INSTITUTE OF LAND ADMINISTRATION

BAHIR DAR UNIVERSITY

CAUSE AND IMPACT OF INFORMAL SETTLEMENT IN URBAN AND

SUBURB AREAS OF ETHIOPIA: THE CASE OF WOLDIA TOWN.

By

Addisu Molla

A thesis Submitted in Partial Fulfillment of the Requirements for the

Master of Science Degree in Land Administration and Management

Advisors:

1. Daniel W.Gebriel / Ph.D. /

2. Achamyeleh Gashu / M.sc. /

June, 2014

Bahir Dar
 CAUSE AND IMPACT OF INFORMAL SETTLEMENT IN URBAN AND
SUBURB AREAS OF ETHIOPIA: THE CASE OF WOLDIA TOWN.

By

Addisu Molla

A thesis Submitted to the Department of Land Administration and

Management of Bahir Dar University

In Partial Fulfillment of the Requirements for the Master of Science Degree

In Land Administration and Management

Advisors:

1. Daniel W.Gebriel / Ph.D. /

2. Achamyeleh Gashu / M.sc. /

June, 2014

Bahir Dar

Declaration
I, the under signed researcher declare that this thesis is my original work and has not been
presented for a partial fulfillment of degree in any university; and all sources of materials used
for the thesis have been acknowledged properly.

Name Addisu Molla

Signature _____________

Place Bahir Dar University, Ethiopia

Date June, 2014

This thesis has been submitted for examination with my approval as a university advisor.

1. Dr. Daniel W. Gebriel ________ _____________

Advisor Signature Date
2. Ato Achamyeleh Gashu _________ _____________
Advisor Signature Date

Approved by:
Board of Examiners

Advisors Signature Date

1. Dr. Daniel W/ Gebriel ________ _________

2. Ato Achamyeleh Gashu ________ ___________

External Examiner

1. ________________________ __________ __________

Internal Examiner

1. ______________________ __________ ___________

 Acknowledgment

I would like to express my deepest gratitude for my advisors Dr. Daniel W / Gebraiel and Ato
Achamyeleh Gashu. Both of them have contributed highly for the successful accomplishment of
my academic achievement by providing invaluable technical support and necessary research
materials.

W/ro Bizunesh Andargachew (my wife), your contribution for the attainment of my academic
work is incalculable. So I like to express my feeling at least by these limited words for your role.

Of course it may take much space on the paper to list the whole contributors of my research
work. How ever since I am indebted of their honest and heartily support, the contribution of
Shiferaw Mohamed to assist me by devoting his time in data entering to computer and the
application of SPSS soft ware for data analysis is unforgettable. Again Dargew Belete, you have
also a lion share for my academic attainment by providing Lap Top Computer and encouraging
me by your progressive ideas. Sara Eshetu and Genet both of you have also high contribution for
the accomplishment of this paper.

Thanks a lot to Industry Development and Service Office of the town and Zonal Industry and
Urban Development Office workers for their contribution by providing necessary documents and
information when I faced hardship during the time of data collection.

Finally thanks a lot for those individuals who supported me directly or indirectly.

Addisu Molla

i
 Abstract

Since informal settlement is one of the crucial issues and current discussion agenda at
international and national levels, this research was carried out in North Wollo Zone, Woldia
town administration. Even though informal settlement is a global problem, its severity is very
great in developing countries. That is why it is included as one of the eights UN Millennium
Development Goals that will have to be achieved for the coming years by developing nations
including Ethiopia. Since Ethiopia is one of the developing countries, its overall development in
general and its urban development in particular have been seriously affected by this problem. So
informal settlement is one the challenges of developmental issues of Ethiopia in general and the
study area in particular. Therefore, this research had identified the cause and multi dimensional
impact of informal settlements in the study area and has suggested possible measures to
minimize and avoid the direct adverse and related impacts off informal settlement based on the
general objective of the research. As it is surveyed by this research, the major causes of informal
settlement like failure of governance and legal inefficiency, lack of land and / or house access to
the poor and middle income people, lack of institutional integration, poverty and population
growth are the major ones. The abuse of Human Rights and property right in general and tenure
insecurity, environmental pollution, encroachment of agricultural land, related economic and
social costs in particular are found out as the major impacts of informal settlement in the study
area. The study has suggested that the government and other concerned organs have to respect
Human Rights and property rights in the study area in general and the rights of informal settlers
in particular by establishing proper land management system and respecting international
human right norms. Since the researcher had followed quantitative and qualitative research
approaches, the necessary data had been gathered from sample informal settlers, experts, key
informants and FGD participants selected informal settlers by appropriate data gathering
techniques such as questionnaire, focus group discussion, interview and field observation and
analyzed quantitatively and qualitatively by simple statistical techniques and analytical way
respectively.

Key words: Informal settlement, Human Right, Property, Land Administration, Urban and
Suburb.

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Acronyms

ADLI Agricultural Development-Led Industrialization

AEUP All Ethiopian Unity Party
Art Article
CSA Central Statistics Authority
ECE Economic Commission for Europe
EPLAU Environmental Protection, Land Administration and Use
EPRDF Ethiopian People Revolutionary Democratic Front
FIG International Federation of Surveyors
FGD Focus Group Discussion
GDP Gross Domestic Product
ICESCR International Covenant on Economic, Social and Cultural Rights
MUDC Ministry of Urban Development and Construction
PASDEP Plan for Accelerated and Sustained Development to End Poverty
Proc Proclamation
UDHR Universal Declaration of Human Rights
UN United Nations
UN-Habitat United Nations Human Settlement Program

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 Table of Contents
Acknowledgment......................................................................................................................................i
Abstract...................................................................................................................................................ii
Acronyms...............................................................................................................................................iii
List of tables..........................................................................................................................................vii
List of Figures.......................................................................................................................................viii
CHAPTER ONE..........................................................................................................................................1
1. INTRODUCTION...................................................................................................................................1
1.1 Background.......................................................................................................................................1
1.2. Statement of the Problems................................................................................................................3
1.3. Objective of the study.......................................................................................................................6
1.3.1 General Objective:......................................................................................................................6
1.3.2 Specific Objectives:....................................................................................................................6
1.4 Research Questions............................................................................................................................6
1.5. Significance of the Study..................................................................................................................7
1.6. Scope of the Study............................................................................................................................8
CHAPTER TWO.........................................................................................................................................9
2. REVIEW OF RELATED LITERATURE...............................................................................................9
2.1. Characteristics of Informal Settlement..............................................................................................9
2.1.1. Basic Concepts and Definitions of Informal Settlement............................................................9
2.1.2 Nature of Informal Settlement..................................................................................................11
2.2. Informal Settlement in Developing Countries.................................................................................13
2.3. Informal Settlement in Ethiopia....................................................................................................15
2.3.1 Historical Back Ground and Contextual Definition...............................................................15
2.3.2 General Economic and Urban Situations in Ethiopia..............................................................17
2.3.3 Land Policy and the Practice of Land Delivery System in Ethiopia..........................................18
2.3.4. Urban Land and Housing Policies and Programs in Different.................................................22
Regimes of Ethiopia..........................................................................................................................22
2.4. Urbanization in Ethiopia............................................................................................................27

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 2.4.1. The Previous and Current Situations......................................................................................27
2.4.2. Urban Governance and Informal Settlement in Ethiopia..........................................................29
2.4.3. Urban Housing Situation in Ethiopia.......................................................................................31
2.5. The Major Causes and Consequences of Informal Settlements......................................................31
2.5.1 Causes of Informal Settlements..............................................................................................31
2.5.2. Consequences / Burdens / of Informal settlements..................................................................34
2.6. Principal Interventions on Informal Settlement..............................................................................37
CHAPTER THREE...................................................................................................................................40
3. MATERIALS AND RESEARCH METHODS....................................................................................40
3.1. Description of the Study Area.........................................................................................................40
3.1.1 Location....................................................................................................................................40
3.1.2. Population................................................................................................................................41
3.1.3. Economic Activity...................................................................................................................42
3.2. Research Design.............................................................................................................................43
3.3. Research Method............................................................................................................................43
3.3.1. Sampling techniques................................................................................................................43
3.3.2. Sampling Procedure and Sample Size Determination..............................................................44
3. 4. Data Collection and Analysis.........................................................................................................46
3.4.1. Data Collection Techniques.....................................................................................................46
3.4.2. Data Analysis Techniques........................................................................................................48
CHAPTER FOUR.....................................................................................................................................49
4. FINDING AND DISCUSSION............................................................................................................49
4.1 Socio-economic Status of Informal Settlers.....................................................................................49
4.1.1. Economic Situations..............................................................................................................49
4.1.2. Social Characteristics...............................................................................................................50
4.1.3. Demographic Characteristics...................................................................................................52
4.1.4. Availability of Basic Social Services.......................................................................................53
4.1.5. House Structure ....................................................................................................................55
4.2. Methods of Land Acquisition.........................................................................................................57
4.3. Actors of Informal Settlement........................................................................................................58

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 4.4. Cause and Impact of Informal Settlement.......................................................................................59
4.4.1 Cause of Informal Settlement...............................................................................................60
4.4.2. Impact of Informal Settlement.................................................................................................68
4.5. Stake Holders on Land Administration and their Point of view about Informal Settlement............72
4.6. Measures Taken by Local Government........................................................................................73
CHAPTER FIVE.......................................................................................................................................80
5. CONCLUSION AND RECOMMENDATION.....................................................................................80
5.1. Conclusion......................................................................................................................................80
5.2 Recommendation.............................................................................................................................83
REFERENCES..........................................................................................................................................86
ANNEX.....................................................................................................................................................91

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List of tables
Table 3.1 Number and category of Rural and Urban kebeles of Woldia Town….. 45

Table 4.1 Monthly income category of sample informal settlers………………… 50

Table 4.2 Academic Status of sample Informal Settlers………………………… 51

Table 4.3 The response of Informal Settlers and Land Administration Experts

about the provision of infrastructure and basic social services…….. 54

Table 4.4 Land acquisition mechanisms of sample informal settlers…………… 58

Table 4.5 Causes of Informal Settlement………………………………………. 62

Table 4.6 Total Population of Woldia Town from 2011-2012…………………. 68

Table 4.7 The consequences of informal settlement on the local community… 69

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List of Figures

Figure 2.1 Photo showing the structure or nature of informal house in the
inner town of the Study area…………………………………. 13
Figure 3.1 Map showing location of Woldia Town……………………….. 41
Figure 4.1 understanding of Informal settlers about the meaning of informal
settlement……………………………………………………… 52
Figure 4.2 Photo showing demolished fence and marked house to be
demolished in Mehal Mechare Kebele………………………… 56
Figure 4.3 Photo showing house structure located in the inner town………. 57
Figure 4.4 Occupation of sample Informal settlers…………………………. 59
Figure 4.5 Photo showing FGD participants of informal settlers……………. 67
Figure 4.6 Photo showing encroachment of agricultural land……………… 72
Figure 4.7 Experts response on measures that have been taken on informal
Settlement…………………………………………………. 73
Figure 4.8 A Photo showing demolished house on April 15 / 2014 in Mehal
Mechare Kebele…………………………………………….. 78
Figure4.8 B Photo showing demolished house on April 15, 2014……………. 79

viii
CHAPTER ONE

1. INTRODUCTION

1.1 Background

Currently, informal settlements are crucial global problems. However due to lack of appropriate
system that enables all urban residents to have a legal access to land for shelter, informalities
are prominent features of the cities of many developing nations; especially, starting from 1950s
and 1960s, informal settlements grew rapidly in many cities of developing countries and became
the core of urban management challenges (Ferguson, 1996:172). Similarly the problem of
informal settlement had been started in Ethiopia with urbanization history of the country
particularly when the country was invaded by Fascist Italy from the years 1936-1941(UN-
Habitat, 2007: 3 & 7). So the intensification of informal settlement in Ethiopia, its impacts and
measures of concerned organs need great attention and proper solutions; especially from the
perspective of human rights and property right.

There is no uniform and clear definition for informal settlement. The meaning and definition
varies from one country to the other depending on their political and socio-economic ideology.
Because of this fact its definition is also differ from one scholar to the other. Some organs use
the terms informal settlements and slums interchangeably but others consider as different terms
conceptually. So among the different meanings of informal settlements, two of them are the
following.
Areas with informal settlements on public or private land, illegal commercial suburban land
subdivisions on private or customary land and occupation of overcrowded buildings in city
centers or densely urbanized areas are considered as ‘informal’ (Durand-Lasserve, 2006:2). Even
if there is no clear definition of the term in Ethiopian law, based on Art. 24 & 25 of Urban
planning Proclamation of 2008 ( proc. No. 574 / 2008 ), informal settlement can be defined

1
contextually as buildings which are constructed on communal, government, or privately held
land against the will of the owner or holder without having a development authorization of
responsible organ. So, since the situation of informal housing is much complex, to understand
their true nature of development, identify the way in which they are created and how they
develop and consolidate over time, it is necessary to examine several characteristics of these
informal areas (Ferguson, 1996:172).

Even though the expansion of informal urban settlement is highly connected to rural and urban
poverty, and to global Urbanization trends, possibly the major causal factor has been a failure of
national and local governance. Furthermore, due to an exclusionary pattern of urban
development, in which land markets, political and legal systems fail to offer suitable and
affordable land and housing for the urban poor, informal settlements and the absence of security
of tenure are increased from time to time ( Durand-Lasserve, et al, 2002:2).

Now a days, although most governments and municipalities around the world in general and
Ethiopia in particular consider informal settlements as ruined or destroyed places and tried to
remove them through forced relocation of housing or bulldozing, now days this measure has
been abandoned in many countries. Because starting from the mid-1960s, scholars and
practitioners began to recognize the importance of informal settlement in solving urban poor’s
housing problems and mobilizing resources to invest in urban development. Moreover even if
many governments have shown more reluctance to support upgrading programs, in the 1970s
World Bank and few other large international agencies followed suit informal dwelling
upgrading projects and the projects became one of their main urban policy responses (Ferguson,
1996:172).

Since Ethiopia is one of the developing countries in the world, informal settlement is the
country’s crucial and challenging issue in the overall national development in general and urban
development program in particular including the study area. However, it has been difficult to
differentiate quantitatively the magnitude of informality in Ethiopia due to the country’s urban

2
land policy though a more qualitative approach based cities or towns officials’ point of views
make known that the most affected land use has been residential, followed by commercial,
industrial and recreation respectively (Gondo, n.d:5). Furthermore among other factors which are
related to historical land tenure systems and urbanization, the major cause of such informality
has been associated with the land administration process such as regulating the development and
use of the land, gathering revenue from the land and resolving conflicts concerning the
ownership and use of the land (Ibid, n.d:5).

Generally, the origin and intensification of informal settlement in Ethiopia has a great correlation
with the country’s past and present socio-economic, political and environmental situations.
However the denseness or level of informal settlements varies from place to place even in a
particular city in Ethiopia (UN-Habitat, 2007:79). Therefore to investigate the magnitude of
informal settlement in Ethiopia and providing solutions for the problems at macro and/ or local
level, performing research work is very important. That is why this study mainly focuses on the
causes and consequences of informal settlement and principal intervention on informality and
possible recommendations for the major problems which had been found out by the proposed
research topic in Ethiopia particularly in the study area.

1.2. Statement of the Problems

Since the emergence of early informal settlements and the unprecedented rise of urban poverty
had been seen during the feudal era of land tenure system, informal settlement had increased
from the time when Addis Ababa was established in 1886. Due to this reason, recently, informal
settlement is one of the major complicated problems in Ethiopia which highly challenges the
national development processes especially urban development programs (UN-Habitat, 2007:1).

Based on urbanization history of Ethiopia, the great majority of the country’s towns came into
existence after the mid-1940s. Most of those urban centers were small roadside towns with weak
economies which in turn provided poorly developed and largely stagnant municipal tax bases. So
that situation had negative effect on municipal authorities; which were mainly incapable of

3
effective provision of even the most basic services. Those towns had suffered from high rates of
unemployment, poverty and majority of their economically active labor force was dependent on
different types of informal activities for their livelihood which pushed them to informal
settlement. As the result of this, the overall morphological structure of those towns principally
with regard to lay-out, roads and buildings that has been seen today is a true reflection of the
direct economic realities of the time (UN-Habitat, 2007:21).

Even though indicators vary across regions and between cities or towns, the majority of housing
conditions in urban Ethiopia, mainly the residential units are poorly constructed and very much
lacking quality and quantity. The root cause of this problem includes not only the extremely low
mean monthly income of the majority of the urban dwellers; but also the housing policies which
have been designed by Derge and EPRDF (UN-Habitat, 2007:21).

