers in Dawuro Zone; five newly certified urban centers namely Dali
Town from Esera Woreda, Mari Town from Mareka Woreda, Wara Town from Tocha
Woreda, Woldehane Town from Gena Woreda and Yalo-Lala Town from Loma Woreda
are selected and each town is represented by their “Blocks” leaders from whom
questionnaire filled data are collected. The other samples are urban institutions ranging
from regional level to municipality (from higher to lower hierarchy) as abbreviated in the
table below; which are selected purposively to acquire relevant data via interview and
focus group discussion. Interview made with professionals in Municipalities, Woreda
Urban Development and Housing Offices and Urban Development and Housing Sector of

26
Dawuro Zone and representative sample units of analysis are explicitly described
in the table below. Note that the representative samples taken from Urban
Institutions are urban professionals such as Surveyors, Urban Geographer, Civil
Engineers, and Urban Planners.
Table 1: Designed Sample Size
Sample Professionals in Community representatives in Total
frame selected institutions selected towns sample
(Institutions) selected
Total Representat Total number Community
(P+C)
number ive urban of organized representative
of urban professiona Blocks of the (Block leaders)
professio ls (Sample) Town (Sample)
nals (P) (C)
Dali Town 3 2 20 20 22
Mari Town 2 1 24 24 25
Wara, Town 2 2 19 19 21
Woldehane 3 2 23 23 25
Town
Yalo-Lala 3 2 16 16 18
Town
EWU DHO 3 2 2
TWUDHO 3 1 1
MWUDHO 3 1 1
LWUDHO 3 2 2
GWUDHO 4 2 2
DZUDHD 9 5 5
SNNP RUPI 12 6 6
Total 50 28 102 102 130
Source: Own compilation based on the data from respective institutions (2016)

3.2.7 Sources of Data

Both primary and secondary data sources are used to accomplish this research.
Primary data are collected from selected sampling units and secondary data are
reviewed from recently published and unpublished documents and electronic media
which have potential to contribute inputs for the intended research. The secondary data
also included the urban development plans of selected urban centers and the records of
these plans preparation process.

27
3.2.8 Data Analysis and Interpretation
In this section both descriptive and inferential statistics are applied. Using
descriptive statistics assisted the researcher in analyzing data graphs and charts
whereas applying inferential statistics (correlation) enabled the researcher to
quantify and describe possible relationships between identified variables (for
instance community experience on any measurement based work with
community participation in plan preparation Process). The qualitative data that
are gathered through focus group discussion, interview, questionnaire and
observation are summarized and analyzed thematically in the way to support
quantitative data. Finally the analyzed data are presented in text, tables, figures
and graphs.

3.3 Operationalization Framework

In the table below, the concepts included in each research objectives are defined in their
equivalent meaning in the study and operationalized in measurable indicators/variables.
Table 2: Operationalization framework
Research Concepts Variables Method of Methods
Objective Data of Data
Collection Analysis
To identify the • Human capital • Skill on In-depth Thematic
challenges to • Economic profession interview analysis
apply surveying capital • Financial FGD Descriptive
and base map • Technological capacity statistics
preparation for capital • Fulfillment of
urban planning facilities
as preconditions • Access to
in small advanced
emerging urban instruments and
centers analysis tools
• Affordability
To evaluate the • Sense of • Local Questionnaire Descriptive
community belongingness knowledge and statistics
participation • Empowerment resource
level in urban • Responsibility utilization In-depth
planning • Conflict • Decision interview
process in resolution making in plan
existing • Building trust preparation and Thematic
planning type implementation analysis
particularly in process
small urban • User FGD
centers satisfaction
• Realistic
expectations of

28
 outcomes
• Interactions
between
community and
institutions
Examine the • Suitability • Perception of Questionnaire Descriptive
applicability of • Efficiency affected groups In-depth statistics
existing urban • Effectiveness • Resource interview Thematic
planning type • Sustainability mobilization analysis
for small • Socio- • Implementation FGD
emerging urban economic level of plans
centers contribution • Effect on life of
community
• Achievement of
objectives
• Job creation
• Knowledge and
experience
transformation
• Time
requirement
• Prolonged
bureaucracy
• Creativity
To assess the . Responsiveness • Dispute free In-depth Thematic
attitude of local . Cooperation implementation interview analysis
communities . Recognition • Engagement in Descriptive
toward urban . Awareness planning FGD statistics
plan preparation . Legal backing process
process in small • Respect of plan Questionnaire
emerging urban • Abuse of plan
centers

Source: Own breakdown (2016)

3.4 Limitations
The limitations which are beyond control and suspected to affect research design that
might affect research finding and lead to wrong conclusion were newly establishment of
Woreda Urban Development and Housing Offices in the study area lacks key informants
on the issues. On other hand purposively selected officials were hardly available to
interview due to their regular duty. However, the gaps were bridged seeking alternative
approach that was substituting key informants from appropriate sectors and extending
data collection period to get the officials until they are available in their offices.

29
 PART FOUR
4. DATA ANALYSIS AND INTERPRETATION
4.1 Introduction
In this part of the research the data collected by various data collection
instruments are analyzed and interpreted using descriptive and inferential
statistics to answer the research questions and finally presented in simple and
understandable way.

4.2 Response Rate

As per sample size designed adequate number of responses replied via
questionnaire, interview and focus group discussion.
Table 3: Response Rate
Sampling Frame Sample size Response Response Rate Data Collection
size (in %) Instruments
Designed sample 28 21 75  Interview
Urban Professionals  FGD
Designed Community 102 102 100  Questionnaire
Representative from
each blocks
Source: Computed by the researcher (2016)

4.3 Findings
4.3.1 Challenges to Apply Surveying and Base Map Preparation in Small Emerging
Urban Centers
Focus group discussion held with urban professionals points out the advantage
of advancement of technologies and the condition of small emerging towns
regarding use of technologies as:
The technological advancement and sophisticated analysis tools of urban
planning are essential for urban planning process making the process easily and
smart. In this process the quality and effectiveness of planning process is
advanced and the output plan is expected to be implementable. This is true if and

30
only if the urban center which is going to prepare urban plans using these
technologies and application softwares should ensure that the town has capacity
in finance, manpower and accessibility to these technologies. However, the most
emerging urban centers unable to access the advanced technologies and
application softwares which can simplify urban plan preparation and
implementation process. This is due to shortage of financial capacity, urban
professionals and inaccessibility of these technologies as most emerging towns
are in remote areas with limited infrastructure provision. As the result it is
possible to conclude the capability of small emerging towns in using advanced
technologies and application tools for their urban planning is hardly practical.
Topographic surveying and Base map Preparation which is other face of
employing advanced technologies for plan preparation is important in any urban
centers in providing the existing natural and manmade features of the town to
produce high quality urban plan that would be implemented. However, it
requires advanced surveying instruments such as GPS and Total Station for
ground base survey and computers and application softwares for instance CAD
and GIS for manipulation. Otherwise it needs high quality satellite image or
Aerial photograph which needs high cost for base map preparation. Eventhogh
the necessity of topographic surveying and base map preparation for urban
planning is essential, due to its high cost and un-affordability for small emerging
towns; it becomes infeasible in this urban centers. Its necessity and the financial,
skilled manpower and material resource capacity of these urban centers
mismatch.
The major challenges to apply surveying and base map preparation for urban planning as
preconditions in small emerging towns are researched and analyzed from various
perspectives when data collected via interview made with selected sample respondents.