In general, starting from the Italian occupation of Ethiopia, in 1930s, even if the colonial master
plan was prepared for Addis Ababa, due to lack of labor and population strategy to regulate
urban development issues, the number of urban population had increased because of natural
increase and rural-urban migration. Consequently, housing shortage was created in the city of
Addis Ababa that led to the mushrooming of informal settlements around the city. In addition to
this when the Derge came to power, all rural land in rural areas and rental dwellings and extra
houses in urban areas were nationalized by the two land laws, i.e. the rural land proclamation
( proc. No.31 /1975) and urban land proclamation ( proc. no. 47 /1975 ). The clear outcome of
the junta’s housing policy was almost complete disruption of the urban housing market which
resulted in acute housing shortages and ever-deteriorating housing conditions in all cities and
towns of Ethiopia including the study area. However the current shortage of urban house is not
resulted only from the weak policies of the Imperial and the Derge regimes but also the actual
inefficient urban development and management policies and strategies of EPDRF lead
government that had been practiced non integrated urban and rural development (Daniel, 2011:5;
UN-Habitat, 2007:3-7).

4
In addition to other related historical factors, the cumulative effects of unwise policies of the past
and the present governments of the country resulted in the very high shortage of house across the
cities and towns of Ethiopia including the study area. This high shortage of house had forced the
low income citizens to resort to informal settlement. Therefore, as it is surveyed during the fifth
Ethiopian cities week which is celebrated in 2013, due to inefficient land administration system
and the complex nature of these informal dwellings, very serious problems like tenure insecurity,
abuse of property right, environmental degradation/ deforestation, pollution etc /, encroachment
of agricultural land , various health problems and generally the abuse of human rights are
happened in the country .
So, since the study area is part of Ethiopia and this concrete reality, the expansion of informal
settlement is increasing from time to time. Due to this fact the above socio-economic, legal and
other related problems have been occurred like the other cities /towns of the country. The other
adverse outcome of this informality in the study area is high wastage of money, time and labor
on both sides / local authority and an informal settlers / for construction of shelter by un
authorized dwellers and demolition cost by local authorities.

Surprisingly, the assigned guards or “Denb askebari” of kebles including the kebele
administration and woreda security organs are very busy to prevent before construction has taken
place and demolish the overnight constructed “moon light” houses after construction.
Furthermore, at this time, the quality and quantity of infrastructure and basic services in most
informal residential neighborhoods in the country including the study area is far below
acceptable standards. In general, either during the rainy seasons or throughout the whole year
substantial percentages of the existing urban housing stock are not accessible by motor cars (UN-
Habitat, 2007:22).

Based on factors such as deficiencies in the structural quality and durability of dwellings, living
space, tenure security and access to improved water, sanitation and other critical amenities, the
country’s recent MDG needs assessment study shows, the share of the urban population living in
informal houses is as high as 80 percent. This figure indicates the severity of housing conditions

5
in Ethiopian cities and towns when compared to the average 72 percent UN-Habitat estimate for
the whole of urban Africa (UN-Habitat, 2007:22).

Even though certain researches have been carried out for example by Daniel (2011), Gondo (n.d)
and UN-Habitat (2007), they are not sufficient to address the informal settlements problems in
Ethiopia; particularly, as I have searched, in the specific study area formal research on
informality is not performed though informal settlement is one of the major problem of the study
area like any cities and towns of Ethiopia, and hence this warrants for further study of scientific
nature. Because the research gap that did not get focus by the former researchers like assessing
the efficiency of particular laws which govern urban and suburb lands is evaluated from the
perspective of informal settlers fundamental rights.

1.3. Objective of the study

1.3.1 General Objective:

The general objective of this study is to investigate the causes and multi dimensional impacts of
informal settlements in Woldia town administration and to suggest improvement measures for
the identified problems.

1.3.2 Specific Objectives:

The specific objectives of the study are:

 To identify the major causes of informal settlement in the study area.

 To assess the perception of the municipal officials and workers towards informal
settlements from the perspective of current global point of view.

 To evaluate the various consequences of informal settlements in the study area.

 To examine measures /interventions / which are taken by executive organs and

municipality of the town administration on informalities in the specific locality.

6
  To examine cooperation among different stake holders and policies, laws & regulations
concerned with urban and suburban land development.

1.4 Research Questions

 What are the major causes of informal settlement in the study area?

 What is the perception of the municipal officials and workers towards informal
settlements from the perspective of current global point of view?

 What are the various consequences of informal settlements in the study area?

 What kind of measures or interventions were taken place on informal settlements by

executive organs and municipality of the town in the study area?

 Is there any integration among different stake holders on one side and policies, laws &
regulations concerned with urban and suburban land development on the other side?

1.5. Significance of the Study.

From the very beginning scientific study especially on researchable topic like informal
settlement is so much significant for urban development. Therefore this research will have
importance for local decision makers to take action, evaluate, and formulate policy about
informality. The study also contributes for researchers to carry out further studies. Moreover it
will have importance for practitioners, professionals for academic purposes and for anybody who
is interested to have exposure about informality.

In general, since informal settlement is one of the major problems of Ethiopia at the national or
local level, this research found out the major causes, consequences of the problem and suggested
possible solutions over the issue.

The two former studies which are taken by UN-Habitat (2007) and Gondo (n.d) performed
more of based on written documents and interview with different respondents at organization
level in Addis Ababa and other big towns. However this study had been carried out based on
focus group discussion, questionnaire, field observation, written materials and deep key

7
informant interview. So this study is different in terms of data gathering methods, research topic,
lay out of the research, focus areas / i.e. it focuses on other informalities in addition to slum
settlements and specific location in which the research had been taken place. This research is
also different from the study that was conducted by Daniel (2011) in terms of scope, layout of
the research, research method and some issues which had been included in the study. More over
since there had not been taken any formal research in the specific study area before this study
over the issue until now (as I have searched), the research may have high significance for stake
holders and other concerned organs.

1.6. Scope of the Study

The spatial scope of this study was delimited to ANRS North Wollo Zone, Woldia Town
Administration. To answer the above stated research questions, the researcher gathered the
necessary data by quantitative and qualitative data collecting tools from selected organizations at
Zonal and Woreda level and from the community at kebele level. Because doing the study at
zone, woreda and kebele levels including the community have high significance for the
reliability and validity of the research. Moreover the conceptual scope of the research was
restricted to evaluate and asses the present cause and impact of informal settlement ( especially
squatting, illegal subdivision and development ), the intervention of executive organs over
informality, awareness of municipality and other institutions’ land administration experts about
informality from the current global point of view, the integration of stake holders on the
management of urban and sub urban lands on the study areas, the integration of laws and
regulations which govern urban and rural lands from the perspectives of fundamental human
rights and property right and also to recommend possible solutions for the problems which had
been found out by the research.

8
CHAPTER TWO

2. REVIEW OF RELATED LITERATURE

2.1. Characteristics of Informal Settlement

[

2.1.1. Basic Concepts and Definitions of Informal Settlement

Informal settlement has no uniform and/or clear definition. So it has been defined in different
ways depending on the planning and legal structure of a given country where it exists. The
definition of informal settlement is not only varies from country to country but also defined in
various ways by scholars and organizations.

Conceptually, due to lack of uniform meaning, different organs use the meaning of informal
settlements and slums as an identical or interchangeable terms whereas others treat the two terms
as different concepts. Therefore, for the sake of this paper, the researcher use the term informal
settlement as abroad issue than slums or based on the belief that though the two terms share
some common characters, they have also differences in some other features.

Informal settlements are found throughout the world; mainly in urban areas of developing
countries. Moreover these settlements become grow and it is estimated as one billion peoples of
the world’s urban population live in informal houses; majority of them are in third world
countries and if serious action will not be taken, it is predicted as this figure will be projected to
double to two billion over the next 30 years ( UN-Habitat, 2003:v ).

9
Though the expansion of informal urban settlements is highly related to rural and urban poverty,
and to global urbanization trends; probably the basic causal factor has been a failure of national
and local governance. Furthermore, informal settlements and the absence of security of tenure
are the results of an exclusionary pattern of urban development in which land markets, political
and legal systems fail to provide favorable and affordable land and housing for the urban poor
(Durand-Lasserve, et.al, 2002:2). Similarly, the magnitude of informality in Ethiopia is
connected with the country’s urban land policy. Moreover, among other factors which are related
to historical land tenure systems and urbanization, the major cause of such informality has been
associated with the land administration process(Gondo, n.d:5).

Some of the definitions or descriptions of informal settlements are as follows.

Informal settlements are dwellings built up without an authorized permission of the owner of the
land, mostly without formal design and conformity to any standard which is laid down as rules
and regulations, planning standards; generally without accepted methods of construction
( Nabutola, 2004:2 ). Informal settlement also referred to spontaneous, irregular, unplanned,
marginal, and squatter settlements (Lamba ,2005: 2). In contrast, even if some other literatures
have also used the term slums and informal settlements as interchangeable words, UN- Habitat
(2003:82- 83 & 196) classifies informal settlements in to Squatter settlements (settlements where
land and/or building have been occupied without the consent of the owner) and Illegal land
development (settlements with initial legal occupation but through time without an authorized
land developments such as Change of land use that contravene zoning plans, building extensions
without building permit, subdivisions without considering services and infrastructure, or with
low standard of services or infrastructure etc.).
Furthermore, areas commonly designated as “informal” in the literature refer to three main types
of settlements such as:

 Squatter settlements on public or private land.

 Illegal commercial suburban land subdivisions on private or customary land.
 Occupation of overcrowded, dilapidated buildings in city centers or densely urbanized
areas (Durand-Lasserve 2006:2).

10
 Similarly, informal settlement is defined as land, infrastructure and shelter development and
land invasions that occur outside the land use planning process and other government rules
(Ferguson, 1996:172). In addition to the above definitions of informal settlements, still some
organs like Ministry of Environment and UN-habitat Kosovo Municipal Spatial Planning
Support Program (2007:2) expressed that informal Settlements are human settlements which do
not give their inhabitants the chance for enjoying their rights to satisfactory standard of living.

Based on Art.2(2) of ANRS urban land lease regulation no. 103/ 2012 and other definitions
which are given by different organs, since the level of informality varies from partially informal
up to totally informal, the whole forms of informal settlements can be classified in to two major
categories. These are:

The first category comprises of those informal settlements which have been occupied and built
without legal foundation or evidence like title deed/ book and building permit are commonly
known as “squatter settlements” and mostly located at the expansion areas of a city. Whereas the
second category comprises of partially illegal/ informal settlements due to several reasons such
as they may have legal right (title deed/ book) but not building permit or having both the title
deed/book and building permit but built, expand, upgrade, change the shape and size etc without
the proper legal procedures/permit. Such settlements are mostly located in the inner part of a
city. In contrast El-Batran and Arandel (1998:222) classified informal settlement in to squatter
settlements /settlements on public land/ and informal settlement / settlement on private legally
owned land usually agricultural land /.

In general it is true to conclude that Informal Settlement has no clear or uniform definition.

2.1.2 Nature and Situations of Informal Settlement

Informal Settlements are common features of developing countries and are basically the result of
a critical need for shelter by the urban poor. Therefore, although informal settlements exert
very great public cost and urban management challenge, Shantytowns and other types of
informal settlements which are created outside the planning process help individual households
to solve their shelter problem (Ferguson, 1996:172).

11
Since informal settlements are established mainly by illegal developers or new residents who
occupy public, communal, or private land, in most cases the developers or residents demarcate
piece of land and start to construct rudimentary dwellings without public services such as
pavement, street lighting, water, and sanitation (Fernandes, 2011:4 ). Similarly, in terms of
structure, informal settlements (also called shanty town, squatter, illegal, slums, and un
authorized settlements ) are dense (leave no or little room for roads and public facilities),low
quality, makeshift and poorly constructed (made from scrap materials like plywood, corrugated
metal and sheets of plastic etc.) and un planned dwellings (Ferguson, 1996:180). Due to this fact
informal dwellings lack infrastructure facilities, free air and light, sewer sanitation and are
environmentally hazardous. Therefore in terms of health, security, safety and ecological
situations these areas are risky or dangerous for human beings.

Another feature or major characteristic of all Informal Settlements is also discontinuity or social,
as well as physical and spatial isolation that exists between the settlement and the surrounding
areas (Abbott, 2002:585). Furthermore, an informal household characterized as one which lacks any
one of the following elements:
• A right to use/ access to/ improved water (without being subject to extreme effort, access to
enough amount of water available to household members for family use, at a reasonable price);
•Aright / access / to improved sanitation (access to toilet either in the form of a private toilet or a
public toilet shared with a rational number of people for an excreta disposal system);
• Tenure security (evidence of documentation for protection from evictions and to prove secure
tenure status);
• Durability and structural quality of housing (permanent and satisfactory structure in harmless
or safe location); and
• Enough living area and overcrowding, for instance not more than two people sharing the same
room (UN-Habitat,2003:11). Generally, the characteristics or natures and situations of informal
settlements are explained narrowly by some writers and broadly by some other individuals and
organizations. (See figure: 2.1).

12
Figure 2.1: Photo showing the structure or nature of informal house in the inner town of the
study area.
Source: Survey result in 2014.

2.2. Informal Settlement in Developing Countries

13
Formal land administration systems in developing countries have failed to manage the wide
range of land rights that have developed under non-formal land tenure arrangements.
Consequently urban informal settlements create a challenge to the existing land administration
infrastructure in those countries. Because the tenure types and arrangements, land rights and
spatial units established in those settlements are contradictory with the provisions of existing
land laws and regulations (Lamba, 2005: ii).

Since informal settlements are left out of the urban development planning process, modern
land administration activities and collecting regular land information is impossible in them.
Therefore due to lack of basic urban infrastructure and services, informal dwellings become poor
in various social, economical, environmental and legal development /situations /. As the result of
this, starting from 1950s and 1960s, informal settlements grew rapidly in many cities of
developing countries (countries of Africa, Asia and Latin America) and became the core of urban
management challenge (Ferguson, 1996:172). In contrast particularly in the previous two
decades, there has been a clear recognition of the significance of urban planning and
management policies in helping to alleviate poverty in developing countries ( UN-Habitat,
2003:xxviii ). Furthermore access to land, security of tenure and environmental facilities have
been identified as strategic prerequisites for the provision of adequate shelter and for the
development of sustainable human settlements that positively affects both urban and rural areas
(Narasaiah, 2007:35). Similarly, good land resource management is also one way of breaking the
vicious circle of poverty or to promote economic and social development in both urban and rural
areas (ECE, 1996:13).

Although approaches to the problem have varied from one country to another due to differences
in national laws and / or tenure systems, different governments across the world have shown
some commitment to promote the provision of an adequate supply of land for sustainable land-
use policies with varying levels of success. In 2001, it is estimated that 31.6 percent of the
world’s urban population / 924 million people /, lived in informal dwellings. In developing
countries, informal dwellers account for 43 percent of the urban population, compared to 6
percent of the urban population in Europe and other developed regions(UN-

14
Habitat,2003:v&xxv). When it is estimated separately per continent in the same year (2001),
Asia contained 60 percent of the world’s total informal dwellers; Africa had 187 million (20
percent of the world total);and Latin America and the Caribbean had 128 million (14 percent of
the total) (Ibid, 2003: v & xxv).

Generally in all aspects of development, there are great variations between the cities of the
“Global North” and the cities of the “Global South”. The latter are mainly fast growing, poorly-
planned, imperfectly managed, inadequately resourced, and contain many impoverished people
living in a very difficult and repeatedly life-threatening circumstances. Particularly the condition
is bad in Africa (Narasaiah, 2007:17).

2.3. Informal Settlement in Ethiopia

[

2.3.1 Historical Back Ground and Contextual Definition

The emergence and intensification of informal settlement in Ethiopia has a great linkage with the
countries past and present socio-economic, political and environmental situations in general and
urbanization, land policy and land tenure system, demographic and other related situations in
particular. Moreover international policies have their own influence over the issue. However the
spatial forms and the physical location of informal settlements are varies from region to region,
city to city even with in a particular city or town (UN-Habitat, 2003:79).

Even though informal settlement has not been defined clearly in Ethiopian laws, it is possible to
understand its character from the existing Urban Planning legislation. Article 25(1) of urban
planning Proclamation no. 574/2008 provides that “no development activity may be carried out
in an urban center without a prior development authorization.” Article 24 of the same
proclamation also stated that “development” means: the performing of building, engineering
works, mining or other activities on or below ground, or the making of any major change in the
life of any structures or neighborhoods. So the statements which are provided in these legal
provisions clearly indicated that the land on which the development activity is performing must

15
be acquired through legal means and in order to effect the building activity, the needs of building
permit as the two requirements for legal building. Similarly Art. 2 (2) of the ANRS Urban Land
Lease Regulation no. 103 / 2012 stated that:
 “Unlawful holding shall mean land which is not recognized by the appropriate
organ and held in an unlawful way.”
 “Unlawful construction shall mean any type of construction which is constructed
on illegal / unlawful holding / or on legal holding where an appropriate organ did
not allow construction permit.”
Therefore based on urban planning proclamation no. 574/2008 and ANRS Urban Land Lease
Regulation No. 103/ 2012, it is not difficult to conclude that informal settlement in Ethiopia as
including buildings which are constructed on communal, government, or privately held land
against the will of the holder and/or without having a development authorization of responsible
organ. i.e. the former point stresses on the lack of right to the bare land on which the building is
constructed and the later one focuses on necessity of planning and building permits.

Although the trend may vary from country to country, the three actors who play a major role in
the process of urbanization of agricultural lands are the owner (sub-divider), the sub-divider and
the companies specializing in land division. The owner/sub-divider / is mainly a small farmer, in
most cases who owns a small parcel of land, sub-divides it and sells it by keeping a portion for
himself. Whereas the sub-divider is formerly a small landowner who sub-divides part of his land
and with the added income buys new parcels for further sub-division. These sub-dividers
minimize their overall costs by selling the parcels, without site preparation, and depending on
word of mouth to find their customers. The third actors , companies buy large areas of
agricultural land located on the outskirts of the city, and sub-divided into smaller plots without
providing infrastructure or services and sell to middle-income urban dwellers; especially migrant
workers. The same pattern is followed on public land after the land has been occupied informally
(El-Batran and Arandel, 1998:222 & 224).

16
Informal housing development process offers many benefits to the individuals who participate in
it; such as an incentive for saving and investment, relatively allows the entry of small and
medium size investors and contractors into the housing market, land is used to its full potential
due to their density, balancing supply and demand in the land and housing market though
informal settlements constitute obstacles to the harmonious growth of cities, lack basic
infrastructures necessary for health and development activities and also are major contributors
to the gradual erosion of agricultural production (Ibid, 1998:222 & 224).

In terms of growth pattern, informal settlements do not grow in a linear pattern; i.e. construction
activities do not happen uniformly or in a planned way through the settlements life time; but
mushrooming at a certain period of growth. This nature of expansion pattern gives rise to the
three growth phases / i.e. infancy or starting stage, booming stage and saturation stage / of
informal settlements. Infancy stage is a starting stage in that potential house seekers change
peripheral agricultural land to residential use. But booming stage is the next stage of infancy in
that land markets become very high due to the attractiveness of land to high and middle income
households. At this stage housing densities are higher than at infancy stage. Whereas saturation
stage is the third stage where open land for house development is more or less exhausted and
additional parts are primarily a result of plot densification and extension or encroachment on the
limited open spaces including public areas (Zaghlour 1994; cited in Kombe, 2005:114-115).

Generally it is concluded that socio-economic, political and related issues have strong linkage
with urban land and housing situations in general and informal settlement in particular in
developing countries including Ethiopia (Daniel, 2011:8 ; Tannerfeldt and Ljung, 2006:).

2.3.2 General Economic and Urban Situations in Ethiopia

Ethiopia is one of the poorest and most heavily indebted countries of the world with a low GDP
per capita. The agricultural sector, which accounts on the average for about 45 percent of GDP,
is a source of livelihood for more than 80 percent of the country’s population. Since agriculture

17
is the dominant sector, the performance of the national economy fluctuates considerably with
changes in weather conditions (UN-Habitat, 2007: 3).

Following the downfall of the monarchical regime in 1974, Ethiopia spent the next 17 years
under Marxist junta (commonly known as the “Derge”). Under the Derge rule, the national
economy decreased tremendously; mainly due to a large number of un wise policy measures
framed to guide and control the courses of social, economic and political development in the
country. Especially nationalization of urban and rural land, rental housing, banks, insurance
companies, leading business firms, major manufacturing industries, and agricultural enterprises
seriously harmed the national economy in general and to the urban economy in particular.
Furthermore the national economy that mainly depends on the agricultural sector had blown by
repeated droughts that affected millions of people during the Derge era (Bahru, 2008:254;
Daniel, 2011: 5; UN-Habitat; 2007: 3).

After the down fall of Derge, the country has been undergoing market-oriented reforms
following occupation by the Ethiopian Peoples Revolutionary Democratic Front (EPRDF) in
1991. So based on predominantly agrarian nature of the national economy and the firm belief
that surpluses created in the agricultural sector would go a long way to support industrial
development in the country, the Ethiopian government has adopted a national economic
development policy of Agricultural Development-Led Industrialization (ADLI). Because of the
spirit of ADLI, Ethiopia’s poverty reduction program has until recently been given more
emphasis to the welfare of the rural people while giving inadequate attention to the problems of
urban dwellers. Of course some works have been taken place in the country to improve the lives
of the urban population, especially in the recent past. However, the fact remains that most of the
country’s urban centers are currently suffering from a host of problems, including rising
unemployment, deepening poverty, severe housing shortage and lack of good governance
(Ministry of Urban Development and Construction, here after MUDC, 2012 : 2; UN-Habitat ,
2007 : 3-5). For example, the incidence of poverty in rural Ethiopia dropped from 47percent in
1995/1996 to 45 percent in the year1999/2000. Comparatively, the same indicator rose from 33.3
percent to 37 percent in urban Ethiopia during the same period. More recent findings also

18
suggest that the income gap between the wealthy and the poor has been widening in urban
centers (UN-Habitat, 2007: 5).

2.3.3 Land Policy and the Practice of Land Delivery System in Ethiopia

As historical literatures and studies have shown, in different ruling and tenure systems, various
land delivery methods have been applied in Ethiopia. i.e. the free hold land tenure system (pre-
1975), public controlled permit system (1975-1992) and public lease hold system (1993 to date).
Besides these, there were also customary and informal landholding systems, which are
commonly known in different parts of Ethiopia. This has largely been reflected in the existing
land policy and land holding tenure systems of the country under different governance regimes
(Gondo, n.d:4).

The Imperial feudal regimes of Ethiopia had a monopoly of political and economic power for
centuries, including the monopoly of ownership of both rural and urban land and other property
(Ibid, n.d:4). However at the beginning of 20th centuries the middle classes have started to own
land parcels by way of concession/ allowance / for their different services from the government
or contracting from the property owners. At that time extensive areas of urban land and
numerous houses were vested in the hands of individual lords, aristocrats, royal families and high
government officials. On the other hand even though the most productive land assets remained in
the hands of a few classes of the people and all unused land was presumed to be the property of
the state, some intellectuals and few emerging owners of capital had the chance to buy some
plots of urban lands. The monarch and feudal nobilities had the right to allocate or reside
wherever they liked in any city / town. On the other side, the urban poor or low-income groups
were forced to acquire land for their proprietors through gift, tenancy, in heritance of family, and
informal settlement by group (Pankhurst, 1966:164-65; Gondo, n.d:4). So it is clear that the
emergency and mushrooming of early informal dwellings and the rise of unprecedented urban
poverty can be traced back to the feudal ownership of land.

19
After the downfall of the monarchical regime in 1974, the military junta or Derge, came to power
with two basic land laws in Ethiopia; proclamation no.31/1975 that transferred all rural land to
the hand of the state and proclamation no. 47/1975 that places all urban land and extra houses
under the control of the state. Although the urban land proclamation nationalizes all urban land
and extra rentable houses without any compensation, Art. 5 of the Proc. 47/1975 or the law
permits 500 square meter of land area for each family to construct a dwelling house. In addition
the proclamation also allowed a plot of land for business house. On the other hand the then
government by Art. 4 of proc. No.47/1975 prohibited the transfer / i.e. sale, mortgage, lease, and
inheritance / of urban land and it also forbade further construction of additional houses on the
same plot by Art. 11of the same proclamation. This had contributed to the deficiency of urban
dwelling houses throughout the country.

After the over thrown of the Derge, in 1991, the present government has no brought any policy
change regarding on land ownership in the country. This is evidenced or assured by the EPRDF’s
decision to keep urban land as public property or owner ship of the land vested to the public by
the constitution. So the state’s and people land ownership policy interest is assured by the 1995
Ethiopian constitution. Article 40(3) of the constitution declares that the state and public
ownership of land in Ethiopia and hence land is not subject to sale and exchange.

Today urban land has been administered by lease system which is promulgated in 2011. i.e.
proc.no.721 /2011. This proclamation had been declared after the amendment of its two
predecessors (proc. no. 80 /1993 and proc. No. 272 / 2002).

Even though it is early to evaluate the effectiveness and efficiency of the new urban land lease
proclamation no. 721 / 2011 including its enforcement, its predecessors effect on urban
development in general and informal settlement in particular was not satisfactory. As it is
announced repeatedly by higher government officials, the two formers urban land lease laws
paved or had given great opportunity for rent seeking activities and corruption to some
individuals including higher government officials.
Un like the two former urban land lease proclamations, by the new proclamation ,in urban areas
lease land can be acquired mainly through the modality of tender and allotment (Proc. 721

20
/20011:Art.7 ( 2)). However one basic thing or issue is clear about the new urban land lease
proclamation. That is unless systematic and effective actions / like subsidy, construction of
saving house / can be taken place the payment of condominium houses, acquiring urban land for
residential purpose through tender and even the down payment of self help house construction
association that must be shown by Bank’s close account is not affordable by low income
peoples. So unless great care has to be taken place, by unaffordable high house price and land
lease rent through tender the poor people will be obliged to follow illegal means to survive.

Inefficient urban land policy and law are not the only causes of informal settlement in
developing countries / including Ethiopia / but rural land policy has its own high share. Because
when the farm land becomes scarce or less accessible fairly by rural community, there will be
rural to urban migration that aggravates urban land scarcity and informal settlement (Berhanu
and Fayera, 2005: 3). It seems true in the case of Ethiopia in general and the study area in
particular. Because even if the FDRE constitution under Art. 40 (4) as well as the rural land
administration and use proclamation no. 456/2005: Art. 5) ensure the right to get access for land
by rural farmers, the rural youngsters are not the beneficiaries of their constitutional right due to
other laws (like Art. 9 of the rural land proc. No. 456 / 2005 because this article restricted land
redistribution) and other restrictive regional laws.
On the other hand, Ethiopian urban land policy provides priority to land allocation (in order of
priority) to saving houses, social services, industry, micro and small business institutions,
residential houses, commercial organizations and recreational centers. Moreover the relationship
between land and poverty is clearly expressed in Ethiopia’s Plan for Accelerated and Sustained
Development to End Poverty (PASDEP) policy document (2005/06-2009/10). Because improved
access to land, infrastructure and facilities is one of the four main pillars of PASDEP that is
aimed at ending poverty. The other three pillars also are:
 Promoting urban - rural and urban – urban linkages
 Support for Small and Micro Enterprise and job creation and
 Integrated housing development (Gondo,n.d : 4-5 ).
Therefore the correlation that exists among land, housing and support for small and micro
enterprise and job creation is obvious. Improved access to land by the poor is therefore

21
acknowledged in principle as a key measure for ending poverty by the federal government of
Ethiopia. However, the significance / though it has its own problems / of informal economy is
still broadly under estimated.

The majority of urban population and particularly the poor actually earn their wages or run micro
business in the informal economy (UN-Habitat, 2003:58). But instead of being promoted as a
healthy occurrence, this vital sector of the economy is often hindered by misguided policies and
obsolete regulations of various under developed nations including Ethiopia. Because for
instance, Art. 26 ( 4 ) and 31 ( 5 ) of the new Urban Lands Lease Holding proclamation of
Ethiopia , proc. No. 721/2011 can be evidences of this conclusion. Art. 26 (4) states that:
“the appropriate body shall have the power, without the need to issue a
clearance order pursuant to Article 27 of this proclamation and
payment of compensation, to clear an illegally occupied urban land by
merely serving a written notice of seven working days the occupant in
person or by affixing it to the property situated on the land.”
Again Art. 31 (5) states that:
“the appropriate body may not be held responsible for any property situated on illegally held
plot of urban land in the course of clearing the land. ”

2.3.4. Urban Land and Housing Policies and Programs in Different

Regimes 0f Ethiopia
Although Ethiopia has been experiencing various policy measures that have profoundly
influenced the course of development of the national urban housing sector, it has no independent
comprehensive national urban housing policy or strategy to date (UN-Habitat, 2007: 7). For the
purpose of this paper the next sections present a short survey of these developments as well as
their role in creating the current urban housing situations in the country.

2.3.4.1. Pre-1974 Government Land and Housing Policies

22
Though in some cases reference was made to unclearly defined and inadequately documented
zoning ordinances, in Ethiopia during the greater part of the 20 the century, decisions regarding
urban land use, housing permits and building codes were mainly based on local needs and
abilities. However in different large towns of the country, decisions regarding the development
of urban housing and infrastructure were to some extent, supported by master plans.

At the beginning of 20th century private ownership of urban land became legal in Addis Ababa
by the1907 land charter (Pankhurst, 1966:154; UN-Habitat, 2007:7). During that time the rapid
growth of the housing industry had been increased or facilitated because of the newly designed
land charter and the introduction of eucalyptus tree around Addis Ababa, as well as around the
small towns that mushroomed on the main axis of transport that radiated from the city to the rest
of the country (Daniel, 2011: 4; UN-Habitat, 2007:7). On the other hand a few days before Addis
Ababa fell in to the hands of Italian army / 1936 to 1941 / patriotic forces destroyed many
buildings purposely. In addition to this the construction of new dwellings and the repair of
existing buildings temporarily stopped because of the Italians new proclamation until further
notice. As the result of these events, Addis Ababa faced its first major housing shortage (Bahiru,
1987; Pankhurst, 1987; cited in UN-Habitat, 2007:7). More over due to the change in the city’s
economic base, population growth and rural-urban migration and serious housing shortage had
been happened.

The Ethiopian government began to include some directives on the urban housing sector in its
five-year national economic development plans during the early 1960s. However, even though
much had been said about planned development of low-income urban housing in pre-
Revolutionary Ethiopia, the people didn’t see any effective shelter program on the ground. Due
to this fact, the explosion of unauthorized housing accelerated as never before (UN-Habitat,
2007:9).

2.3.4.2. Post-1974 Government / Military Regime / Land and Housing Policies

It is known that land issue was one of the major motive forces behind the February 1974
revolution in Ethiopia. When the Derge nationalized all rural and urban land and rental dwellings
in the country, an important reduction in monthly rent payments by proclamation was an

23
apparent opportunity to alleviate the rent burden on low-income tenants. Even though the 1975
proclamation restricted the number of residential units to a single dwelling house that a
household could own, it did not set any limits on the number of business premises that could be
held by an individual or a group. Furthermore, the new rules did not make any distinction
between poor and rich property owners when it came to nationalization of rental dwellings. As a
result of this large number of poor owner-occupiers who rented / leased / parts of their restricted
dwellings were confiscated of the very rooms for which they were receiving nominal rent
payments. However, the proclamation permitted regular monthly allowance that did not exceed
ETB 250 per month for ex-landlords who had no income other than rent payments (Daniel,
2011:10).

Different proclamations and legal notices dealing with housing and urban development had been
also issued in 1980s. In general, though Derg issued different proclamations and notices, all
cities in Ethiopia including the study area, went through severe housing shortages and ever-
deteriorating housing conditions (Daniel, 2011:5; UN-Habitat, 2007:10-11).

At the end of 1980s, the junta understood the damage of its policies and proclamations on
Ethiopia’s economy in general, and the urban housing sector in particular. Consequently, the
Derg sought to introduce some corrective policy measures such as the 1986 housing policy with
different objectives like standardize building codes, research housing design and building
materials, encourage community involvement in housing production, more effective use of the
existing housing stock, by allowing co-dwelling and regulating the purchase and sale of houses
(Tarekegn, n.d; cited in UN-Habitat,2007:11). However due to lack of strong government
control and follow up measures on urban housing provision, the reforms introduced in the 1986
housing policy had been failed. As a result, even if the government issued a special decree in
1990 to relax the prevailing restrictions on housing production and sale, rapid mushrooming of
informal settlements began to spread to cities / towns of the country (UN-Habitat, 2007:12).

2.3.4.3. FDRE Government / post -1991 / Land and Housing Policies

When the Ethiopian People Revolutionary Democratic Front (EPRDF) came to power in June
1991, it adopted a number of policies and programs aimed at speeding up the process of market-

24
oriented reforms. Although some of the policies sought to improve the living conditions of the
urban population, most of these did not seek directly to address urban problems. However, these
policies and programs, had a great impact on the course of urban development in the country in
general, and on the performance of the urban housing sector in particular (UN-Habitat, 2007:12).

Among various policies and regulations, which have /had, considerable influence over urban
housing in Ethiopia, SDPRP I, PASDEP, ADLI and MDGs are the remarkable ones.

2.3.4.3.1 The Recent National Urban Development Status

To achieve sustainable economic development in both urban and rural areas Poverty reduction /
SDPRP / has always been the declared core objective of Ethiopia’s EPRDF in its multifaceted
attempt. However, urban poverty has aggravated in Ethiopia in the recent past. Particularly, as
many authors agree that approximately two-thirds of households in cities like Addis Ababa live
at or below the subsistence level / poverty line /.Therefore, it is certain that urban poverty of such
degree can only be associated with extremely poor housing conditions (MUDC, 2012:2; UN-
Habitat, 2007:16). So this indicates that urban areas have until recently not being received their
due share of policy attention, although they contribute about 55 percent of GDP while housing
only 17 percent of the total population (UN-Habitat, 2007:16).