4.3.1.1 Technological Challenges

Urban policy, strategies, laws of Ethiopia and specifically urban plan preparation and
implementation manuals of SNNRP require technological results such as Digital Total
Station, GPS, Satellite image and Arial photograph using remote sensing and photo-
grammetry for urban planning. However, the interview made with sample surveyed

31
municipalities, Urban Development and Housing Offices of five selected Woredas
and Dawuro Zone Urban Development and Housing Department professionals
proves that use of these technologies is difficult to apply in these selected urban
centers except single total station for ground base survey in Zonal level and a
few numbers of total station and a single Differential GPS in RUPI. On the other
hand the practices on application softwares such as CAD, GIS, Prolink and
Teramodel which are the result of modern technologies are used only in Zonal
level and RUPI by a few surveyors and Urban Planners. From the interview with
the municipal professionals in five selected sample small emerging urban centers
it is clear to understand that they have no technical knowledge on above
mentioned technological products and they have no access to training and
workshops to improve their technical knowledge and skills regarding use of
technologies in their urban centers. Moreover, to run overall tasks of urban
planning process capable computers are required and the data should be stored
and managed securely. To produce final graphics printers and plotters are
required as the urban development policies, strategies, laws and manuals
recommend though the SNNPR Urban Planning Institute have only one plotter,
Dawuro Zone Urban Development and Housing Department has no functional
plotter and the aforementioned urban centers have no plotters and computers.
Table 4: Technological Instruments in Institutions under the Research
Institutions Number of Number of Number of Computers
GPS Total Station
Five Municipalities 0 0 0
DZUDHD 0 2 2 ( Not functional)
RUPI 1 4 10
Source: The institutions, surveyed by the researcher (2016)
In addition to the information expressed in the above table the ratio of
instruments in RUPI and DZUDHD with respective number of rapidly growing
urban centers shown in the table blow.

32
Table 5: Number of Instruments versus Number of Towns in SNNPR
Instruments in Number of Towns Ratio in Remark
SNNPRUPI in SNNPR Percent
Total Station 4 380 1.05 One Total Station for 95
Towns
GPS 1 0.26 One Differential GPS for
380 Towns
Source: Computed by the researcher based on the table 4 (2016)
Table 6: Number of Instruments versus Number of Towns in Dawuro Zone
Instruments Number of Towns Dawuro Ratio in Remark
Zone since 2014 Percent
Total Station 2 18 11.1 One Total Station for
9 Towns
GPS 0 0
Source: Computed by the researcher based on the table 4.2 (2016)
From the tables above it is clear to investigate that the use of technological
products in SNNP-RUPI and specifically in Dawuro Zone Urban Centers are not
in pace equivalent to what the modern urban development requires and
imbalance with highly growing rate of urban centers in the region.
4.3.1.2 Shortage in Skilled Man Power
As accelerating rate of urbanization world over; urban professionals are essential
in guiding, directing and managing urban spatial development. However, the
urban professionals have not been coping up with the alarmingly growing
urbanization in Ethiopia in general and in Dawuro Zone specifically. The data
obtained from SNNP-RUPI and DZUDHD discloses that there is no adequate
number of Urban Professionals in the sector.
Table 7: Number of Urban Professionals in the Institutions‟ Under the Study
Professionals RUPI DZUDHD 5 Selected sample
Municipalities
Urban Planner 2 1 -
Urban Engineer - - -
Socio-Economist 3 - -
Surveyor 4 2 5 (one to one)
Source: Computed by the Researcher Based on Primary Data (2016)

33
From the data obtained one can compare the ratio between the numbers of towns
in the region and specified zone and urban professionals working in these
sectors. So that, the ratio of urban planners to numbers of urban centers in the
region currently becomes 0.53 percent and 5.6 percent in Dawuro Zone. The
ratios of other professionals of urban studies are also insignificant. This shows
that there is difficult to match number of urban professions with the rapidly
growing number of urban centers. Thus, the complexities in the urban fabric
have been resulted in the need to adequate and trained professional urban
planners knowledgeable enough to shape the nature of the urban form through
determining where, when and how development should occur or alternative
mechanisms that can substitute the need to reduce the expected current and
anticipated urban chaos.

4.3.1.3 Poor Infrastructure Provision

Infrastructure services such as electricity, transport and telecommunications are
indispensable for achieving both urban and rural developments. However, access to
above mentioned infrastructures to accelerate urban development in the study area with
special focus on Dawuro Zone emerging small towns is extremely difficult as observed
when data collection. Geographical location has been made the transportation problem
more sever and shortage of vehicles in the sector is another creditable problem. Due to
this, professionals engaged in urban planning face safety and security problems and their
scarce surveying instruments exposed to damage. Then reaching the required small
emerging towns hardly, energy and communication issues become another challenge that
planners, surveyors and socio-economic experts face. From the observation when data
collection, more than 75 percent of emerging towns in Dawuro Zone have no access to
major roads by all-weather roads and intermittent electric energy and despairing
telecommunication services. These challenges in sum have been hindering surveying and
base map preparation for urban planning.

4.3.1.4 Limitation in Financial Capacity of Local Government

In a context of rapid urbanization and declining revenues, local governments increasingly
take on responsibilities relating to the satisfaction of the basic needs of the people. This

34
fact is common and clearly ensured in this research work in selected study areas. The
local government structures under the study area such as Zonal Administration, Woreda
Offices and Municipalities are in low financial capacity to invest on logistics for urban
planning process, fulfill wages, salary and other accommodation costs for urban plan
study experts and other participants. From the data obtained from the manual of Urban
Organization Plan Preparation and Implementation Core Process study document of
SNNPR states that Urban Plan preparation Core Process recommends 53-100 days per a
town assuming one planning crew holding three professionals in average. From this
information required wage amount can be computed based on the number of average
professional numbers. Let take the average daily wage be 151 ETB, so that the minimum
required wage for three urban study professionals is 24009 and maximum of 45300 ETB
per a town. In addition to the professionals, in average three other supporters and daily
labor workers are required for ground base survey work for base map preparation for 7 to
15 days. Assuming average wage for daily labor is 100 ETB; the minimum required wage
for daily labor within these days is 2100 ETB and maximum of 4500 ETB. To sum up the
average wage for professionals and supportive daily labors, it ranges from 26109 to
49800 ETB for a single town preparation without considering material and other safety
costs. Urban Development and Housing Department of Dawuro Zone, Urban
Development and Housing offices and respective municipalities under the study realize
that they unable to finance this amount of money with their limited budget in the sector
and poor revenue sources. So that, it is possible to interpret that these sectors are under
trouble condition to hire adequate urban professionals and fulfill required logistics for
advanced urban planning due to their financial capacity.

4.3.2 Evaluation of Community Participation Level in Urban Planning Process in

Existing Planning Types
According to Jean Jack Rousseau, community participation has a psychological effect on
the participants, ensuring a continuing interrelationship between the workings of
institutions and the psychological capabilities of individuals interacting with them.
Moreover, it is deemed to;
 Enhance the capacity of citizens to cultivate a stronger sense of commitment
 Increase user satisfaction

35
  Create realistic expectations of outcomes
 Build trust
However, the research data reveals that the community participation in Dawuro Zone in
all urban centers when planning process has been insignificant when compared to the
above mentioned importance. Concerning the issue specifically in selected sample small
emerging towns in Dawuro Zone, the respondents both via questionnaire and interview
witnessed that the community members are outsider when plan preparation process rather
take part and decision makers in the process. The graphs blow shows the responses
responded on the questions; if they remember how their town plan was prepared? Who
prepared? and if they know the type of instruments used when ground base surveying?.
Graph 1: Respondents‟ Knowledge on Who Prepared Their Town Plan

Source: Computed by the researcher based on primary data (2016)

Graph 2: Respondents Knowledge on Their Town Plan Preparation Process

Source: Computed by the researcher based on primary data (2016).

36
 Graph 3: Respondent‟s Knowledge on the Type of Instrument Used in Planning Process

Source: Computed by the researcher based on primary data collected (2016).