Although urban poverty is very high, in the recent past, the government of Ethiopia has taken
different significant policy measures that have a substantial impact on the direction of urban
development in the country in general and the study area in particular. From these recent
development, the formulation and approval of a comprehensive national urban development
policy for the country, the completion of the country’s MDGs needs assessments studies and the
finalization of SDPRP II which is now known as PASDEP are the major ones( Ibid, 2007:59 ).

The Present Ethiopia’s Urban Development Policy

The lack of a national urban development policy or strategy was one of the major obstacles that
made it very difficult for sound informal dwellings upgrading programs in the study area as well
as the regional states of Ethiopia as a whole including the study area. By considering this and
other basic problems / like lack of good governance, rule of law equitable development etc /

25
occurred by the absence of such a vital policy, Ethiopia had designed a comprehensive national
urban development policy in March 2005 /even if it became effective in January 2012 /. This
comprehensive national urban development policy has addressed basically the most key areas
that need constructive intervention by considering the federal system of governance as well as
the already declared strategy of rural and industrial development (MUDC, 2012:5; UN-Habitat,
2007:59).

The rough translation of the basic principles that guided the designing and issuance of the urban
development policy documents are as follows:

 To promote the development of a national urban system in which cities and towns are
functionally linked to each other and to their respective localities in a sustainable way;

 To promote the equilibrium of urban growth by giving equal chance for growth and
development to all urban centers and regions in the country;

 To make certain the development of a multi-centered urban growth and development

pattern in that urban centers specializing in different functions will grow in a mutually
dependent way at all levels of the national urban hierarchy;

 To devise and implement an urban development strategy with the core objective of
poverty reduction in the short run and eradicating poverty altogether in the long run;

 To ensure that urban development is community driven, framed and applied in

coordination with the government based on the needs, abilities and sustainable
participation of the citizens in a setting where good governance succeeds;

 To form a strong public-private partnership in urban development;

 To improve the process of decentralization to a stage where cities and towns entirely
exercise self – governing (MUDC, 2012: 7).

Based on it’s designed basic principles, the policy aims at facilitating the creation of a multi-
centered national urban system with a well-developed hierarchy of urban places of various size-

26
classes to serve mainly as centers of industry, commerce and services (MUDC,2012:7b ;UN-
Habitat,2007:60) .

Although the policy advocated strong urban-rural linkages and the establishment of agro-
processing and other industries that use local resources as raw materials even in the smaller
towns, it has not made any visible differences from the general path of urban development that
the country has being followed under ADLI and SDPRP ( UN-Habitat,2007:60) .

MDGs, Urban Development and PASDEP

In September 2000, member states of UN / including Ethiopia / held a Millennium Summit in

New York and agreed to scale up poverty reduction programs in developing countries. Based on
this agreement, they came up with the Millennium Declaration, which devoted the target
countries to take measures to bring about peace, security and development and in so doing to
improve considerably the living standards of their populations by 2015.The declaration clearly
put out eight Millennium Development Goals (MDGs); each of which has its own specific
targets. Even though all of the eight goals are interrelated, with the achievement of any one of
them, the MDG that specifically aims at improving the living conditions of the urban population
is Goal 7, Target 11 that aims at accomplishing an important improvement in the lives of at least
100 million informal dwellers by 2020 (Tannerfeldt and Ljung, 2006:14; UN, 2009: xxi; UN-
Habitat, 2007:60).

Therefore, since an estimated 80 percent of the urban population of Ethiopia, including Addis
Ababa, is presently living in informal houses, MDG Goal 7, Target 11, is a crucial one for the
country in general the study area in particular. However, the MDGs have not yet knowingly
contextualized through the need assessments to achieve the deliberate objective of Goal 7, Target
11 by 2015. Furthermore when the country (Ethiopia) finished its MDG needs assessments
around 2005 / 2006 it appeared that an amount of seven billion US dollars was needed to
finance Goal 7, Target 11 of the MDGs (UN-Habitat, 2007:60-61). So due to these and other
related socio-political situations the achievement of this Goal seems difficult.

2.4. Urbanization in Ethiopia

27
2.4.1. The Previous and Current Situations

Governments in the developing world / including Ethiopia / cannot manage unprecedented urban
growth. The most observable signs of failure are the rapidly increasing of informal settlements;
where the absence of basic infrastructure that leads the provision of social service, like health
care, ineffectual (Tannerfeldt and Ljung, 2006: 53). Similarly, UN-Habitat on its global report
on human settlements stated that urban populations have increased alarmingly in the last 50
years, and will go on to do so for at least the coming 30 years due to the number of people born
in cities increase and as people continue to be migrated from rural areas which are almost at
capacity. So fast urbanization was one of the most socio-economic changes during the previous
few decades that has resulted the growing of new types of slums, the intensification of squatter
and informal housing all around the rapidly expanding cities of the developing world (UN-
Habitat, 2003: xxxi).

In contrast to the general belief, the major contributor to urban growth is not rural to urban
migration, but the natural increase. Even though urbanization is the consequence of demographic
change, it is also a requirement for economic development and an increase of income per capita,
in every country has been accompanied with urbanization. However the most prominent
negative aspect of urban growth in developing countries is the situations of the urban poor; their
number is under estimated and growing. Roughly 40% are poor during this time, and by the
present trends, in 2020 there will be more than 1.4 billion informal settlers (Tannerfeldt and
Ljung, 2006:12).

In the beginning of this century ( the 21st century ), the average annual urban growth rate in the
least developed countries is 4.3 % but some of these countries experience rates of 6 % and
above ( for instance, some large cities saw the annual growth of 7-10 % in the second half of
the 1900s). Since in region wise Latin America is the most urbanized of the four regions, more
than three quarters of its people live in urban areas. But the urbanization level in Asia is close to
40 % and the average annual urban growth is 2.5 %. Like Asia, the level of urbanization in
Africa is almost 40 %, but with very smaller population (0.3 billion) with the fastest growth.
Nevertheless in Africa, there are great variations of urbanization levels; at one extreme southern

28
Africa is with an urbanization level of 54 % and at the other, Eastern Africa (Uganda, Ethiopia,
Eritrea, Malawi, Ruwanda and Brundi ) with only 26 % of urbanization level are among the
poorest countries in Africa and still have more than 80 % of their population live in rural areas.
However now days these countries also have very high rates of urban growth; a growth which is
predicted to continue for at least another three decades (Ibid, 2006:24).

In Ethiopia, the total urban population number of the country was 1.462 million while this
number increases to 3.141, 6.215, 11.987 and 23.353million in 1960 , 1975, 1990 , 2005 and
2020 respectively (Tannerfeldt and Ljung, 2006:174). In the same years the percentage of urban
population of the country was 6.4, 9.5, 12.7, 16.2 and 22.3 respectively. Moreover the average
annual urban growth rate of Ethiopia in the years 1960-65,1975-80 , 1990-95, 2005-2010 , and
2020-2025 was 5.69%, 3.50%, 5.03%, 4.27% and 4.60 % in that order ( Ibid, 2006:68 &170) .
Therefore, though due to historical reasons of the country urbanization is a recent phenomenon,
this figure shows the number of urban population is increasing from time to time in Ethiopia.

Various historical literatures described that many of the middle sized towns in Ethiopia were
founded during the nineteenth century for political-military purposes. On the other hand, palace,
market and church were the three major institutions which shaped Ethiopian towns during the
19th and 20th centuries (Donald Crummey, n.d cited in Daniel, 2011:4).

Historical evidences show that the present capital city of Ethiopia, Addis Ababa is established in
1886 by emperor Menelik II next to Axum (in ancient time) and Gonder in the medieval period
in Ethiopian history. Therefore it can be generalized that modern Ethiopian urbanization has
been increased during the 20th century due to political stability and the modernization of the
country.

Natural increase contributes more than migration to the growth of populations in urban centers
but rural-urban migration is an important factor in less urbanized countries. So, natural growth is
contributed by Sixty percent of urban population growth in developing countries, where as the
net effect of migration and changed boundaries and other administrative measures contributed by
around 30 % and 10 % respectively (Tannerfeldt and Ljung, 2006: 19-27).

29
Generally, in 1950 only 18 per cent of people in developing countries lived in cities. But in the
year 2000, the proportion was 40 per cent, and by 2030 the developing world is predicted to be
56 per cent urban (UN-Habitat 2003: xxxi)

2.4.2. Urban Governance and Informal Settlement in Ethiopia

Since good urban governance is basically the most important factor of all, vast and sustainable
urban development depends on apolitical leadership that is committed to a democratic and
equitable vision of urban society. However in most poor countries central government holds
responsibility for many tasks which in more developed countries are the responsibility of the
local authority. The reluctance of central governments’ to decentralize power and failure to
strengthen the local authorities results weak capacity at municipal level. So local authorities need
strengthening and empowerment (Tannerfeldt and Ljung, 2006:84).

Although the current Ethiopia’s federal constitution has vested a decentralized form of
administration or self-rule for people at all levels, until recently, with the exception of Addis
Ababa and Dire Dawa cities that were able to exercise appreciable levels of autonomy, self-rule
has in practice not yet applied in other urban centers. Nevertheless until recently, different
organizational and functional shortcomings of urban administrations inherited from the Derge
and previous eras have continued to hinder the performance of urban authorities. Moreover,
since executive committees or politically assigned individuals have exercised executive power,
the functions of significant municipal organs like bureaus or departments were not clearly
defined (M UDC, 2012: 4-5; UN-Habitat, 2007: 17).

In general, since governance or politics was merged with administration, accountability was
obscured and municipal functions became extremely bureaucratic and slow (Ibid, 2007:17).
Furthermore many elected officials simply lacked the required managerial skills. Because of
these administrative shortcomings and lack of basic financial resources municipalities couldn’t
have delivered proper services to the people. In federal democratic states, though urban
administrations or municipalities were in principle, expected to be self-financing, in Ethiopia
they had no real fiscal autonomy. So municipal tax bases were narrow and seriously lacking in

30
dynamism while tax bands and rates were considerably obsolesced (MUDC, 2012:4 -5; UN-
Habitat, 2007: 17).

To address various problems and to strengthen the planning, management and service delivery
capacities of urban authorities or to establish an appropriate legal and institutional framework,
and to mobilize financial resources for urban authorities throughout the country including the
study area, the federal government has devised an Urban Management Sub-sector Program.
However, since the average monthly salary of municipal employees throughout Ethiopia is so
low that city /town authorities are unable to either attracting or retaining highly skilled
professionals. In addition to this, where medium trained professionals exist, the essential office
supplies and other technical equipment are either in short supply or non-existent. Moreover
Cadastral surveying is almost unknown; except for the rudimentary work that has recently started
in Addis Ababa and Dire Dawa. Furthermore, due to lack of standard working manuals in almost
all areas of activity, critical decisions are often made at the discretion of the individuals in
charge, paving the way for errors and corruption. (UN-Habitat, 2007: 18-19).

Establishing adequate governance structure at ministerial level / for urban development /,

establishing effective policies and institutions / to prevent corruption and with independent
control systems at all level /, and enhancing the capacity of local governments and other actors
through training , institutional support , research and higher education are critical issues to
develop democracy and good governance for proper urban development in general and land
management in particular(Tannerfeldt and Ljung, 2006 :87).

2.4.3. Urban Housing Situation in Ethiopia

Since the majority of Ethiopia’s towns came into existence after the mid-1940s, most of these
towns are not ‘young’ and small but also feature poorly constructed or weak economies which in
turn provide poorly developed and largely stagnant municipal tax bases. Due to this fact, those
towns suffer from high rates of unemployment and poverty and majority of their economically
active labor force depends on different types of informal activities for their livelihood. Moreover
the overall morphological structure of Ethiopia’s towns including the study area is poor;

31
especially with regard to lay-out, roads and buildings (UN-Habitat, 2007:21). So housing
situations in the study area like the other towns of the country, particularly majority of the
residential units are poorly constructed and very much lacking quality.

In general, according to different studies, the quality and quantity of house, and the major
infrastructural facilities which are highly significant for modern man are in adequate or at very
low standard in the country including the study area.

2.5. The Major Causes and Consequences of Informal Settlements

2.5.1 Causes of Informal Settlements

Although the results are more or less the same, written evidences show various causes for the
creation or happening of informal settlement. It is obvious or un debatable that informal
settlements happen when the existing land administration and planning system un able to address
the needs of the whole society (Lamba, 2005: ii). Therefore, though the causes of informal
settlement may not be exactly the same in various parts of the world / especially in developing
nations /, different studies indicated that the following factors as the major driving forces of
informality in different nations and / or localities of the world.

Population Growth
Although now a days, cities become the home to half of the world’s inhabitants, a century ago,
only a small proportion / might be 4% as various literatures have shown / of the world’s
population was urban. But the rapid growth of urban populations in developing nations over the
previous several decades have been resulted from both natural increase and migration
( Tannerfeldt and Ljung, 2006:12 ). Consequently population growth and high migration from
rural to urban areas in developing countries have made the available urban housing facilities
beyond the capacity of middle and low income citizens. So population explosion in urban areas
and the limited capacity of the government to meet the high demand or the need for building
plots has led to mushrooming of the informal settlements.

32
 Low Income and Formal Market Outcomes

Even though most inhabitants of informal settlements are undoubtedly poor, poverty is not the
only cause of informal land development. But both Poverty and underlying international and
national macroeconomic factors, especially wealth distribution and job creation, play a major
role in influencing the process of informal development. Furthermore the process of informal
access to urban land and housing results in part from factors related to the arrangement of the
spatial order. Therefore together with unequal spatial distribution of urban infrastructure by the
public authorities, the general process of land and housing delivery through the formal market is
also characterized by high prices relative to incomes; and these high prices lead to informal
developments (UN-Habitat, 2003: xxxi & 9 ).

The Failure of Governance

Informal settlements and urban poverty are not the basic implications / results / of a population
explosion, demographic change and / or even of the vast impersonal forces of globalization.
However informal dwellings are caused by a failure of national and urban policies, housing
policies, laws and land delivery systems as well. Because of this reason the UN-Habitat report
concludes that the failure of policy about informal settlements and poverty is at global, national
and local level. That is global policies have weakened national governments without any
influential /powerful / central control appear to be leading to an unrestricted globalization which
is accommodating greater inequality and marginalization at global level. Similarly liberalization
, sect oral fragmentation of policy and analytical and institutional designs have failed to
maintain the urban–rural and cross-sect oral dynamics or changes that are crucial to sustainable
economic growth and the distribution of its opportunities at the national level (UN-Habitat
2003: 5 ) . Moreover at the local level, due to a very high lack of capacity to manage the issue,
the situation has led many informal settlers in to un favorable life in terms of health ,security
etc. Similarly, the nature and scope of government housing policies is another influential factor
for informal development. Again insufficient social housing production is also aggravated by the
inadequate situations of existing housing projects (many of which maybe illegal in some way,
often because of lack of registration or municipal licenses, or violations of zoning and building

33
standards). In addition, the criteria required by many lending agencies to approve mortgage
applicants have excluded most poor people from a right to use loans and even to public housing
programs (Fernandes, 2011: 14).

Political Clientelism

The longstanding political handling of informal communities through clientelistic planning

regulations based on unworkable technical standards habitually fail to consider the
Socioeconomic realities influencing the situations of access to land and housing. Therefore
Regulations such as large minimum plot sizes, too much development and construction
restrictions, and prohibition of services, commerce, and small businesses in residential areas
have a major role in generating high land and property prices that leads to informality
(Fernandes, 2011: 15).

Problems of Urban Management

The exclusionary nature of the regulatory framework governing land development, as well as the
bureaucratic nature of land and urban management systems that ignores effective popular
participation are also causes of informal settlements. So the imposition of strict duties and the
requirement of rigid guarantees, cost and time required to record land contribute to high
transaction costs and also discourages many people from obtaining legal security of tenure
through that process ( Biderman, Smolka, and Sant’Anna , 2008; cited in Fernandes, 2011: 16 ).

Institutional and Legal Failure

Generally the combination of unworkable technical criteria, financial duties, rigid guarantees,
lengthy licensing procedures, formalistic contractual rules, out date registration practices, and
inefficient conflict resolution mechanisms has resulted in a highly prohibitive legal context
contributing to informal development (Fernandes, 2011: 16).

34
Even though informal settlers may reside within the administrative limit of a town or city, their
local authority may be a slum lord or mafia leader, rather than city council staff, who often no
longer try to apply their jurisdiction or even enter the informal dwellings. So the institutions that
are failing to manage informal dwellers are not only those of government and law, but also the
private and commercial systems. As the result of this financial institutions like Banks , micro
credit and saving institutions do not usually have branches in informal settlements due to lack of
legally registered property that enables them obtaining loans from those institutions as collateral
( UN-Habitat, 2003:6 ).