From the graphs it is clear to infer that the majority of the respondents responded that
they have no knowledge on an authorized person who prepared their town plan, plan
preparation process and the instrument used in plan preparation process. Those
respondents responded that they have knowledge on the above mentioned issues are the
community members who are personally approached the professionals and those youth
who are involved in surveying task as daily labor rather intentionally involved in the
planning process to share knowledge from professionals. Moreover, almost all
respondents agree that they have been dissatisfied in their town plan preparation and
implementation. They acquire information about their town plan when the plan is
implementing and they are prohibited not to do any kind of construction until the plan is
implemented. In addition, the professionals and officials revealed that the community
participation in the urban planning process in all phases is inadequate and there has been
no practice in information dissemination through public media except informal
information when plan is stared to implement and privately hold plot of land is required
for certain public purpose. As a result, the respondents evaluate that the community
members feeling concerning the plan implementation is not welcoming but full of
resistance and challenges pretexting compensation and complain for replacement land.
Finally, focus group discussion held with urban plan study professionals in RUPI on
perception of community on sense of belongingness, responsibility and trust up on the
plan, those who prepare and approve the plan summarized as follow.
37
The community perceives that plan is prepared by government and they assume that the
plan is imposed on them. They think that they are forced by the government to accept
plan preparation and implement. The reason for their saying was because of most plans
have been prepared and implemented by RUPI or zonal professionals without heartfelt
acceptance of the community. That is why in certain urban centers the residents tried to
raise conflicts not to make any surveying process in their locality. For instance „Wara
Town‟ Plan preparation process was a full of high confrontation. Most peoples in small
urban centers do not have trust on the plan preparing institutions or anybody who
generate urban planning issues. Because they believe that these bodies are going to
occupy their land for urban expansion as most residents in small urban centers are
agrarian, they do not lookout the advantages of urbanization rather they exaggerate its
disadvantage on their life.
Few visionary literate community members, traders and brokers who have some clue
concerning urban issues support and coordinate urban planning process in their urban
centers. They accept as true that urban planning is the beginning of the modernization,
growth and bright future. So that these community members share the responsibility and
trust that urban planning for their urban center is their own plan.
Concerning the community engagement and cooperation in plan preparation and
implementation the participants in focus group discussion disclose that; the community
engagement and cooperation varies from town to town depending on the commitment and
awareness made on the community members by the respective authorities, professionals
and other stakeholders. So that attitudinal change on urban issues deemed to bring
smooth condition for community participation in urban planning process. However, this
practice has been minimal in existing situation in all emerging urban centers. Those urban
centers whose community members are not mindful, convinced and involved in initiation
concerning urban planning process are not in position to engage themselves in urban plan
preparation and implementation process. They feel as external party rather they are part
of the planning process. Thus in most emerging towns, the community member‟s
engagement and coordination is insignificant and even few members attempt to resist not
to plan.

38
4.3.3 The Applicability of Existing Urban Planning Type for Small Emerging Urban
Centers
The community representative respondents evaluate their town plan applicability by
various perspectives such as lack of acceptance of plan by the community, unsuitability
of the plan for that specific urban center, lack of awareness and unaffordability of
planning process. As the result the majority of the respondents agree that the plan type
has been practicing in the selected urban centers are difficult to apply due to the above
mentioned reasons. On the other hand about 28 percent of the respondent‟s reason out
that the applicability of the existing plan type depends on the instant responses of
authorities for the affected community members due to urban plan. The responses might
be concerning compensation cost and land for replacement. These respondents trust on
applicability of the plan if these conditions are fulfilled otherwise there will be disparity
between land holders and planning authorities.
Table 8: Responses on the Applicability of Existing Planning Type

Responses Number of Percent

respondents
Applicable 29 28.4
Difficult to apply 73 71.6
Total 102 100.0

Source: Computed by the researcher based on primary data (2016)

The respondents gave credit for unaffordability which has been cases for difficulty for the
existing planning approach in terms of skilled man power, financial aspects and shortage
of logistics. The results of their response rates are described in the table below.

Table 9: Responses on the Expected Causes for Unaffordability of Existing Planning

Types
Responses Number of Percent
respondents
Lack of skilled manpower 31 30.4
Financial Aspects 38 37.3
Lack of logistics 33 32.4
Total 102 100.0
Source: Computed by the researcher based on primary data (2016)

39
On the other hand, focus group discussion held on the major challenges to implement the
plan in urban centers focusing on the plan side, the implementer and user sides presented
as follows.
From the plan side: poor spatial data collection and analysis for urban planning,
shortage of urban planning professionals in urban planning crew and professionals and
elite people oriented plan preparation process are some visible limitations from plan side.
These limitations have been affecting the quality of urban planning. Lack of
comprehensiveness in the plan, lack of community participation in the planning process,
long time taking for plan approval and implementation hinders land holders from
development until it is permitted. The limitations in urban planning process cause
deficiencies in plan output and mislead land use plan and socioeconomic information.
From the implementer side (authorities): shortage of skilled man power, instruments
and commitment of the municipality to implement the plan are most common problems
in small emerging towns. Financial shortcomings of the municipality for compensation
and replacement land for relocation are also the other challenges that have been
happening from the implementing authorities‟ side. Furthermore, less attention of the
community and urban development sector offices to implement the plan rather keeping
the plan in the shelf, un-necessary bureaucracy, lack of good governance for timely
response for the land holders concerning plan implementation and right to develop on
their land.
From the users’ side: for various reasons such as self-interest, loss of personal benefits
due to plan, lack of concern and knowledge on urban issues, top-down approach of
planning process, lack of practical involvement in planning process to decide and consult
on the community issues, the community members resist the plan implementation
process. The community members (the users) anticipate that plan preparation and
implementation is imposed up on them rather it is their right and responsibility to take
part in the process. As the result, when most urban plans of various emerging urban
centers are abused by officials and influential persons, the community members keep
silent rather than prevent and request what is going on.

40
4.3.4 The Attitude of Local Communities Toward Urban Plan Preparation
Process in Small Emerging Urban Centers
The data gathered from the community representatives via questionnaire, interview with
selective expertise and warm focus group discussion with RUPI professionals are
clarified the attitudes and perceptions in the mind of community members regarding
urban planning process.

4.3.4.1 Community Attitudes and Perception on Existing Planning Type

From the questionnaire it is clear to investigate that the majority of respondents replied
that they are dissatisfied concerning their town planning and implementation process that
has been taking place. For the community dissatisfaction there are other indicative causes
such as dispute created in relation to urban planning and the responsiveness of authorities
when claim for dispute resolution on which the respondents reacted as presented in the
table below.
Table 10: Community Feeling Concerning Their Town Plan

Satisfaction level Frequency Percent

Satisfactory 26 25.5
Dis-satisfactory 76 74.5 [[[[

Total 102 100

Source: Computed by the researcher based on primary data (2016)

The majority of respondents revealed that even though they have mentioned demerits of
planning concerning their land property, on the other hand they have gained economic,
social and cultural benefits due to the existence of the town plan.
Table 11: Community Benefit from Town Plan

Benefited local community Frequency Percent

Yes 78 76.5
No 24 23.5
Total 102 100
Source: Computed by the researcher based on primary data (2016)
From the following bar and chart it is clear to appreciate the community observation on
dispute in relation to urban plan in their urban centers and their satisfaction level on the

41
responsiveness of the respective authorities when dispute raise in relation to urban plan
preparation and implementation.
Graph 4: Community Observation on Dispute Due Town Plan

Source: Computed by the researcher based on primary data (2016)

Graph 5: Community Satisfaction on Authority Responsiveness

Source: Computed by the researcher based on primary data (2016)

Moreover, the interview also discloses thatthe community feeling towards the existing
planning preparation and implementation approach, their understanding and contribution
has been minimal and not internalized. The residents need to have municipal status for
their town for socialand economic benefits but they do not have knowledge on
therequirement of urban plan and adminstrative structure for the municipality.

4.3.4.2 Local Knowledge on Local Planning Concept

This research also assessed the practice of locall plan which was fully involved non-
urban professionals to prepare grided town plan in Dawuro Zone. As elder informant in
42
personal discussion, in 1980s a Woliyt a ethinic man called Besha Alaro move through
Dawuro Zone for various development activities througn campaign with full involvement
of the community members for the development in their locality. Among other
development campaign, planning for small emerging towns was the most accepted
development activities in which the mass people engaged in the process. For instance he
participated mass community memebrs to prepare plan for small town called “Shota
Town” in Esera Woreda without the use of advanced instruments except local maaterials
such as rope, pegs and bamboo tree as ranging pole . He led the participants to prepare
girided plan with adequate road widith and social service area such as for police office,
kebele admincitration, school and helath center. This plan has been guiding as base plan
for new buildings and road net work. In future, this town will be easily upgraded to
modern digital plan because of the layout of the town is grid and no choas which is
suitable to collect spatial data. The town is also advantegeous in cost of demolishing
when modern plan comes to the ground. On the other hand, when data gathered through
questionnaire from Kechi Town, one elite respndent states the planning history of the
town, in the beginning of 2000s Kechi Town was prefered for adiminstrative seat for
Tocha Woreda. As the result it is required to prepare plan for the town that guides
alocation of basic physical and social services, adminstrative centers and road networks
that realize the accesiblity to these services. So that, selected community members
participated in designing and measurement tasks with the guidance and followup of
agricultural sector expertise from Tocha Woreda and other non urban profesionals from
Dawuro Zone sector. In this emmergence planning process large number of residents
engaged in clearance and opening of roads using local materials such as rope, pegs,
bamboo tree as ranging pole as per the design made by leading groups. Finally the grided
local plan was prepared without the employment of advanced instruments and
construction of government institutions and residential settlement took place accordingly
as the local plan guides. Later, this plan become the base plan for Kechi Town Basic plan
which was prepared in 2014 with smooth spatial data collection via ground base
surveying and minimum modification of existing layout. The layout of the towns shown
in the figures below.

43
Figure 3: Grid Layout Local Plan of Shota Town in Esera Woreda

Source: Google Earth (2016)

Figure 4: Grid Layout Local Plan of Kechi Town with Basic Service Distribution in Tocha
Woreda

Source: Google Earth ( 2016)

44
As in the table below indicated, the respondents from five selected urban centers the
majority reveal that they know how local plan could be prepared. As they reason out
their source of knowledge, they rehearse back to 1980s Derg regime Villagerization
program for rural residents. In this program villages were established in rural areas with
grid pattern of huts with road accessibility at reasonable spacing. This situation helped
the community members to share experience on measuring, parceling and opening road
access at certain spacing using locally known measuring techniques and tools including
rope, pegs, chain, arm, pacing and bamboo as ranging pole. Later on, this practice
expanded and a number of urban centers planned locally by locally experienced
community members and other guiding non-urban professionals. Here no advanced
technological products are introduced but they enabled to prepare locally planned towns
for administrative seats and trade activities. Plans in such approach in Dawuro Zone as
mentioned above section, Karawo Town in Gena Woreda is also a small town whose plan
was prepared locally. Kechi and Karawo Town upgraded the plan to modern Basic Plan
currently but Shota Town has been leading its growth in local plan.
Table12: Community Know How on Local Plan Prepared
Know how local Frequency Percent
plan prepared
Yes 73 71.6
No 29 28.4
Total 102 100.0
Source: Computed by the researcher based on primary data (2016)
In addition, as the table below indicates most of respondents replied that they have been
participated in measurement based tasks in various situations and hence they ensure that
they are confidence-full to involve in any kind of local measurement based tasks using
local materials such as rope, pacing and using bamboo trees for alignment. For this
purpose the respondents also ensure that they are able to provide local materials required
for measuring and contribute their labor force.

45
Table 13: Respondents Experience on Measurement Based Tasks

Know how local Frequency Percent

plan prepared
Yes 83 81.4
No 19 18.6
Total 102 100.0
Source: Computed by the researcher based on primary data (2016)

From the interview and focus group discussion it is also clear to infer that it is possible to
prepare local plan mobilizing the community with the integration of urban planner in
mere technical support without the introduction of technology. The interview and focus
group discussion summarized the positive implications of adoption of local plan
preparation in the next paragraphs on the issues:
 The applicability
 Sense of belongingness and responsibility
 Social and cultural integration
 Economic feasibility and political trust
 Environmental soundness and sustainability
 Adoption of new approach and knowledge and skill transformation?
The Applicability of the Plan
The applicability of the plan would be simple and less costly implementable. This is
because it is assumed to be prepared by the community members by themselves with
technical support of urban planners for themselves. It is also assumed to be prepared in
the way that the plan would befit with the interest of the community and their envisions.
If local plans prepared in such a way, the community members engage themselves in plan
implementation process without doubt. As the result, local material resources and
knowledge will be better exploited and the applicability would be persuasive.
Sense of Belongingness and Responsibility
Sense of belongingness and responsiveness of the community in such a plan become
deepen and shared. This is because the plan prepared is based on their interests and
knowledge accordingly their interest and their life style locally. So that it is assumed to
be carefully to satisfy their local needs in a way that it fits the existing situation of their
urban centers.

46
Social and Cultural Integration
Social and cultural integration would be strengthened because the planning task is
performed in team. This situation enables the participants to discuss on their social issues
and share their life experience each other. Thus, this coincidence is important to develop
their social and cultural organizations, the integration in team work becomes stronger and
any social disintegration will be solved with in such social organizations.
Economic Feasibility
If urban plans prepared locally, it would be economically feasible and ensures political
stability. This is expected as the planning approach is requires low monetary resources
because the intention is to adopt wage free labor force, local materials that can substitute
modern planning instruments. Above all, the planning process is expected to be held with
full commitment and responsibility of the users. And the cost for planning crew reduced,
the cost for instrument and other appliances minimized and the need for technological
application software kicked out. This in sum indicates that local planning approach is
economically feasible for small emerging towns.
Political Role:
In such planning approach, it is important to see that political role is not such challenging
to convince the importance of urban planning for the community. Comparatively, it is
better approach to discuss together and deepen political views in urban planning. it also
minimize work load of politicians when plan preparation and implementation process
because most tasks carried out by the community members by themselves and also
implementation process executed by the community with full commitment, with no
resistance and claim for compensation and replacement costs.
Environmental Soundness:
When local plan is assumed to be practical, it is more realistic to maintain environmental
aspects as the plan is prepared by the immediate user who are much closer to the issues
that might benefit or harm their community. Moreover, the environmental issue proposed
by these bodies deemed to be better sustained as it is conserved, protected and preserved
by the community members due to the day- to-day activities of the people in the
community is indispensible.

47
Adoption of New Approach:
Concerning adoption of new approaches and knowledge transformation, it is true that
practicing local planning with the technical support of urban professionals, there is to-
and-fro knowledge and skill transformation between, professional urban expertise and
locally experienced community members. So that, in this approach the hybrid of local
knowledge and modern knowledge produces better knowledge in the required tasks. As
the participants are from multi-variant back grounds of skill, knowledge and attitude, it
insures more integrity, tolerance and sprit in social life. It is also very essential to employ
local materials for advanced concepts (e.g. urban planning). As the result, the wide and
cheap local resources able to get consideration in local developments substituting the
modern and costly development approaches.