2.5.2. Consequences / Burdens / of Informal settlements

Generally the results of informal settlements in most countries / including Ethiopia / are more or
less similar. As different studies show that living in informal settlements often faces serious
health risks due to the very poorness of Sanitation, food storage facilities and drinking water
quality. As the result of this settlers are exposed to a wide range of disease causing germs. The
other consequence of informal settlement is tenure insecurity. i.e. Since people occupy mostly
government land ,they live in a continuous state of fear that one day the government will evict
them from the area. Hence they tend to make no investment on the houses or the land which
leads again to poor condition of living and environmental deterioration (Daniel, 2011:9).
So poorly managed settlement development is causing physical disorder, uneconomical land
utilization, and excessive encroachment of settlements into good agricultural land, environmental
degradation and pollution risks. Moreover it has become an obstacle for, social distress,
economic destruction (fire), urban violence and obstacle for the government to expand social and
economic infrastructure/services / to these areas due to the lack of space and accessibility.
In general from a wider perspective, the cumulative burdens of informal development have been
fundamentally dangerous to cities, to the whole urban population, and to the residents of
informal settlements themselves in many aspects like legal, social, environmental, political, and
economic conditions. Therefore the most common results of the expansion of informal
settlements include the following:

35
 Legal Burdens

Principally informality means a lack of full security of tenure, which exposes the inhabitants in
informal settlements to the ever-present risk of eviction by the public authorities or landowners.
Because forced eviction was an accepted public policy in different cities / including almost in all
Ethiopian cities and towns / in the past but the practice was largely criticized after political
democratization in the 1980s and 1990s (Frnandes,2011: 6). So, lack of fully recognized land
titles means that the inhabitants of informal settlements are deprived of essential citizenship
rights such as an official address, which makes it almost impossible for them to have access to
credit in shops and banks, receive mail, prove they are city residents, or require police to have a
warrant to enter their premises (Nabutola, 2004:5).

Social Burdens
Societies in informal settlements have long been excluded from normal access to the benefits of
urban development; including public services, infrastructure, public spaces, and collective
facilities. Because of this reason public authorities, like police and fire services, are usually
deficient in strengthened informal areas. Due to cultural dishonor attached to informal
communities that residents are also often excluded from the formal labor market and their
communities are sometimes factually separated from adjacent areas. Furthermore, residents in
informal settlements have often been recognized by the public authorities and by popular opinion
as insignificant / marginal / individuals, and as such they have been targeted by oppressive
policies, including the extensive use of indiscriminate police violence. Beside this the
socioeconomic weakness or vulnerability of these societies has made them easy targets for
predators, including drug-related and organized criminals or mafias (Fernandes, 2011: 7).

Political Burdens

The maintenance of uncertain legal conditions that are not fully recognized, and in which people
do not have clearly defined rights, has long subjected the inhabitants of informal settlements to

36
political exploitation by parties from all angles of the political range. So the urban poor have
often been rootless and excluded by the political process in many ways, and living in informal
settlements has made them even more vulnerable (Nabutola, 2004:5).
Economic and Fiscal Burdens

Many people believe that informality is an inexpensive alternative for gaining access to urban
land and housing but informal development creates basically incompetent cities and costly urban
management. Moreover the economic burdens of informal development and the costs to society
are very high. So regularization programs need high cost more than new, licensed urban
development (Ferguson, 1996:172). Therefore the informal provision of services, such as water
and other infrastructure, is much more costly than formal provision. Furthermore some informal
settlements are excluded from official property tax systems, resulting in a loss of potential
revenue for public administrations.

Urban-Environmental Burdens

Informal development has produced disjointed cities (Abbott, 2002:585; Nabutola, 2004:2) and
in secured or unsafe neighborhoods, basically known by many forms of health and safety
hazards, environmental degradation, pollution, and inadequate sanitary conditions. Totally the
overall living situations in these settlements are substandard; that means narrow streets, dense
occupation, precarious construction, difficult access and circulation, lack of ventilation, lack of
sanitation, and lack of public spaces. In addition to this in different cities, the informally
occupied areas are near water reservoirs, areas prone to landslides and flooding, or protected
forests is another threatening problem. So some of the most common forms of environmental
problems which have been caused by informal settlements are: environmental pollution,
deforestation and flooding (Ali and Sulaiman , 2006:11) .

The expansion of informal human settlements has been one of the major causes of pollution due
to poor disposal of liquid and solid wastes. Because of this reason there have been frequent
occurrences of water borne diseases such as cholera and dysentery, especially during high
rainfall seasons, due to contamination of the drinking water. Furthermore since there is no

37
centralized sewage system, liquid waste which includes water from washing, laundry, kitchen,
bath and other domestic uses is unsystematically discharged onsite. Consequently this disposal
trend pollutes the ground water and marine environments. Crowded and un structured
construction of houses can also block many natural water ways and leads to repeated floods
during the rainy seasons (Ibid, 2006:11).

Since flooding results the overflow of pit latrines and septic tanks, pollution of water sources and
marine environments will be happened. Beside this due to the lack of drainage systems, storm
water creates big puddles that become breeding places for mosquitoes which is the cause of
malaria. Furthermore the expansion of informal human settlements causes deforestation by
invading forest and catchment areas. This practice will reduce the amount of ground water and
results environmental degradation.

2.6. Principal Interventions on Informal Settlement

The elimination of informal settlement needs or requires two kinds of principal interventions.
One is preventing the establishment of new informal settlements / preventive measure /; and the
other is curative or remedial measure to address the deficiencies of existing settlements through
programs that:
 provide formal legal recognition of the communities, as well as individual or other forms
of ownership and legal possession;
 remedy gaps in public services or solve service inefficiencies; and
 promote local economic opportunities and growth.
While stressing the crucial importance of conceiving and implementing a set of preventive
policies that widen the conditions of access to serviced urban land and housing, it is crucial to
also recognize the need for the appropriate treatment of existing consolidated settlements by
giving attention to the legal aspects of regularization; and it also refers to other dimensions such
as access to infrastructure and service provision, upgrading requirements, building quality, and
socioeconomic programs. So regularization policies must be based on a more consistent

38
foundation that addresses security of tenure, legal rights for property owners, and the provision
of urban infrastructure and services (Fernandes, 2011:8).

Similar to informal land development, land regularization includes many various theoretical
approaches and corresponding institutional designs. Although global and macroeconomic
reasons are part of the causal connection supporting informality, much work can be done at the
national and local levels to prevent the process of informal development. The promotion of
inclusive land, urban, and housing policies can widen legal access to serviced neighborhoods by
redefining land ownership rights, integrating urban law and management, widening popular
participation in the decision- making process, facilitating access to the judicial system, and,
mostly, creating the foundations of a process of land governance to maintain the democratization
of access to land and housing (Fernandes, 2011:8). Similarly, since regularization policies deal
with complex socioeconomic and urban-environmental realities, they involve multiple aspects of
land, registration, financial, urban, and environmental laws. Moreover these policies seek to
ensure that residents of consolidated informal settlements not to be evicted or relocated, but can
remain on the land they have occupied with access to better living conditions. In addition to this
regularization policies promote social justice and compensate for historical inequalities to some
extent. However environmental and public health concerns and the need for public spaces are
legitimate reasons to justify some relocation by offering suitable alternatives in nearby areas by
the public authorities and even private landowners, and negotiated with the affected residents to
help them retain existing social networks (Tannerfeldt and Ljung, 2006:14-15).

A synthesis of Literature
Presently informal settlement is a global problem; especially, it became one of urban
development challenges in developing counties (Ferguson, 1996:172). Since various nations
have different socio-economic and political development, the cause of informal settlement is not
exactly the same throughout the world.

A sustainable way of addressing the challenges of informal settlement in a cooperative manner

is very crucial among stake holders of urban and rural land administrators. Therefore, such

39
strategy requires recognition of such settlements as a means of shelter for the poor (Ferguson,
1996:172), promotion of inclusive land, urban and housing policies such as integrating urban
land laws and management. So applying proper preventive and remedial measures is highly
significant to provide basic solution for the emergence and intensification of informal settlement.
(Fernandes, 2011:8). Generally, good urban governance is the basic and the most important
factor for sustainable urban development; based on apolitical leadership that is committed to
democratic and an equitable vision of urban society (Tannerfeldt and Ljung, 2006:84).

CHAPTER THREE

3. MATERIALS AND RESEARCH METHODS

3.1. Description of the Study Area

3.1.1 Location

Woldia town is established in 1780 E.c during the region of Ras Ali the great. In 1989, the town
is organized as an independent woreda by consisting eight urban kebeles. However, in 1997 the
town is restructured as a town administration by comprising of four rural kebeles and three urban
kebeles (by merging the former eight urban kebeles for the ease of administration). Therefore,

40
presently, this town is one of the town administrations and zonal town of North Wollo with
seven kebeles /three urban kebeles and four rural kebeles / and a total area of 8213 hectare
(Town administration Finance and Local Economic Development Office Socio economic
records, 2013:1).

The study was conducted at Woldia town administration which is located in N/ Wollo
administrative zone of ANRS. The specific study area is located 521 km north of Addis Ababa
&360 km away from the headquarter of the region / Bahir Dar town /. Furthermore Woldia town
lies at 110 50’ north & 390 46’ east (Speaker of the Town Administration Council Socio
Economic Records, 2011:2).See figure 3:1.

Figure 3.1: Map showing location of Woldia Town.

Source: CSA 2007.

3.1.2. Population

41
As different demographical analysis and real situations evidenced that population growth by
itself may not be a problem for one country. However the number of population especially the
dependent segment ( aged and children ) of the population is greater than the productive class
and population growth is greater than the economic growth of a given country, in such cases high
population becomes a problem for that nation.

According to various literatures population growth of Ethiopia in general and the study area in
particular is faster than their economic growth. That is population number is highly increasing
from year to year. So, the total population of the study area’s urban and rural kebeles’ is 54535 in
2011. From this total figure 38011 and 16520 peoples have lived in rural and urban kebeles
respectively (i.e. 27394 female and 27141 male). Within two years, i.e. in the year 2014 the
number of population in the study area has been increased by 3238 peoples. Therefore in the year
2014 the number of urban and rural population of Woldia town Administration is 41343 and
17024 respectively or a total of 58367 people i.e. 29337 females and 29030 males. From this
total number of peoples 27594 or 47.3% (13942 males and 13652 females) of peoples are under
the age of 19 years and 1528 (2.62%) are above 75 years old ( Woldia Town Administration
Finance and Local Economic Development Office, 2013 socio-economic record).

At the beginning of May 2014, the local government of the study area carried out house need
assessment of homeless people and organized data about those settlers who have private house,
condominium house, kebele and saving houses for future actions within the three urban kebeles.
Based on this assessment, 8879 households are living in their private house, 1325 people are the
owner of condominium house, and 835 and 184 households are living in kebele and saving
houses respectively. On the other hand, homeless dwellers of the town are also identified and
showed their interest by the need assessment; that is 1825 households apply for kebele house,
1997 households for saving house, 3543 house for condominium and 182 households apply to
get urban lease land for residential house; totally 7547 homeless households are identified based
on their application by the assessment (Eshetu, personal communication, May 28, 2014).

3.1.3. Economic Activity

42
The peoples of Woldia Town Administration have engaged in different economic activities.
However the life of the majority of the peoples is mainly dependent on three major economic
activities such as agriculture, trade and industry. In the study area 4055 male and female house
hold heads with an average land holding size have engaged in agriculture. On the other hand
1466 trade organizations and individuals who have permanent trade license with a capital of birr
38,574516.00 and 107 trade organizations and individuals without permanent trade license but
who have registration certificate with a capital of birr 7, 665532.00 have engaged in trade and
industry sectors ( Woldia Town Administration Finance and Local Development office Socio-
Economic Records,2011 / 2012:3 ).

3.2. Research Design

Research design is a mapping or planning strategy. It is essentially a statement of the object of

the inquiry and the strategies for collecting the information, analyzing the data or information
and reporting the findings (Singh, 2006:77).

A research design is a plan of a researcher about the components of his project and development
of certain components of a design. In other words the components of a research design are in part
mandatory and in part choices. Moreover it is a planning stage of a research which is usually
made logically visualizing its practicability (Singh, 2006:77 & 78). Therefore, the following are
the main research design components of this thesis. These are: specific title of the research,
statement of the problem, formulated research questions review of related literature, research
method (sampling techniques, sampling procedure and sample size determination), data
collection and analysis techniques, presentation and report of the results.

3.3. Research Method

For this paper both Descriptive and Exploratory research strategies and quantitative and
qualitative data gathering and analysis approaches were applied. For quantitative type of data,

43
the researcher had used questionnaire which enabled to gather appropriate quantitative data by
using structured or closed ended and semi-structured questions. On the other hand for qualitative
type of data the researcher had emphasized on the qualities of entities such as the meaning, cause
and impact of informal settlement, by in-depth interview to collect data from individuals’
experiences and focus group discussions for generating broad views from the participant at the
same time to complete the research within the planned time.

3.3.1. Sampling techniques

The researcher used basically non probability sampling method for this study. Based on this,
especially purposive sampling technique was applied to select sample kebeles in which sample
respondents live and appropriate governmental offices. The main reason for purposively
selection of kebeles and government offices is to select areas which had been highly negatively
affected by informal settlements and the availability of experts who have responsibility to
administer and manage urban and suburb lands, knowledge about land administration and
management policy, laws and regulations respectively. Moreover systematic random sampling
method had been used by dividing total population of informal settlers of selected kebeles’ to
sample size of the thesis to select sample informal settlers and stratified probability sampling
technique had been also applied by categorizing in to male and female to make proportional
house hold – informants based on sex.

3.3.2. Sampling Procedure and Sample Size Determination

In order to collect primary data, the researcher used two different sample groups with different
sampling procedures. The first sample group was selected to collect data from informal settlers
based on their occupation, economic status, types of informality and their attitude towards land
management practices of the town. For deciding the size of this sample group and selecting
sample respondents, the researcher used three stages.

The first stage was identifying Kebele Administrations and classifying them. Since the study area
has been classified into seven kebele administrative units, the kebeles have been categorized in

44
to two groups; i.e. down town /inner town /, suburb kebeles based on geographical location,
population density and other socio-economic activities (see table 3:1).
Rural / suburb / Kebeles Inner Town Kebeles
In the second stage, the sampling
Jeneto Ber Deferge
kebeles that can represent those stratums
Mehal Mechare Debre Gelila
or divisions /inner town and suburb /
Adegur Gebreil Yeju Genet
were selected. Based on this the
Gola Mechare
researcher had selected three kebeles;
one from down town, Deferge kebele and two from suburb kebeles Jeneto Ber and Mehal
Mechare by using purposive sampling method.

In the third stage, the researcher took selected sample respondents (from the total population of
the selected kebeles’ i.e. 517, according to 2011 Municipality’s recordings) based on Solvin’s
formula which is written as n = N / (1 + Ne2) because if there have not been idea about a
population’s behavior, using Slovin’s formula to find the sample size is better than the other
formulas (statisticshowto.com, 2014:1).
Where ,
n = Number of samples, N = Total population and e = Error tolerance

Table 3.1: Number and category of Rural and Urban kebeles of Woldia Town.

Source : Woldia Town Administration Finance and Local Economic Development Office 2013’s
Socio Economic Recording.

45
 Based on the given formula, 52 males and 32 females ( totally 84 respondents ) sample
respondents had been selected by systematic random sampling method from the total population
of informal settlers of the selected kebeles of the town (i.e. 517 people, 196 from inner area 321
from suburban kebele ). That is 517 / (1 + 517(0.12)).

The second sample group had been used more of for examining policies, laws, institutional
coordination and capacity of management units which is responsible for the management of
informality based on formulated semi structured questionnaires. For this study, the researcher
had taken the whole (comprehensive sampling) urban and rural land administration experts or
workers from purposively selected institutions (i.e. 30 respondent experts that had been assigned
to work in Land Administration and Management Processes on the selected institutions). These
are the Industry Development and Service Office (Municipality), Urban Agricultural Office, the
surrounding rural Woreda Environmental Protection Land Administration and Use Office and
the Zonal Environmental Protection Rural Land Administration and Use Department. Therefore,
for this paper the researcher had taken a total of 114 sample respondents from the community
and selected governmental institutions.

3. 4. Data Collection and Analysis

3.4.1. Data Collection Techniques

In this study both primary and secondary data had been collected in order to achieve the stated
objective.

 Primary data: it had been collected by using field observation, interview, questionnaires,
and group discussion methods. For the purpose of this study the researcher had employed the
following activities to achieve valuable results derived from questionnaires.
In the study area data had been collected using formal and informal field survey.