4.4 Interpretation and Discussion

4.4.1 Challenges to Apply Surveying and Base Map Preparation in Small Emerging
Urban Centers
Father of Modern Urban Planning Patrick Geddes who was the first to link Sociological
concepts (folk, work and place) in to Town Planning stated a theory “Survey before plan”
which he mean diagnosis before treatment (SRM University, n.d). However, he did not
distinguished in which levels of urban centers this theory will be adopted and in others
not true. He did not put alternatives for those towns which are unable to make survey. As
the result, countries have been applying this theory directly hardly practicing in their
towns especially in Small Emerging Towns. This research revealed that the need to
survey before plan in specific study area is in contrary to the theory due to various
potential challenges. From the data analyzed the major challenges to apply surveying and
base map preparation in small emerging towns in selected study area can be categorized
as:
 Technological Challenges
 Shortage in Skilled Man Power
 Poor Infrastructure Provision
 Limitation in Financial Capacity of Local Government
ILO (2010) states that equipping the workforce with the skills required for the jobs
of today and those of tomorrow is a strategic concern in the national growth and
48
development outlooks of all countries. But the data analyzed on skilled manpower of the
study area implies that less concern given to the urban sector in the region. On the other
hand UN-Millennium Project ensures that infrastructure services such as electricity,
transport and telecommunications are indispensable for achieving the health, education
and other development sector goals spelled out in the Millennium Declaration of the UN
General Assembly. However, the challenge facing developing countries goes beyond lack
of infrastructure assets. In many instances, the benefits of past investments in infrastructu
re have not been fully realized due to policy deficiencies and poor institutional arrangeme
nts in the recipient countries (UN Millennium Project, 2005).
Financially, in a context of rapid urbanization and declining revenues, local governments
increasingly take on responsibilities relating to the satisfaction of the basic needs of the
people, local economic development, and environmental protection. However, the funds
available are far less than the resources required to take on these challenges. Local
governments are under pressure to do more with less (United Cities and Local
Government, n.d).
These challenges are the most common and existing phenomena in small emerging towns
throughout the country. Though Ethiopian urban policies, strategies and laws have been
working on these issues to reduce the severity of the problems and to enhance modern
urban planning in the country, applicability of paper works are not fitting. This is because
of urban centers are emerging in high pace that couldn‟t be going in line with current
status of local governments due to aforementioned shortcomings. The shortcomings in
technologies, skilled manpower in urban sectors, lack of basic infrastructures and
financial capacity in emerging urban centers results urban chaos through its growth. The
expected cause effect relationship of these variables with urban growth in certain urban
center could be the flows in the diagram below.

49
 Figure 5: Cause-effect Relationships of Urban Challenges with Urban Growth

Source: Derived by the Researcher (2016)

To summarize the observation of the data analysis under the issues on challenges to apply
surveying and base map preparation in Small Emerging Towns, it is obvious to fulfill and
equip urban sectors and respective administrative institutions with material and skilled
manpower to exercise modern urban plan using surveying and base map preparation in
emerging urban centers to avert urban chaos in indispensible urban growth. Otherwise,
the urban planning and implementation process is rescued due to poor quality surveying
and base map preparation. This rescue has also other effects on community such as social
ill, economic suffering and political insecurity. To overcome the inconveniences that has
been occurring and negatively affecting the growth of emerging urban centers, one can
see alternative means from other perspectives that might be appropriate and best fits these
urban centers economically, socially and the interest of the community.

4.4.2 Evaluation of Community Participation Level in Urban Planning Process in

Existing Planning Types
UN (2008) pronounces that effective procedures for community involvement will
enhance the legitimacy of policy- and decision-making by creating a sense of local
ownership and ensuring consideration of citizens‟ and property owners‟ rights. The
50
decision-making process should be transparent so that all citizens are made aware of the
reasoning behind decisions. Citizens should have access to information about
development proposals, plans and policies, as well as to the officers and political
committees which make such decisions. They should be able to comment on proposals
and if necessary make formal objections on draft plans and appeals against planning
decisions. Those making proposals should be able to appeal to a higher authority on
negative decisions.
In developing countries there have been different constraints include factors deal with the
legal constraints, regulations and technical standards, planning methods and absence of a
workable model for participatory strategies impede the success of the possibility of
effective participation between the different elements of urban development programs
(Ayman M., 2011). From the analysis it is clearly observable that these factors and other
local trouble conditions affected the community participation in small emerging town in
the study areas. The indications are as the analysis results shown summarized below:
 Lack of awareness on the existence of the town plan
 Lack of awareness on how the town plan was prepared
 Lack of knowledge on authorized body who prepared the town plan
 Lack of knowledge on the planning tools used when planning the town
 Insignificant participation in the town plan preparation
 Lack of access to information and communication from and to the community
 Dissatisfaction of the community in plan preparation and implementation
 Opposition on plan implementation
 Dissatisfaction of the community on response by respective organ when claim for
dispute
Here the message is simple and clear. That is the community members had no position
while authorized body planning for the town. That is why they feel as external party
rather they are part of the planning process. That is also the case that in most emerging
towns, the community member‟s engagement and coordination has been insignificant,
urban development is slow, objection and attempt to resist not to planning and
implementing has been rising.

51
4.4.3 The Applicability of Existing Urban Planning Type for Small Emerging
Urban Centers

Traditional Master Plans are basically land use proposals and have been criticized
because of their long term horizon; their emphasis on product rather than process; their
strong physical component with emphasis on regulation of land use and spatial zoning;
the lack of interaction with users; and their non-strategic quality. It was time consuming,
costly and extremely rigid, with plans becoming outdated even before they are
implemented. It has also been criticized for its failure to engage with political processes,
in that plans are prepared in a top-down manner with limited scope for effective public
consultation or participation of stakeholders. In addition, the economic and social
dimensions of the various physical proposals and civic designs contained in master plans
are rarely given adequate consideration (G. K. Musoga, n.d).
To overcome the gaps in Master Plan, countries adopted new planning approach called
Structure plan. In Ethiopia, Structure Plan unlike master plan that specify detailed
allocation of land for each and every use, indicates the distribution and extent of
major land use categories. It describes levels of intensity and allowable uses. It also
shows limited non-permitted uses in a certain locality to make these components as
flexible as possible without affecting the well- being and security of the urban
population. The level of uses to be represented on SP varies in the level of details
depending on the size of the urban area. In Small and Medium Towns, SP could
spatially be more detailed for ease of implementation (MUDC, 2010). Besides this, Basic
plan is another type of urban plan which can be embraced within the framework of
structure plan and it is anticipated for the population not more than 20,000 for rapidly
emerging urban centers in the country (MUDC, 2012). Sketch plan is also another type of
plan that has been practicing in SNNPR for Rural Growth Centers which are
transforming to urban centers.
However, there have been applicability question of these plans in small emerging towns
mainly because of lack of skilled manpower, Lack of logistics due to shortage in local
financial capacity and above all lack of commitment of authorities to implement the plan
understanding that the role of planed town in urban development and efficient use of
public resources. Though these are the cases, it is also clearly discussed in focus group

52
discussion that the applicability problems emanated from three major sides. These are
quality of plan, negligence of urban planning authorities on community members and
lack of belongingness and irresponsibility of community members. From these basis it is
simple to sum-up the analysis on applicability of existing planning approach is “a top-
down commandment” which is imposed up on the community other than it is heartfelt
accepted urban development guideline to improve and make ease of urban life.

4.4.4 The Attitude of Local Communities Toward Urban Plan Preparation

Process in Small Emerging Towns
Attitude is a psychological tendency that is expressed by evaluating a particular entity
with some degrees of favor or disfavor. Therefore, it is essential to understand local
communities‟ attitude because an understanding of local communities‟ attitudes
allows urban planning to adopt an adequate responsive mechanism to the negative
influences that arise from the plan (ISITI, 2014). Based on this concept, implications of
the analysis on the attitude of local community members (residents) towards the existing
planning type and local planning concepts differ from respondents to respondents as their
personal interest and benefit from the plan. Those respondents who gained socio-
economic benefit from the existing plan type have positive attitudes toward the plan and
strongly advocate for the plan implementation. Though the number is lesser, these
beneficiaries include traders and those who are engaged in their own business including
broking. On the other hand those who are engaged in agricultural activities, the larger in
number strongly disagree on the urban planning process imply that they have negative
attitude towards the plan. But the advocacy is because of satisfaction in personal interest
rather than satisfaction of the whole community and not based on distinguishing
advantages and disadvantages of planning for the community. Establishing municipality
for their town is the interest of the whole community but they do not want loss any
resource existing in their hand.
On the other hand the respondents‟ attitude towards local planning concept is goes back
to 1980s, Derg regime villagerization program in rural areas and this practice become
advanced and has been used in small emerging towns in various urban centers in the
region. Those respondents who were participated in this program acquired technical skill
in measuring, parceling and alignment. This condition helped them to understand how

53
small towns have been emerged and the requirements such as road access at certain
spacing, service distribution and orientation of houses. Taking it as input and developing
their local technical knowledge and positive views on local planning concept for urban
plan preparation assures that transformation of local knowledge to modern concept.
Moreover, local plan preparation mobilizing the community at large guarantee on:
 The applicability
 Sense of belongingness and responsibility
 Social and cultural integration
 Economic feasibility and political trust
 Environmental soundness and sustainability
 Adoption of new approach and knowledge and skill transformation?
To sum up the discussion, the attitudes of the community in the study area towards urban
planning is positive or opposing depends on the personal benefit demanded or lost due to
urban plan preparation and implementation from top to down. On local planning concept
their reflection is supportive and from their experience they feel that they able to plan
with technical support.

4.5 Correlation between Variables

In this research both quantitative and categorical (nominal and ordinal) variables are
employed. Various issues was discussed under these variables categorizing them in to
independent and dependent variables as shown in the table below but not limited to the
mentioned. These variables integrate wide concepts and interpreted in multi perspectives.
Table 14: Research Variables
Research Research variables
objectives Independent Dependent
1 Challenges to apply surveying Comprehensive plan
and base map preparation
2 Community participation level Plan abuse/ care for town plan
in urban planning process
3 Fulfillment of facilities and Applicability of existing urban
coordination of residents planning
4 Socio-economic benefit from Attitude of local communities toward
town plan urban plan preparation process
Source: Derived by the researcher from the Research Objectives (2016)
54
From the data analyzed the correlation between the variables that directly describe the
research objectives are presented and interpreted below.
Table 15: Correlation between Applicability of Town Plan and Community Preference
for Plan Preparation

Applicability of Community
the Town Plan preference of plan
preparation
Pearson Correlation 1 .493
Applicability of the Town Plan Sig. (2-tailed) .354
N 102 102
Pearson Correlation .493 1
Community preference for
Sig. (2-tailed) .354
plan preparation
N 102 102

Source: Computed by the researcher from the primary data collected (2016)
The analysis report table shows that the Pearson correlation coeffcient of variables lies
between (0.3, 1), it indicates that the variables are positively correlated. This implies that,
as community preference of plan preparation and implementation process maintained,
applicability of their town plan is expected to be realized and otherwise the reverse is
true.
Table 16: Correlation between Community Participation in Plan Preparation Process and
Community Care for Plan Abuse
Participation in plan Community Care
preparation Process for plan abuse
Pearson Correlation 1 .560
Participation in plan
Sig. (2-tailed) 1.000
preparation Process
N 102 102
Pearson Correlation .560 1
Community Care for plan
Sig. (2-tailed) 1.000
abuse
N 102 102

Source: Computed by the researcher from the primary data collected (2016)
The table shows that the Pearson correlation coefficient of variables is 0.560 which is lies
between (0.3, 1), implies that the variables are positively correlated.

55
Community participation in planning process is directly proportional to community care
for the plan. If the community members do not have rooms for participation, they do not
give attention for the plan meaning that the urban plan is exposed to abuse.
Table 17: Correlation between Community Benefit from Plan and Community Care
for Plan Abuse
Benefit of local Community Care
community for plan abuse
from plan
Pearson Correlation 1 .430
Benefit of local community
Sig. (2-tailed) .644
from plan
N 102 102
Pearson Correlation .430 1
Community Care for plan abuse Sig. (2-tailed) .644
N 102 102

Source: Computed by the Researcher from the Primary Data Collected ( 2016)
The analysis shows that the Pearson correlation coefficient of variables is 0.430 which is
lies between (0.3,1), implies that the variables are positively correlated and directly
proportional. This indicates that the community benefit from the plan afects community
care for plan abuse or not to abuse.
Table 18: Correlation between Community Experience on any Measurement Based
Work with Local Knowledge
Experience Local Participation
on any knowledge on in plan
measurement how local preparation
based work plan prepared Process
Experience on any Pearson Correlation 1 .422 .314
measurement based Sig. (2-tailed) .823 .031
work N 102 102 102
Local knowledge on Pearson Correlation .422 1 .349
how local plan Sig. (2-tailed) .823 .628
prepared N 102 102 102
Pearson Correlation .314 .349 1
Participation in plan
Sig. (2-tailed) .031 .628
preparation Process
N 102 102 102

Source: Computed by the researcher from the primary data collected ( 2016)

56
The analysis shows that the Pearson correlation coefficients of variables are lie between
the interval (0.3, 1) which implies that the variables are positively correlated and directly
proportional. That is Experience on any measurement based work has direct relation with
local knowledge on how local plan prepared and these together correlate to ensure the
community participation in plan preparation and implementation process. The reverse,
lack of local knowledge on how local plan prepared and experience on local
measurement work reduces the probabilty of the community memebers participation in
urban planning preparation and implementation process.

4.6 Summary of Findings, Discussion and Interpretation

The data collected by various methodologies are analyzed, presented and come up with
major findings which require appropriate feed backs. The finding clearly identified the
major challenges to apply surveying and base map preparation as precondition for urban
planning in small emerging towns. These major challenges are incapacity to introduce
technology, shortage of skilled man power in urban profession, poor physical
infrastructure provision to alarmingly emerging small towns and low financial capacity of
local government to invest on urban development in small emerging towns. Beside these
the practice of community participation in existing planning type in sample small
emerging towns is evaluated. As the result shows the practice has been in infant stage and
consequently the knowledge of community on planning and implementation process is
insignificant. Due to various limitations including absence of practical public
participation at large has been deterring the applicability of existing urban plan type. The
finding also examined that the community attitude toward existing urban plan type
preparation and implementation process. The result shows that, as the community
members have interest on establishment of municipality without concerning urban
planning issues, they fail to coordinate, pay cost and loss personal advantages on issues
related to urban planning. They feel that the plan is “a top-down commandment” which is
imposed up on the community to grab their land and land property other than it is
heartfelt accepted urban development guideline to improve and make ease of urban life.
Contrary to this feeling, the finding assessed that they are equipped with experience, local
knowledge and resources which can be efforts to adopt locall plan preparation.

57
 PART FIVE
5. CONCLUSIONS AND RECOMMENDATIONS
5.1 Introduction
In this section the soul of the entire thesis based on the research objectives concluded and
operational recommendations forwarded to react on research questions posed on part one.

5.2 Conclusion
Due to rapid urbanization and its subsequent challenges, Ethiopia enacted urban policy,
strategies and laws to guide and regulate the proliferation of unplanned urban centers by
sound and visionary urban plans to bring about balanced and integrated national, regional
and local development. However, these legal documents indicates that, there have been
shortcomings of urban land use plan preparation and implementation due to the
limitations concerning remote sensing, surveying and base map preparation in relation to
skilled man power and modern surveying instruments, capacity of organization,
inappropriate budget allocation and incomprehensive plan.

As the numbers of small emerging urban centers are increasing from time to time
throughout the country, the management and furnishing the conditions for these urban
centers has been tedious and more severe than other relatively developed urban centers.
On this basis, this research actualized the facts concerning challenges to apply surveying
and base map preparation, community participation practice in urban planning, the
attitude of local communities toward urban plan preparation and the applicability of
existing urban planning type for small emerging urban centers. The findings realized the
root causes for the challenges to apply surveying and base map preparation include
technological challenges, shortage in skilled man power, poor infrastructure provision
and limitation in financial capacity of local government.