46
 Preliminary survey

Preliminary survey enabled the researcher to have back ground information about the informal
settlements, informal settlers, social, economical, legal and environmental situations within the
study area; to have understanding about the cause and effects of informalities. Moreover it gave a
chance to have first informal contact with key informants in the study area. Using the designed
checklist record, objectives, theories of various literatures and the result of preliminary survey,
the researcher had developed questionnaires for formal survey.

At this stage, enumerators had been employed & trained for the necessary data collection and the
researcher had done pretesting of questionnaires by senior experts and informal settlers other
than sample respondents to test the accuracy& efficiency of designed tools in clarifying the
required data. Based on the results, questions had been revised and modified.

Field survey

To study the causes and consequences of informal settlement in the study area, the researcher

had employed questionnaires, interviews, focus group discussion & field observation or sighting

report. As the result of this general and detail information had been collected from the selected
sample informal settlers, non informal settlers and stake holders (concerned bodies) mainly from
municipality, Town Administration Agricultural Office, Zonal Environmental Protection, Rural
Land Administration and Use Department, the nearby Woreda Environmental Protection, Rural
Land Administration and Use Office and group discussants of informal dwellers of the
community. Therefore, the general and detail information provided a sort of basic research data
about informal settlements and settlers such as their socio-economic, demographic and legal
setting which can show the situation of informal settlements. Furthermore field observation
enabled the researcher to assess environmental, housing structure, infrastructure, spatially taken
measures by local government and other sensible situations of informal settlements.

Moreover based on designed open-ended interview questions, detail information had been
collected from purposely selected key informants those are formal settlers of the town. The

47
selected informants are assumed to have knowledge and understanding about informal settlement
in general and the life of informal settlers in particular. To get various information from different
angle the researcher had selected the zonal Environmental Protection Land Administration and
Use Department head, Deputy Manager of Industry Development and Service Office and head of
Land Development and Management Process, Teacher in Woldia General Secondary and
Preparatory School and Zonal representative of AEUP, and one of elders of the town.

In addition to the above research data gathering tools the researcher had collected qualitative
information from two groups of focus group discussants of different sex and age levels which
had been selected by the assistance of influential informal settlers of the kebeles’. i.e. discussion
conducted in rural kebeles and urban kebeles separately. Since the two selected rural kebeles
have more or less similar socio-economic situations and similar proximity to the inner town,
group discussion had been taken place together by selecting two women, two young males and
two adult male participants from each kebeles, totally 12 discussants for one group ( though one
of them didn’t attain the discussion ). Similarly in the urban kebele (Deferge), the second group
discussion is conducted among seven participants with similar age and sex distribution like that
of the rural one. To carry out group discussion time and central place of meeting is selected and
decided; then after, by putting ground rules of discussion, the researcher together with assistance
facilitator had performed the intended discussion based on predesigned guiding questions and
had gathered necessary qualitative information from free discussion of participants .

 Secondary data: was another source of data that had been collected from different
published & unpublished materials, official reports, journals, articles, internet, and
different books to develop theory and factual analysis about informal settlement of the
study area.

3.4.2. Data Analysis Techniques

Quantitative data that the researcher collected by different data collection techniques had been
arranged, coded, entered into the computer interpreted & analyzed by using descriptive and
inferential statistics. The researcher had used descriptive statistics to organize, summarize and

48
presented quantitative data. Descriptive statistics techniques had been applied according to
quantitative method of classification and analysis in the form of table, graphs, charts
quantitatively. It also used to describe and compare quantitative data by using arithmetic mean,
mode, range, and percentage. Moreover qualitative data that had been gathered by open ended
interview, group discussion and field observation had been also arranged and analyzed
qualitatively

The quantitative techniques had been triangulated with qualitative information and techniques to
further explore the issues of the study and to increase validity. On the other hand inferential
statistics had been used to make generalization about a statistical population based on
information that obtained from quantitative and qualitative data by the help of descriptive
statistics and qualitative analysis. So the general statement had been made about the nature,
characteristics of the population and from which the sample had been drawn. Furthermore
variance of respondents’ character had been used by range to measure how each collected data
had differed each other and to decide the distribution of result by the help of graph, chart and
table. Moreover the relationship of dependent variables like tenure insecurity, environmental
pollution, encroachment of agricultural land and independent variables such as lack of land
access, governance and legal failure, lack of institutional cooperation had been tested by logical
test.

CHAPTER FOUR

4. FINDING AND DISCUSSION

As it is already indicated, identifying the causes and impacts of informal settlements, evaluating
the integration of policies, laws and regulations, and institutions of stake holders, assessing the

49
perception of Municipality’s workers and other stake holders, and measures which have been
taken by local government on informal settlements are the specific objectives of the research. So
as to achieve the formulated objectives, the researcher has collected and analyzed the research
data in the following manner.

4.1 Socio-economic Status of Informal Settlers

4.1.1. Economic Situations
[[

As any town and / or cities of Ethiopia, the informal settlers of Woldia town are engaged in
different economic activities and earn various amounts of monthly income according to their
activities and governing conditions. So 35.7% (30 respondents), 17.9% (15 respondents), 8.3%
(7 respondents) 23.8% (20 respondents) have been engaged in agriculture, petty trade,
government employees (including public officials) and self employees (like carpenter, tailor,
shoeshine etc) and 14.3% (12 respondents) are jobless and dependent to others respectively.
More over 14 male and 11 female respondents earn less than 416 Ethiopian birr, 33 males and 15
female respondents earn 417-833 Ethiopian birr, 3 males and 3 female respondents earn 834-
1250 Ethiopian birr, and 5 male respondents earn above 1250 Ethiopian birr in a month. This
implied that 25 (29.8%) respondents are living in absolute poverty because 15.5% and 14.3%
respondents earn 14 Ethiopian birr within a day and jobless respectively. i.e. below 1 US dollar.
Therefore, since the income of most respondents is very low, they are living in low standard of
living; this situation has been assured by their income level and other external indicators such as
housing conditions which had been surveyed in the field. So, since most of them have being
earning low monthly income, their saving capacity couldn’t make them to own standardized and
legal house (See table 4:1).

Number of respondents
Male Female Total
Monthly income in birr Count % Count % count %
< 416 11 21.2 14 43.8% 25 29.8 %
417-833 33 63.5% 15 46.9% 48 57.1 %
834-1250 3 5.8% 3 9.4% 6 7.1 %
> 1250 5 9.6% 5 5.95 %

50
 Total 52 100 32 100 84 100 %
Table 4.1: Monthly income category of sample informal settlers.

Source: survey result of 2014

4.1.2. Social Characteristics

Since the study area is the zonal town of north wollo administrative zone, some informal settlers
of the area are more or less attended modern education at different levels. Therefore 34.5% (29
respondents) are totally illiterate, 11.9 % (10 respondents) attended from grade one up to grade
four, 22.6% (19 respondents) have learnt grade 5-8 classes, 28.6 % (24 respondents) have
followed up their grade 9-12 education, and 2.4 % ( 2 respondents) have graduated at diploma
and first degree level. Because of this fact 79 % (45 respondents to some extent and 22
respondents highly) respondents have answered as they have knowledge about the meaning of
informal settlement or illegal settlement according to the definition of Art. 24 of urban planning
proclamation no. 574/2008 (see table 4:2).

Table 4.2: Educational Status of Sample Informal Settlers.

51
 Educational Status of Respondents

Academic Valid Cumulative

level Frequency Percent Percent Percent

Illiterate 29 34.5 34.5 34.5

Grade 1-4 10 11.9 11.9 46.4

Grade 5-8 19 22.6 22.6 69.0

Grade 9-12 24 28.6 28.6 97.6

Diploma and
2 2.4 2.4 100.0
above

Total 84 100.0 100.0

Source: survey result of 2014.

Similarly 96.7% (29 respondents) of rural and urban land administration experts (the second
sample group respondents) answered that they had knowledge what informal or illegal settlement
mean. On the other hand 20.2 % and 3.3% of community and expert respondents answered as
they had not knowledge about the meaning of informal settlements. Furthermore, 25 females and
44 male respondents (totally 82.1%) and focus group discussants responded and described /
understood / as informal settlement have reduced the attractiveness of the town ( see figure 4:1).

52
Figure 4.1: understanding of Informal settlers about the meaning of informal settlement.

Source: survey result of 2014.

4.1.3. Demographic Characteristics

As it is found out by this research, informal settlers of the study area are at different age level,
sexes and at various responsibilities (position) in family matters. Most of the respondents
families (66.7%) are headed by male and female, 25 % by female (unmarried) head and 8.3 % of
the families are headed by male head. More over 24 (28.6 %) respondents, 49 (58.3 %)
respondents and 11 (13.1 %) respondents are at the age of 19-30 years, 31-60 years and above 61
years old respectively. In addition to this 18 (21.4) % respondents have greater than six family
members and 43 (51.2 %) respondents had answered that they have lived for more than eight
years in their house. In general this finding indicates that how the demographic nature of
informal settlers of the area is diversified and the share of females over informal settlements is
also high like males.

53
4.1.4. Availability of Basic Social Services

Physical feature is one of the determinant factors for urban morphology and infrastructure
development. The study area is surrounded by high land escape and composed of diversified
topographic features. So most informal dwellings of the rural kebeles of the town are constructed
far from the center of the town and sloppy areas. Because of this the settlements are not
favorable for infrastructure development like road construction even for walk way or foot path
and for small vehicles.

The settlers move here and there mostly only on foot. Therefore the settlements are not favorable
to move from the center of the town and also from one neighboring house to the other; especially
during the rainy season the problem is serious.

The challenge of landscape for infrastructure development is not only the problem of informal
dwellings of rural kebeles but also some parts of the down town / formal and informal
dwellings/ are not favorable for infrastructure development by low cost .

So as it is surveyed in the field and explanation of group discussants, infrastructure development

for informal dwellers did not get attention by local authority due to lack of willingness,
unfavorable topographic feature and other reasons. Due to this problem during emergency the
dwellers lack means of transport to health institutions. Especially during the rainy seasons due to
the sticky nature of the soil and the presence of small stream that across the town from east to
south west, the informal dwellers of the two rural kebeles (Jento Ber and Mehal Mechare )
cannot move from their home to the inner town and the vice versa easily. Because of this and
other related factors the settler’s loss various basic needs for life which are necessary for
emergency situations like health service (medical care). So it seems that the dwellers
fundamental human rights are denied by local authorities.

Due to technological development basic needs for life of human being are beyond food, Shelter
and cloth in the present century. Of course the level of countries socio-economic development
and political philosophy in general and specific local development in particular are the influential

54
factors for the attainment of basic needs of the society based on the treaties of international
covenant on economic, social and cultural rights /ICESCR/ (Worku,1993:55). However, the
state parties have to take step to achieve the full realization of the creation of conditions which
would assure to all medical service and to all medical attention in the event of sickness
(ICESCR, 1966: art. 12 (2)).

According to group discussants, since informal settlers of the study area have not easily access
to water for drinking and other domestic purposes, the dwellers are obliged to buy 20 liters of
water by 1 Ethiopian birr and above by traveling long distant place. In addition most settlers
have not access to electric light (See table 4:3).

Table 4.3: The Response of Informal Settlers and Land Administration Experts About the
provision of infrastructure and basic social services.

Respondents answer Respondents

on the provision of Experts Informal settlers
infrastructure and Count Percent Count Percent
(frequency) (frequency)
basic social services

Provided 14 46.7 36 42.9

Un provided 15 50 43 51.2
Other 1 3.3 5 6
Total 30 100 84 100

Source: survey result of 2014.

Based on this research 51.2 % respondents of the community, group discussants and 50% rural
and urban land administration experts, the local government did not provide infrastructure and
basic social facilities, where as 42.9 % community respondents and 46.7 % land administration
experts responded as government had more or less provided infrastructure and basic social
facilities.

55
As it is observed in the field, street light is also totally absent in these informal dwellings. Due to
their geographical setting and lack of street light the areas are not secured to move freely in the
evening time because of this reason 42.9 % (13 and 23 of them believed as there is high and to
some extent insecurity respectively) of community respondents and the whole group discussant
answered and explained respectively that the settlers life and property is not secured. In contrast
57.1% (48) of community respondents answered that the areas are peaceful, secured and
informal settlement didn’t result negative impact in terms of security over the whole settlers of
the study area.

Due to lack of inter rood, transport and basic social services access in these areas, the settlers are
obliged to move unreasonable distance to get education and other services. Especially
kindergarten, elementary school for babies and night school services are hindered by shortage of
infrastructure and social service access and life insecurity respectively.

4.1.5. House Structure

As it is observed in the field, the housing conditions of the two rural and one inner town selected
kebeles of the study area have partial similarities in some aspects and differences in some other
aspects.

4.1.5.1. House Structure in the Rural Kebeles

Most houses which are labeled as informal by the town administration are constructed from local
materials such as wood and mud and industrial products like most formal houses of the town.
More over some informal dwellers are constructed their housing unit about more than two rooms
with somewhat quality building materials on a plot of land that is obtained by different
acquisition methods, such as donation, kebele Administration grant, succession, mortgage and
other means. On the other hand according to group discussants and researcher’s field
observation, most informal houses of these rural kebeles are very small sized, single room and
incomplete due to lack of security and economic capacity to build quality house ( see figure 4:2).

56
Figure 4.2: Photo showing demolished fence and marked house to be demolished in Mehal
Mechare Kebele.

Source: Survey result of 2014.

4.1.5.2 House Structure in the Inner Areas

Purposely selected kebele in the down town of the study area is occupied by standardized and
sub standardized informal houses. However the base and type of informality of the selected
kebele’s houses are different from that of the rural kebeles. Because the level of security and
legal base of means of acquisitions of the houses and plots have recognition by the pertinent
authority. But like informal houses of the rural kebeles the owner of these houses are without
title deed that is prepared and given by urban land administrator. In addition to lack of title deed
the houses are very decayed, constructed from different poor quality materials like worn out
metals, plastics, woods, etc and the areas on which the settlers live are environmentally polluted.

Informal settlers of the inner town kebele have partial recognition by the town administration and
have being paying different taxes for the local government. Basic social services like drinking
water, electricity, health and education services etc are being providing like the other formal
settlers of the town. In contrast since the houses are overcrowded and the topography is

57
unfavorable there is lack of rood for free movement of vehicles. So these settlements are
susceptible for fire burning and if fire accident happens in the area, due to lack of free space or
rood it is difficult to get assistance from fire brigade or any supporting organ.

Generally, as it is surveyed though informal settlers of the inner town have better security,
stability and confidence over their houses than informal settlers of the rural kebeles, their right to
an adequate standard of living, including adequate food, clothing and housing and the continuous
improvement of living conditions seems denied by the government ( see figure 4:3).

Figure 4.3: Photo showing house structure located in the inner town (in Deferge Kebele)
Source: survey result of 2014.

4.2. Methods of Land Acquisition

As the other parts of Ethiopia, informal settlers of woldia town occupied different sized plot of
land through various acquisition methods such as kebele administration or state grant, donation
means based on rural land laws and other court of laws.

58
However based on urban land laws and belief of local authority, the local government labeled the
settlers as informal dwellers. So the following table shows land acquisition methods of the
respondents of the two rural and one inner town kebeles (See table 4:4).

Table 4.4: Land acquisition mechanisms of sample informal settlers.

Number of respondents
Land acquisition methods Female Male
Count % Count %
Buying from individuals 2 6.3 5 9.6
Donation from relatives 11 34.4 11 21.2
Succession (bequeath) 3 9.4 6 11.5
Kebele administration / state / grant 13 40.6 18 34.6
Rent / lease - - 1 1.9
Exchange plot by plot 1 3.1 9 17.3
Mortgage / loan guarantee 2 6.3 - -
Other /squatting, possession… - - 2 3.8
Total 32 100 52 100

Source: survey result of 2014.

4.3. Actors of Informal Settlement

Based on field survey especially when group discussants discuss each other, the researcher
identified that different parts of the community such as farmers, petty traders, government
employees including public officials, self employee individuals, land holder themselves, at
various age levels, academic levels; occupations and different sexes participated in informal

59
settlement. Furthermore it is proved that lawyers (justice organs), public officials at different
positions, wealthy persons, permanent dwellers of the town and individuals who lived in other
areas out of the study area are the main actors of informal settlement ( Municipality, 2011:15 ).
In addition to this, the data collected from selected samples of informal settlers evidenced that
29 ( 34.5 % ) farmers, 10 ( 11.9 % ) petty traders, 7 ( 8.3 % ) government employees, and 38
(45.2 % ) self employees including dependant to others are the main participants of informal
settlements ( see figure 4:4)

Figure 4.4: Occupation of sample Informal settlers.

Source: Survey result of 2014.

4.4. Cause and Impact of Informal Settlement.

The occurrence of informal processes in the urban areas of the developing world, and in sub-
Saharan Africa in particular, has been explained, as a response to the failure of statutory and
customary tenure systems to meet the needs of lower-income groups; and as a reflection of the

60
determination of traditional practices of land delivery or the continuation of an organic process
of human settlement evolution (Nkrunziza, 2007:509).