The research boldly assessed concerning community participation in urban planning

process. From the analysis it is clearly observed that the community members at large
had no position except few elite residents while authorized body planning for the town.
As the result most of community members undertake themselves as external party rather
they are part of the planning process. That is also the case that in most emerging towns,

58
the community member‟s engagement and coordination has been insignificant, urban
development is slow, objection and attempt to resist not to planning and implementing
has been rising. In addition to these inconveniences the applicability of existing urban
planning type in small emerging towns are exposed to threat due to shortcomings which
are emanated from plan preparing and implementing authorities side, the plan side and
the users side. The plan prepared for these urban centers by various body have been
sticked on the municipalities‟ wall as wall decoration rather functioning as guiding law
for the town growth. To overcome the problems of urban plan preparation and
implementation experiencing in small emerging towns it is important to overview the
community attitude towards existing modern urban planning type and local urban
planning concepts. Consequently, the community attitude towards existing urban
planning type in aforementioned urban centers is highly influenced by personal interest
that they demand or lose. On the other hand, the community attitude and perception
towards local urban planning concept is smooth and deemed to be close to their local way
of life and thus achievable efficiently exploiting their local material resource and local
manpower due to its creditable social, economic and environmental benefits. To
conclude in general, the existing modern urban planning types of Ethiopia that have been
practicing in small emerging urban centers (special focus on Dawuro Zone) are
encountered various challenges as discussed in findings to apply in these urban centers
seeking appropriate solution.

5.3 Recommendations
The research forwarded recommendations in two perspectives, recommendations for
further study and for practice. Recommendations in both approaches expected to bridge
the gaps identified in the research.

5.3.1 Recommendations for Further Study

The issues investigated in this research in specific study area are accepted as common
issues in the country basically the towns in the same status as the sample towns in
Dawuro Zone. To assess the facts concerning the applicability of Ethiopian urban
planning type for rapidly growing small emerging urban centers throughout the country
and to come up with detail finding that will fill the gaps and strengthen this research, it is

59
recommended to make further study by respective urban development practitioner and
researchers.

5.3.2 Recommendations for Practice

In the history of urbanization the origin of planed town is organic natural environment.
This organic natural environment gradually grew and transformed to grid laid pattern
with houses placed side by side along straight streets, bold geometry and large public
areas and monumental architectural and landscape ensembles were designed and built.
Considering the history of urban planning growth which is from simple grid local pattern
to complex modern urban plan, this research found supportive findings to appreciate and
adopt local urban planning for small emerging towns. The findings clearly identified the
advantage of adopting local planning for small emerging urban centers from various
perspectives. In addition to the positive implication presented in the discussion and
interpretation part, the following issues are „attractive forces‟ to adopt local urban
planning for these urban centers.

5.3.2.1 Every Idea and Everybody’s View Counts

This is a simple fact although neglected by many persons. It is to recognize that different
individuals and groups have (according to their respective backgrounds) different
perceptions and thus assess situations differently, which then leads them to different
actions. Everyone‟s view is heavy with interpretation which implies that there are
multiple descriptions and interpretations of real world phenomena, events and actions. By
accepting this, it led to the understanding which is a necessary basis for all participatory
processes: everyone is different and can offer important contributions to a process, as
their views can complement those others, although they may look worthless or
provocative at first sight.

5.3.2.2 The Learning Attitude

Professional urban experts as well as any other stake holders involved in the local urban
planning adopt a learning attitude, through which they learnt from the local
community/groups they are working with, rather than a teaching or preaching attitude.
This “learning attitude” was enhanced by acknowledging community experiences in and
knowledge of their own context and living conditions, by considering them as experts in

60
dealing with their own situation and problems. Thus the role of a facilitator (Urban
Planner) was to enhance the involvement of all concerned persons or groups by
supporting planning processes (such as investigation, analysis and evaluation of
problems, constraints and opportunities, and taking informed and timely decisions).

5.3.2.3 Transparency
An atmosphere of mutual trust is the basis for compromise and constructive co-operation
and transparency by all stakeholders is a basic requirement. To realize transparency in
urban planning process among authorized body and the user (community), local planning
is the basis to participatory decision-making and built trust. Thus it would help to avoid
hidden agendas and suspicion amongst different parties and thus to prevent situations in
which all parties try to protect their own interests rather than finding the most suitable
compromise for community at large.

5.3.2.4 Flexibility
Being open to community‟s ideas and opinions is often the most difficult aspect of
participatory processes. Often, their views may be difficult to understand and
contradictory or incompatible with one‟s own ideas and beliefs. Accepting this reality
requires a high degree of flexibility, as well as courage to set aside for a moment one‟s
own perception and neutrally follow the process, being ready to rethink and re-plan at
any stage, if necessary.

5.3.2.5 Ownership of the Plan

Preparing urban plan for aforementioned urban centers based on local resources with real
participation of the direct users will ensure ownership of the process from inception to
implementation stage. The local community must therefore be effectively engaged and
involved in order that they can own both the process and the plan.

5.3.2.6 Decline in Land Use Conflicts

Conflict resolution is a major achievement in local urban planning with real participation
of the community. The integration of community with professional urban expertise
constant consultation reduces tensions through consensus building.

61
5.3.2.7 Empowerment to Local Community
Local planning in small emerging towns expected to ensure community empowerment in
plan preparation is usually achieved through ownership and the ability to make decisions
guided by their own aspirations and vision. This also enables them to have control on the
planning and resource allocation processes.

5.3.2.8 Resource Mobilization

Adoption of local urban planning provides avenues upon which resources from local
community such as local knowledge, local material and cheap labor which can be
channeled for plan preparation. The situation has great value in efficient use of local
resources and integration of local knowledge, experience and skills with modern
knowledge.

5.3.2.9 Protection of the Commons

Local plan preparation with involvement of local community and mobilizing their
resources in the process enables them to understand their rights and obligations, which
include safeguarding of the commons belonging to or affecting the whole community.
 To achieve these advantages, adopting local urban planning by the community
members with technical support and consultation of urban planners without
introduction of technologies entitled Towards Absorption of ‘On-site Sketch Plan
„should be sole urban planning type until the small emerging towns transform to
capable urban centers in skilled man power, technology, physical infrastructure and
attitude change on community. The sketch plan prepared collectively with community
members and urban planner should be organized and sketched on A0 size hard paper
in a way readable and understandable for laypersons. The final sketch plan should be
approved by Woreda Urban Development and Housing Office and Zone Urban
Development and Housing Sector to acquire legal backing.
 After the maturation period (ten years plan duration) these sketch plans should be
surveyed and planned in digital method introducing technological instruments and
planning application soft-wares to manage and control the complexity of urban
growth. Urban growth trend and proposed sketch planning process shown graphically
below.

62
 The proposed planning type should be incorporated as one of binding urban planning
type in urban laws in the region and should be expanded to the country with
additional supportive studies by law and policy makers.