Though informal settlements are the challenges of the whole world, their adverse impact is very
severe in developing countries in general and Ethiopia in particular (Ferguson, 1996:172).
However since it is a means of shelter for the poor people and its contribution for countries
development activities, informal settlement has recognized by different international
organizations like World Bank and various developing countries in the last three decades (Ibid,
1996:172).

Informal settlements are termed as illegal settlement in Ethiopia in general and the study area in
particular. Since they are illegal, these settlements are useless and obstacles for the towns
development (Deputy Manager of Municipality, interviewee). In contrast 94% of respondents of
informal settlers themselves and some land administration experts of various institutions though
informal settlements have negative consequences, they have also positive impacts to the settlers
themselves and local development (two of the key informants, interviewees). Similarly focus
group discussants explained that informal settlements have solved their shelter problem. On the
other hand 6% (5 community respondents) respondents answered that informal settlements have
no benefit for the settlers themselves and the whole community’s development.

Generally as the researcher found out, abuse of fundamental human rights and property right in
general and lack of land access, failure of governance, low economic development in particular
are the major causes of informal settlement and general environmental problems, encroachment
of agricultural land, tenure insecurity and violence are the basic consequences of informal
settlements.

4.4.1 Causes of Informal Settlements

Lack of Land Access

Since land is the ultimate resource without it life on earth cannot be sustained. So land has a
great significance in the economy of each nation. Therefore since it is the basis of production

61
without secured land rights there can be no sustainable development (ECE, 1996:10). However
as the researcher of this paper surveyed during the 5th Ethiopian cities week that had been
celebrated in Bahir Dar city in November 2013, the urban land supply and management of
different regional cities including Addis Ababa, Dire Dawa city administration and big towns
like Gonder and Dessie, there has been inefficient land administration system or trend in most of
those towns including the study area. As the researcher had interviewed the information
providers of various towns about their land administration and management, informal settlement
had been one of the challenges of those towns and /or cities. For instance as the researcher
surveyed during the fifth Ethiopian cities week celebration, until November 2013 there were
5000 and above informal settler in Hawasa and 10,000 in Dire Dawa.

One of the cross cutting aspect of human right to land is land access; it means the ease or
difficulty in getting use right to land for both agricultural and housing purpose with due respect
to the right to equality. However access to land at present is a problem for all sectors or parts of
the society in Ethiopia ( including the study area ) though disadvantaged groups like the young,
women and minority groups are the ones that are most affected (Belachew, 2009:79).

Based on this research findings, 76.7% (23 rural and urban land administration experts) experts,
66.7% (56 male and female) respondents of informal settlers and the whole group discussants,
the local government (Industry development and service office) couldn’t provide plot of land or
kebele houses for the poor and middle income citizens by considering their economic capacity
/purchasing power/. Instead the focus group discussants said that after included the rural kebeles
in to the town administration, the local government snatched our legal land holding by
compensating insignificant amount of money. More over they said that the local government
demolished houses which are constructed on their legal land holding and donated for their young
sons and daughters based on the law of rural land administration of the Amhara region as well as
national laws. In contrast 21.9 % land administration experts and 23.8 % community respondents
had responded that local government have provided plot of land / house for the poor and middle
income part of the people.

62
According to the participants of focus group discussion, their sons and daughters are obliged to
migrate to Arab countries and lost their precious life due to such actions of the local government
and lack of land access. On the other hand 60 %(18) of rural and urban land administration
experts answered that though there has been lack of land access and economic problems of the
community, unnecessary enrichment by speculators becomes the major cause of informal
settlement in the study area (see table 4:5). This conclusion of experts also has got acceptance
by deputy manager of Industry Development and Service Office, land development and
management Process head and Zonal department head of EPLAU ( interviewees).

Table 4.5: Causes of Informal Settlement according to respondent experts.

Causes of Levels of causes Total

N informal 1st 2nd 3rd 4th 5th
o. settlements No. of No. of No. of No. of No. of No. of
responden responde responde respond responde respondents
ts nts nts ents nts
c
co co
cou o cou Cou
% un % un % % % %
nt u nt nt
t t
nt
A Economic
problems of
low& middle 26.
8 9 30 6 20 2 6.7 2 6.7 27 90
income citizens 7
to be lessee

B Imbalance of
26. 26. 33.
land supply with 8 8 10 1 3.3 27 90
7 7 3
demand

63
C Speculation 16.
18 60 5 1 3.3 6 20 30 100
influence 7
D Population 26. 26.
1 3.3 8 6 20 8 1 3.3 24 80
growth 7 7
E other 1 3.3 1 3.3 1 3.3 3 1o 6 20

Source : survey result of 2014.

Urban Poverty

In conditions of scarcity, even developed nations cannot give guarantee that their people not to
go hungry. As the last 100 years historical famines research have shown, most of famines did not
originate from lack of availability of food. But they were due to the lack of access to food by the
victims, because of poverty or political disorder (Unity University College, n.d:113).

Though poverty is not the only cause of informal settlement, it has its own major contribution for
the problem. As it is surveyed, 29.8% of the respondents’ daily income is below Ethiopian 14
Birr and few informal settlers (6% respondent) daily income is above 41.7 Ethiopian Birr.
Therefore the majority of the respondents’ income is not enough to feed theme selves and their
families and to fulfill basic needs. So their financial capacity is low to buy legal house from
owners and to get land by lease from the government through auction; even the pre payment to
get plot by organizing self help house association is also beyond the saving capacity of the poor.
This clearly showed that the abuse of human right in general and poverty in particular is one of
the cause informal settlements in the study area because member states of UN especially those
countries like Ethiopia which ratified the ICESCR has an obligation to improve the living
standard of their citizens as much as their economic capacity permit and to the maximum of its
available resources by all appropriate means (Art.2 (1) of the 1966 ICESCR).

Governance and Legal Failure

64
Informal settlements are the products of failed policies, bad governance, inappropriate legal and
regulatory frame works, dysfunctional markets, unresponsive financial systems, corruption and
not least, lack of political will (Tannerfeldt and Ljung, 2006:14).

Although there have been execution problems, policy and legal issues cannot be the cause of
informal settlements in Woldia. Because based on the new urban land lease law the town
administration has become ready to deliver plot of land for house construction to middle income
people who have organized themselves in self help house association / Deputy manager of
Municipality ,interviewee / . Similarly 60% (18 respondents i.e. five of them have strong belief
by its fairness, seven and six of them also believed that somewhat and limited extent of the law’s
fairness respectively) of rural and urban land administration experts also believed that the law
has fulfilled fair distribution of land and related resources among citizens. On the contrary one of
the key informants / interviewee /, 76.9% (40 males ) and 90.6% ( 29 females ) respondents of
the community, FGD participants and 40 % ( 12experts ) respondents of land administration
experts answered that the existing urban land law has not protected the interest of urban poor.
More over as it is surveyed the local authority has being governing the peri- urban land by two
separate laws. i.e. rural land Administration and use law and urban land lease law and urban
planning proclamation arbitrarily / subjectively /. So Article 13 of rural land proclamation no.
133/2006 provided wide / broad rights of the land holders on their holding whereas article 24 of
Urban planning proc. no. 574 / 2008 provided land use restriction clauses on use rights of urban
land holders. Therefore without integrated clear law and without clear responsible organ, sub
urban land has been governed by two separate institutions confusingly (by Municipality and
Urban agriculture office land administration process). Such mode of land policy and law
implementation has its own negative contribution for the expansion of informal settlement in the
study area. Furthermore the deputy manager of municipality and EPLAU’s department head
explained that policy and legal issue cannot be the cause of informal settlement. On the contrary
63.3% ( 19 experts ) respondents answered as state and peoples ownership ( i.e. provided by
article 40 of the FDRE constitution ) became one of the cause of informal settlement of the
study area, where as 36.7% ( 11 experts ) respondents answered that state ownership of land
can’t be a reason for informal dwellings.

65
Unless it is debatable, as different experiences show, the researcher of this paper believed that
state land had been highly exposed to informal settlers than private land holding by various
mechanisms due to different socio-economic and political factors including poor land
administration and management system. So the designing of proper land administration system
and its implementation is one of the significant approaches for the reduction or even for the
elimination of informal settlement.

Valuation process of expropriated land for compensation in the study area is also done by a
committee whose members are appointed by the local administration without full participation of
the right (land) holder. Such monopoly of decisions and denial of the right to participate in
decision that affect the individual fundamental human right goes contra to the principles of
human right approach to development ( Belachew, 2009: 62-63 ). Moreover the right to appeal to
an independent court except relating to compensation is forbidden by Art 29 (3) of the new urban
land lease proclamation no. 721 / 2011. In contrast “affected parties shall have the right to
appeal against separate decisions of compulsory purchase, e.g. Basis of expropriation, cadastral
procedure and compensation (FIG, 2010:21).” As it is surveyed, FGD participants, 88.5 %
males and 81.3 % female informal settler respondents have also believed that unfair amount of
compensation led to informal settlements by subdividing and transferring plots of suburban lands
illegally by the right holders. Similarly 93.3 % (28) respondent experts answered that unfair
compensation had aggravated the expansion of informal dwellings in the study area. Therefore,
“the compulsory purchase process shall be an inherent part of the process of land acquisition
and be exercised in an objective, impartial, independent and ethical manner (FIG, 2010:19).”
On the other hand since 96.7% of experts have responded that lack of land use plan is also the
cause of the problem in the study area. So participatory land use planning is also crucial to
overcome the problems of informal settlement.

Lack of Institutional Capacity and Integration

Institutional strength is of course a feature of governance and one of the major elements to
administer urban and suburban lands. However since governance or politics was merged with
administration, accountability was obscured and municipal functions became extremely

66
bureaucratic and slow in Ethiopia (UN-Habitat, 2007:17). Furthermore many elected officials
simply lacked the required managerial skills. Because of these administrative shortcomings and
lack of basic financial resources, municipalities couldn’t have delivered proper services to the
people (MUDC, 2012:4 & 5). On the contrary, even though there have been some weaknesses in
terms of budget, man power (due to turn over) the institution which had been established to
administer urban and sub urban lands have more or less workable structure and manpower
arrangement to accomplish their aims and goals (Deputy Manager of Municipality & department
head of EPLAU, interviewees) . However these land administration institution have no capacity
( inefficient ) to prevent informal settlements, provide satisfactory service due to corruption, lack
of professional freedom and independent and lack of proper expert or proper man to proper
position especially managerial positions(UN-Habitat,2007; one of key informants). Similarly one
of the elders of the town and owner of formal dwelling (interviewee) explained that there has not
been institutional capacity to provide satisfactory service to the customers of these land
administration institutions. More over 43.3% (13 respondent experts), 38 male and 21 female /
totally 70.2 % / respondents of informal settlers and group discussants responded and described
as these institutions couldn’t prevent informal settlement and have no provided basic social
services due to in efficiency where as 26.9 % ( 14 males ) and 34.4% ( 11 females ) respondents
answered that these institutions have provided basic social services.

Furthermore 23.3% (7 respondents) of urban and rural land administration experts of various
institutions responded that institutions which are established to administer urban and suburban
lands have not proper co- operation for the integrated urban and rural development respectively.
Similarly the head of Zonal EPLAU department and the deputy manager of the town
Municipality /currently Industry Development and service office and process head of land
development and management have accepted the lack of institutional integration. On the
contrary16.7 % (5 respondents) of respondent experts had answered that there has been proper
integration of stake holders of urban and suburban land administration institutions. However 36.7
% and 23.3 % (11 & 7 respondents) of land administration experts had answered that
institutional integration has been at an average and very limited level respectively.

67
Generally though more than 50 % of respondent experts believed as institutional integration
among stake holders have been good, the whole interviewed key informants including the deputy
manager of Municipality and head of rural land administration and group discussants have
believed that institutional cooperation of stake holders of land administration has not been good
or proper for integration development activities. On the other hand 40 % ( 12 respondents ) of
experts had answered as there have not been integration of various rural and urban land laws
whereas 20 % ( 6 respondents ), 23.3 % ( seven respondents ) and 16.7 % ( 5 respondents )
experts believed that there have been integration of different land laws at proper, average and
limited degree respectively. So it is true to conclude and has been identified that absence of
coordination among stake holders of land administration has been also the cause of informal
settlements in the study area. So institutional cooperation and policy and law integration are
decisive factors for integrated urban and rural development

68
Figure 4.5: Photo showing FGD participants of informal settlers.

Source: Survey result of 2014.

Population Growth and Urbanization

Due to the number of people born in cities increase and as people continue to be migrated from
rural areas, urban populations have increased in the last five decades and will continue at least
for the coming three decades ( UN-Habitat , 2003: xxxi). That is why the population number of
the study area is increasing from time to time. Similarly urban sprawl has increased due to poor
land management and / or land administration in general and lack of land use plan in particular.

69
As it is surveyed , though 20 % of them rated it as a third level cause, 80% ( 24 respondents ) of
land administration experts responded that population growth is one of the cause of informal
settlement in the study area ( see table 4:6).

Table 4.6: Total Population of Woldia Town from 2011-2012.

Year Urban and Rural Urban Kebeles Rural kebeles population

Kebeles’ Population Population
Total Male Female Total Male Female Total Male Female
2011/201 54533 27141 27394 38011 18599 19412 16520 8539 7979
2
2013/201 58367 29030 29337 41343 20230 21113 17024 8800 8224
4
Source: Woldia Town Administration Finance and local economy Development office.

4.4.2. Impacts of Informal Settlement

[

Different literatures stated that about various positive and negative consequences of informal
settlements indifferent developing countries of the world. Similarly the researcher of this paper
identified various consequences of informal settlements in Woldia town such as lack of tenure
security, economic loss, social costs, environmental degradation, and encroachment of
agricultural land; on the contrary informal settlement became a means of shelter for the poor
people (see table 4:7). These specific results of informal settlements have a direct correlation
with fundamental human rights and property right of the informal setters and the general
dwellers of the study area.

Table 4.7: The consequences of informal settlement on the local community according to sample
experts.

Levels of impacts

1st 2nd 3rd 4th 5th

70
 Negative No. of No. of No. of No. of No. of
responde responden responden responden respond
impacts
nts ts ts ts ents
N c
c c c c
o. o
o o o o
% % % % u %
u u u u
n
nt nt nt nt
t
A Encroachment of 26.
12 40 8 3 10 1 3.3 1 3.3
agricultural land 7
B Reduction of 36.
11 9 30 1 3.3 2 6.7 1 3.3
attractiveness of town 7
C Environmental 26.
2 6.7 8 12 40 1 3.3 1 3.3
pollution 7
D Local insecurity 13. 16. 36.
4 5 11 3 10
3 7 7
E Theft and robbery 46.
2, 6.7 2 6.7 6 20 14
7
F others
Source: Survey result of 2014.

Tenure Insecurity

Although informal settlement is a means of shelter for poor people, the owners and their families
are always unstable due to eviction and other harsh measures that will be taken by the local
government. Because of this most of them are not active to invest more on their house.

As the researcher has surveyed 69 % (36 male and 22 female) respondents of informal settlers
have not a feeling of stability due to lack of guarantee about their houses. Similarly 43.3% of
respondent experts labeled lack of tenure security as the most and the first consequences of

71
informal settlements. However 90% (27 experts) of respondent experts answered that informal
settlement has resulted in tenure insecurity on informal dwellers. More over group discussants
considered or expressed themselves as a pregnant woman to show their tension and stress till the
local government take its decision. So the realization of many human rights will be in question
where security of tenure is lacking / Belachew, 2009:78 /

High Economic Loss

Most informal dwellings had been constructed in isolated areas from the center of the town. So
the settlements are not accessible to infrastructure and basic social facilities. To get some of the
services that can be affordable individually they have been paying high cost for those services.
So this high cost has negative impact on the settlers’ food security and showed how their
fundamental rights are denied. On the other hand as the researcher has observed in the field that
local government has being losing much money to demolish those houses.

Generally the settlers have lost much money for basic services and to build that demolished
house. At the same time the general public also lost much money for data gathering and
demolishing in formal houses.

High Social Cost

Social interactions of informal settlers is hindered by manmade such as lack of road net work
and physical / natural / barriers like seasonal streams flood, rain etc from their relatives of inner
town. More over group discussant stated that the kebele guards and settlers see each other as a
dangerous enemy. Therefore the settlers have lost mental and psychological needs /satisfaction /
because of those natural and manmade barriers. So residents of informal dwellings who have
only informal rights to their land and homes can be considered to be entitled to assistance,
especially if they are poor and had no alternative possibility for accommodation (FAO,
2009:37 ).