63
Figure 6: Proposed Urban Planning Progress for Small Emerging Urban Centers

Source: Compiled by the Researcher (2016)

64
Figure 7: Proposed “On-Site Sketch Planning” Process on Site for Small Emerging
Urban centers

Source: Sketched and Compiled by the Researcher (2016)

65
Figure 8: Proposed “On-Site Sketch Planning” Process on Site for Small Emerging
Urban centers

Source: Sketched and Compiled by the Researcher (2016)

66
Figure 9: Proposed “On Site Sketch Planning” Process on Site for Small Emerging
Urban centers (Block formation on site)

Source: Sketched by the Researcher (2016)

67
 Map 2: Proposed On-Site Sketch Land Use Plan Model (Final)

Source: Sketched by the researcher (2016)

68
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APPENDIXES
Appendix 1: Budget Breakdown
No Description Unit Quantity Unit cost Total cost Remark Financial
Birr Cent Birr Cent Source
1 Typing and printing of pages 419 0.75 314 0.25 ECSU
questionnaires for
interview and check list
2 Typing and printing of pages 50 3 00 150 00 ECSU
draft research
3 Typing and printing of Pages 180 3 00 540 00 ECSU
final research
4 Double trip from AA- Trip 2 340 00 1360 00 ECSU
Hawasa-Tarcha
5 Transport cost to each Trip 10 100 00 1000 00 ECSU
municipalities
6 Note book Pieces 6 15 00 90 00 ECSU
7 Telephone cost Number 10 50 00 500 00 Researcher
8 Pen Packet 1 180 0 180 00 ECSU
9 Pencil Packet 1 90 00 90 00 ECSU
10 Wage for participants Day 10 500 00 5000 00 5 partici Researcher
in data collection -pants
for 10
days
11 Camera rent for Photo Day 5 200 00 1000 00 ECSU
and video
12 Accommodation cost Day 25 202 00 5050 00 Researcher
13 Contingency cost 10% 1527 0.425 Researcher
14 Total 16801 0.675

Appendix 2: Data collection timetable

N Tasks Time of activities (month) Remark

71
o

August
/2016l

/2016/

/2016/

/2016/

/2017/

/2017/
January
July

February
October
September

November

December
/2016/
/2016/
1 Distributing coordination letter for
respective stake-holder and receiving
confirmation letter

2 Research town reconnaissance and

preliminary discussion with local
area administrators and elites

3 Searching for sponsorship

4 Data collection via interview and

Focus group discussion to analyze
and answer research questions.

5 Data collection via questionnaire

6 Organizing data collected by interview,

questionnaire, focus group
discussion and observation

7 Analyzing the data collected by

the methods mentioned

8 Submitting first research draft

9 Gap filling and refining as

per comment

1 Submitting final research and

Defense
0

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Appendix 3: Questionnaire for the community representatives (Block leaders)
This questionnaire is prepared to collect data related to urban plan in small emerging towns in
Dawuro Zone Urban Centers to carry out educational research for the fulfillment of the
Requirements for the Award of a Master‟s Degree of Science in Urban Planning and
Development in ECSU. Hence you are kindly requested to give relevant information for the
success of the research ticking in the box and filling in space provided. Thank you for your
genuine response in advance.
1. Town __________________Sex ______ Age______
2. Educational level? Primary Secondary school Tertiary Diploma
Degree Above degree
3. Occupation? Governmental Private business NGO Farmer
Student None
4. Have you ever participated in any kind of measurement based work? Yes No
5. If “yes” what type of work? _____________________________________________________
____________________________________________________________________________
6. Do you know how local plan could be prepared? Yes No
7. If you know, what parameters are used? ___________________________________________
8. Does your town has a plan? Yes No
9. If it has, have you benefited because of it has plan? Yes No
10. If you have any benefit, what type of benefit? Social Economical
Cultural Knowledge transformation
11. Do you remember how your town plan was prepared? Yes No
12. Who was prepared your town plan? I know I didn‟t know
13. Do you know the instruments they had used? I know I didn‟t know
14. Did the community members participated in plan preparation process? Yes No
15. If “yes” what was the hierarchy of the community participation? Information level
Consultation level Decision making level
16. Whatever the participation level is; what was the contribution of the community
members in the plan preparation process?________________________________________
17. Was the participation level adequate? Yes No
18. If the community members did not participated in any level of planning process, how do they

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 know information about their town plan?
Via public media before approval During implementation of the plan
Via public media after approval No information even during plan implementation
19. What do you feel concerning your town plan preparation and implementation?
Satisfied Dissatisfied
20. Do you care for your town plan from abuse? Yes No
21. How do you evaluate your town plan applicability? Applicable Difficult to apply
22. If you evaluate that your town plan is difficult to apply, what do you think the reason?
Lack of acceptance by the community Unsuitability of the plan to the town
Lack of awareness Un-affordability
23. If your reason is un-affordability issue, what are the expected causes?
Skilled man power Financial aspect Lack of logistics
24. What type of plan do you prefer for your town? Plan prepared by SNNPR professional
Plans prepared by Zonal level professionals Plan prepared by the community (you)
25. If you have a chance to prepare urban plan for your town what knowledge and skill do you
have? ____________________________________________________________________
26. What material resources do you have also? _______________________________________
27. Did you observed any kind of dispute which has direct or indirect relation with
the town plan? Yes No
28. If your response is “yes”, what are the causes?_____________________________________
______________________________________________________________________________
39. If dispute happens, who resolves the case? The community itself Zonal Professionals
Regional level professional Official measures taken
30. Responsiveness by respective organ when claim for dispute?
Satisfactory Not satisfactory
31. Accessibility of the town to physical infrastructures?
Accessible Moderately accessible Poorly accessible

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Appendix 4: Interview questions
Interview questions for the Municipality/ Woreda/ Zonal/ Regional Urban development Sector
professionals and officials
1. What are the main challenges and success when preparing urban plan for small urban
centers? ___________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
2. What is the level of applicability (achievement of the objectives) of urban plan prepared for
these urban centers? __________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
3. What are the main difference among sketch plan, basic plan, structure plan and strategic plan
concerning legal ground, coverage, detail, time frame, professionals, instrument and
technology used? ____________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
_____________________________________________________________________
4. Do you extensively exploit local community knowledge and resource when plan preparation
process? If “yes” which knowledge and what type of resources? _______________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
5. How do you evaluate the contribution of local community in plan preparation process?
____________________________________________________________________________
_____________________________________________________________________

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6. What do you observe the feeling of the community toward planning to their town?
______________________________________________________________________________
______________________________________________________________________________
7. How do you evaluate the feasibility of Sketch/ Basic Plan for small emerging towns?
______________________________________________________________________________
7.1 If feasible, concerning what? ________________________________________________
_____________________________________________________________________________
7.2 If not feasible, how? ________________________________________________________
_____________________________________________________________________________
8. If these plans are not feasible, what type of plan do you suggest for this level of urban centers?
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________

9. How do you evaluate the benefit of existing planning types for small emerging towns
concerning dispute resolution, social integration and knowledge transformation?
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
10. How do you examine the legally binding effect of these plans up on the community? ______
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
11. How do you evaluate the consistency of Ethiopian urban policy, strategy and urban laws
for small emerging towns? _____________________________________________________
__________________________________________________________________________
___________________________________________________________________________

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Appendix 5: Discussion questions for Focus Group Discussion.
1. What are the major challenges to implement the plan?
o From the plan side
o From the implementer side
o From the user side
2. What are the perceptions of the community on sense of belongingness, responsibility, trust
up on the plan and those who prepare and approve?
3. How much the communities engage themselves when plan preparation and cooperate with
professionals?
4. How do you examine the advancement of technologies and sophisticated analysis tools of
urban planning and the capability of small emerging towns?
5. What is the necessity of topographic surveying and base map preparation for plan
preparation of small emerging town at this level?
6. Is it possible to prepare local plan mobilizing the community with the integration of urban
planner in mere technical support without the introduction of technology?
7. Suppose the plan is prepared by the method mentioned in number six, what would be?
The applicability
Sense of belongingness and responsibility
Social and cultural integration
Economic feasibility and political stability
Environmental soundness and sustainability
Adoption of new approach and knowledge and skill transformation?
8. How do you evaluate the urban policy, strategy and laws that treat towns at different
levels with different technological advancement, financial capacity, skilled man power and
facilities (like access to transport, communication and electric energy) with the same
command such as use of GIS, CAD, GPS, Total station and pre-determined planning
crew?
9. What do you recommend/suggest/ type of plan that can be prepared by the community
with technical support of planners that can best fit their town?

77