72
 Environmental Degradation

As it is found out by this research, because of poor waste management various solid and liquid
wastes are introduced to the nearby stream that passes through the center of the town and the
surrounding small urban agriculturalists used the polluted water for cultivation of vegetables and
their domestic animals. In addition due to absence of permanent waste disposal site the
surrounding farm land’s soil has polluted (even if the degree of pollution needs research) by
different plastic materials which had been used for various purposes. More over informal
dwellings of the inner areas of the town are polluted because of poor solid and waste
management. Because of this the settlers’ health condition is at a great risk. So the settlers’ right
of living in a clean and healthy environment is denied though the dwellers themselves have
obligations to protect their environment.

Encroachments of Agricultural Land

Fortunately most of informal houses are constructed on sloppy and eroded areas that have been
used mostly for common grazing land for the two rural kebeles /Jeneto Ber and Mehal
Mechare/. But it doesn’t mean that informal dwellings are not all in all constructed on fertile
agricultural land. Because undeniable hectare of crop land is also invaded by informal dwellings.
So it is obvious that agricultural production has been reduced by such trend of settlements in the
study area. Even though it needs research, it is not difficult to think that informal settlement have
been resulted shortage of food crops in the local market together with other causes of market
failures. As the result of this the opportunity to get easily food crop by the whole community and
informal settlers became affected. So by respecting property rights and other human rights of the
settler the government in general and the local authorities in particular have to establish proper
land management system ( see figure 4:6).

73
Figure 4.6: Photo showing encroachment of agricultural land.

Source: Survey result of 2014.

4.5. Stake Holders on Land Administration and Their Point of View

about Informal Settlement

Different organizations, nations including many developing countries and individuals have
changed their attitude from absolute negative to positive in some aspects about the impact of
informal settlements (Ferguson, 1996:172). However it is found out by this research that local
government in general and stake holders on land / for instance the response of some experts, the
head of municipality and rural land administrators / have still considered informal settlements as
ruined and totally obstacles for development. But various experts who are working on rural and
urban land administration have not uniform perception and outlook about informal settlement
and its impacts. Because 50 % (15 respondents) of experts simply opposed forced eviction and

74
60 % ( 18 experts) of respondents criticized the demolition of informal dwellings due to its high
contradiction with property right of individuals and 13.3 % ( 4 ) of experts perceived as
demolition and forced eviction has limited contradiction with human rights in general and
property right in particular . More over 56.7 % (17 experts) of respondent experts perceived that
demolition of informal dwellings is an abuse of human rights. On the contrary 43.3 % (13
experts), 30 % (9 experts) and again 30 % ( 9 experts) experts responded that forced eviction as
the best solution, as there is no relationship between forced eviction and human rights and
forced eviction has not relation with property right of evicted informal dwellers respectively.

4.6. Measures Taken By Local Government

Informal settlement is not a new event to the study area. So different interventions had been
taken place on informal dwellings by the local government. As survey evidences showed, the
local government had not carried out uniform measures in all kebeles of the town on informality.
According to 6.7 %, 53.3 %, 30 %, 6.7 % and 3.3 % respondent experts the common measures
which have been taken by the local governments are forced eviction, rare case demolition,
observing silently, regularization and other measures respectively.

Generally the measures which are taken by the local government on informal settlement range
from regularization, simple warning, detention, to demolition (see figure 4:7).

75
Figure 4.7: Experts response on measures that have been taken on informal settlement.
Source: Survey result of 2014.

A. Regularization

The local administration of the study area had identified informal houses in type ( i.e. totally
illegal and partial illegal ) in the rural and in the inner area kebeles in the year 2011. After
gathering the data the local government regularized 243 micro business centers that are
constructed near the landholders’ residential houses on legally held plot without authorized
permission by penalizing and pushing them to be certified with legal trade license (Municipality,
2011:4). More over the local government updated the collected data about informal settlement
till April 2014 and identified 1475 informal dwellings (un authorized settlement based on urban
planning laws) in the down town and suburban seven kebeles. After enumerating informal
houses, Industry Development and Service Office (Municipality) has measured the size of each
land holding and surveyed road networks based on structural plan of the town. In addition to this
though most dwellers are initially legal holders of the plot by rural land law, the mayor’s
committee of the town decided all houses as informal since starting from 2009 these kebeles are
included under the town administration; and out of 1475 houses only 1276 houses has been
regularized by making the house owners to pay 16% of the lease price and the accumulated land
tax of the parcel as penalty (Deputy Manager of Municipality, interviewee). Furthermore the
deputy manager of the Industry Development and Service Office ( Municipality ) also said that
since these rural kebeles had included to the town administration in 2009, houses constructed
before and after the given period without the permission of the town administration ( building
permit ) are illegal.

B. Prevention
According to focus group discussants, 78.8% ( 41 males ) male and 75 % ( 24 females )
respondents of informal settlers and 70 % experts though from the beginning preventive
measures were too weak, the construction of new informal house and other developments

76
became highly reduced by strict follow-up of kebele guards ( as group discussants said still
partiality is reflected ) within the last two years.

C. Demolition

From 1475 illegal houses the mayor’s committee had decided that 199 houses should be
demolished with in short period of time without any compensation. /i.e. started from the second
week of April 2014/ (Deputy Manager of Municipality, interviewee). The reason for the
demolition of these houses is the mismatch of their position (but not house standard) to the
towns’ structure plan in general and road network in particular. However, the two key informants
(interviewees) strongly criticized the planned measure (especially demolition of houses) due to
the legal base of the local government, economic and social costs of the settlers.

Similarly FGD participants, 82.7 % (43 males) male and 100 % (32 females) female community
respondents / informal settlers / are also criticized forced eviction of informal dwellings.

As it is observed in the field demolition campaign of the local authority has started in the second
week of April and demolished informal dwellings in Mehal Mechare, and other suburban areas
by the help of bulldozer and other modern machines ( see figure 4.8 A & B).

The researcher of this paper has believed that the action of the local government is against
Fundamental human rights and property rights of the settlers, due to the following reasons.

 Although the regularization of 1276 houses is good, penalizing the owners 16% of the
lease price and collecting cumulative land tax of the previous years have not legal base
because the given action must be taken place on squatter settlers and other illegal owners
based on the new urban land lease law. But most these settlers are not illegal though the
municipality labeled them as informal settlers based on urban planning proclamation.

As it is surveyed most of the settlers are certified rural land holders based on federal and
regional rural land laws. More over their land transactions (except 2.4 % respondents) have

77
also legal base. Though farm lands are granted to farmers for agricultural purposes,
according to ANRS Rural land Administration and use proclamation no. 133 / 2006:

 “Any person provided with rural land holding may as stipulated under the law
transfer, his holding right in bequeath or donation /Art. 15 /1/.”

 “ Where there is no land use plan prepared in writing by pertinent body, any land
user may use his land for house construction, farming, animal husbandry, forestry
development or for other related same activities /Art. 13 (5) /.”That is why the
researcher of this paper has argued that most settlers have legal base for the
construction of their house though Industry Development and Service Office
labeled them as informal settlers.

 Demolition of those 199 houses without compensation by itself is also against

fundamental International human rights, property right and the FDRE constitution
because :

Every Ethiopian has the right to the ownership of private property.

i.e. … any tangible or intangible product which has value and is
produced by the labor, creativity, enterprise or capital of individual
citizen, associations which enjoy juridical personality under the law,
or inappropriate circumstances, by communities specifically
empowered by law to own property in common . More over Ethiopian
peasants have the right to obtain land without payment and the
protection of against eviction from their possession. In addition to this
every Ethiopian shall have the full right to immovable property he
builds and to the permanent improvements he brings about on the land
by his labor or capital. … the government may expropriate private
property for public purpose subject to payment in advance of
compensation commensurate to the value of the property / FDRE
constitution art. 40 (1, 2, 4, 7 and 8).

78
Of course, since the rural kebeles had been administered by rural land administration
laws before they included to town administration, the incompatibility of settlements
arrangement and structure with urban planning laws is unavoidable. So reshaping of
the dwellings by respecting the settlers rights based on proper laws is necessary here.
i.e. by identifying legal holders by rural land law and choice less informal settlers
from speculators or other land grabbers taking selective demolition may be proper.
“Everyone has the right to own property alone as well as in association with others
and no one shall be arbitrarily deprived of his property (UDHR,1948: Art 17(1& 2).”

The local government had simply marked red color on the houses which must be
demolished and gave warning the settlers on public meeting to pick up their objects of
property and started demolishing without considering legal rights of citizens in
general and their property right which is provided on article 17( 1 ) & ( 2 ) and art
40 of International law and the FDRE constitution respectively in particular.

Access to land is one of core elements of poverty reduction strategy; that is why the
Ethiopian poverty reduction strategy has considered land access as a significant factor
in the endeavor to end poverty. So considering the right of land is another issue from
human rights perspective way of addressing development and poverty reduction
concerns / Belachew, 2009: 64-65 /. “ Moreover the right to property is also an
intrinsic element of other specific rights like housing, food etc embodied in 1966’s
ICESCR / Ibid, 2009: 49 /. ” So when individuals and groups un able to get the social,
economic and cultural rights for their life since government and the whole society
have capacity than poor individuals they have to support and facilitate through
different mechanisms until those individuals or groups help themselves (worku,
1993: 51). Instead the local government of the study area has being abusing human
rights / principles of ICESCR / of the settler by changing them from land holder to
land less.

79
Figure 4.8 A: Photo showing demolished house on April 15 / 2014 in Mehal Mechare Kebele

Source: Survey results of 2014.

80
Figure 4.8 B: Photo showing demolished house on April 15, 2014.

Source: survey result of 2014.

81
CHAPTER FIVE

5. CONCLUSION AND RECOMMENDATION

5.1. Conclusion
Based on those framed policies, strategies and laws various urban and rural development works
have been carried out by various governmental and nongovernmental organizations throughout
Ethiopia in general and the study area in particular.

Though there have been some spatial improvements in urban center of the study area, especially
in construction sector, as it is surveyed that system of urban development in general and housing
policies in particular couldn’t solve the problem of land access and /or right to house for low and
middle income people of the town.

Since the objective of this research is to study about the cause and impact of informal settlement,
the researcher has found out the major cause of informal settlement such as lack of land access,
governance and legal failure, lack of institutional capacity and cooperation, urban poverty,
population growth and urbanization. Moreover as it is surveyed, tenure insecurity, economic
loss, social cost, environmental degradation and encroachment of agricultural land are the main
impacts of informal settlement in the study area.

Even though land access is the major means of shelter for urban poor, my study found out that
lack of land access for the poor and medium income citizens of the study area is one of the main
cause of informal settlement. Because as it is surveyed, since the daily income of 29.8% informal
settlers’ is below 14 Ethiopian birr, taking urban land by legal lease tender and self help house
association is beyond their financial capacity. In other words according to 76.7 % respondent
experts, 66.7 % community respondents and the whole group discussants, the local government
couldn’t provide house and/ or plot of land for the low and middle income people by considering
their purchasing power.

82
Based on survey result of this paper governance and legal failure or inefficiency is another cause
of informal dwellings in the study area. As it is surveyed that majority of male and female
sample respondents of informal settlers / i.e. 76.9 % male and 90.6 % female community
respondents /, 40 % respondent experts, group discussants and one of the key informants
answered as the existing urban land laws couldn’t protect the interest of urban poor. For
instance, unfair amount of compensation for expropriated land holders is the result of unfair law;
that has contributed for illegal sub urban land subdivision by land holders. Moreover lack of
integration of rural land and urban land laws and implementation problems resulted in informal
settlement; i.e. it is proved and found out that at least there is an ambiguity and / or at most
contradiction among different articles of rural and urban land laws which are indicated in this
paper.

Lack of proper internal institutional structure and cooperation are causes of informal settlement
and highly contributed for the intensification of informal dwellings in the study area. Based on
survey result of the study, the whole key informants / including the heads and vice manager of
rural land administration and use office and Industry Development and Service Office
respectively /, 40 % respondent experts and FGD participants responded that institutional
cooperation was almost nonexistent among stake holders of urban and rural lands.

Due to lack of land access, failure of governance /such as policy and legal in efficiency,
institutional in efficiency / population growth and urbanization, poverty and related factors,
informal settlement became one of the major problem of the town because various complicated
problems or impacts such as tenure insecurity, environmental problems, social and economic
problems which have direct correlation with Human Rights are happened.

Based on the finding of my research, tenure insecurity is one of the problems and consequence of
informal dwellings. Because the fear of forced eviction by the local government makes the
informal settlers and their family unstable. Due to this reason, 69% informal settlers, the whole
group discussants and 90% of respondent experts responded that informal settlers lack tenure
security.

83
The researcher of this thesis found out economic burdens are the problems of informal settlers
which are caused by informal settlement itself. Because as it is surveyed, due to lack of basic
facilities in informal areas, informal dwellers have been losing much cost to get basic services.
Moreover these informal settlers have lost much money to construct the demolished house.

Based on the research findings or as it is surveyed that social burden is also the other impact of
informal settlement in the study area. Because of discontinuity or isolation of informal
settlements from the inner area by natural and manmade barrier, the settlers’ social relation and
access of basic social services are hindered. As it is found out, 51.2 % of informal settlers
responded that the government didn’t supply infrastructure like road and basic social services
such as health service, clean water. Moreover the social relation of informal settlers with kebele
guards and other government organs is disturbed because of demolition and other government
measures on informal dwellings. Therefore informal settlers lose high social and psychological
values and/ or satisfactions.

It is proved that environmental pollution and encroachment of agricultural land are also the
impacts or consequences of informal settlement. Because due to lack of sewerage facilities and
poor waste management system, the nearby stream, the settlers compound and the surrounding
farm land are polluted by different worn out plastic materials and other solid and liquid wastes
which is discharged from settlers’ home. Due to this reason the health condition of informal
settlers is at risk. Moreover due to the encroachment of agricultural land by informal settlers, the
amount of agricultural production is affected.

Though, informal settlements caused great problem in the study area, measures which have been
taken by the government at its different hierarchies are inefficient; the provision of house or land
access for the poor is not successful in the study area. So to bring basic solution for the problems,
the local government has to also consider other curative measures in addition to sustainable
preventive interventions which presuppose human right principles.

84
5.2 Recommendation
Though, humanitarian, ethical, religious, sociopolitical, economic, and environmental
arguments are the major justifications for regularization policies of informal settlement; now
days, arguments for regularization are also based on the legal notion of the social function of
property. Especially International laws like Universal Declaration of Human Rights,
Different Covenants of UN and other regional human rights conventions are the most legal
foundations of the legal functions of property.

According to the finding of this research, socio economic, infrastructure and basic social
services are below to acceptable level in informal dwellings. Therefore Pro -poor urban
policies need to address issues such as the fundamental lack of safety and security and
provide protection against forced eviction, corruption, violence and other risks confronting
the urban poor. In addition to this, harassment of the informal sector has to stop; affordable
land, housing option and basic services should have to be made available .Furthermore
education and health services must also be provided for those living in informal settlements.

Generally, the finding of the research revealed that the abuse of Human rights and property
right are happened in the specific locality due to failure of governance, lack of land access,
institutional cooperation and lack of proper institutional structure. So, though Ethiopia is one
of developing and poorest country of the world, as its capacity and potential permits the
country has to take positive and sustainable solutions by taking universal commitment at all
levels including the study area. Because Ethiopia is signatory or party of the various
international and regional Human Rights conventions such as Universal Declaration of
Human Rights, International covenant on Civil And Political Rights, International Covenant
on Economic, Social and Cultural Rights and African Charter On Human and Peoples’

85
Rights and gave constitutional recognition for those international conventions and
declarations.

Thus based on the above Findings and arguments, the researcher has suggested the following
recommendations.

 Proper land administration and management system has to be established to

administer urban and sub urban lands by designing clear and explicit institutional
responsibility and laws.

 Aware legal land use rights and obligations of sub urban land farmers (which are
included to the town administration) by proclaiming clear land law and preparing
participatory land use plan.

 Making international cooperation for Human Right and developmental issues by

respecting and / or accepting international norms and standards by reconsidering
national laws and practices.

 Providing infrastructure and basic social services for informal areas by setting
development priority, controlling public finance expenditure and minimizing
corruption by making accountable public officials and through independent control
system.

 Reconsidering various national laws such as valuation and compensation laws, Rural
and Urban land administration laws, NGOs and Civic Associations laws, by making
cooperation with professionals, opposition political parties and participating the
people during law drafting and adoption process to provide sustainable preventive
measures for informal settlement, to establish proper land management and to make
sure progressive human rights protection and general good governance.

 Providing saving house with reasonable amount of rent and plot of land to construct
shelter to poor and middle income people by making subsidy and providing special
loans for the poor by fund raising from international organizations.

86
 Integrating stake holders on rural and urban land administration by providing clear
law and establishing integrated institutional structure or integrated local development
team for proper urban development.

 Enhancing the capacity of land administration experts of various institutions and

executive organs or generally local governments through training, institutional
support and research on human right issues like it’s source, international norms, its
parameters and relation with land and other properties at various levels and what is
going on in the world.

 Applying sustainable and effective remedial or curative measures on informal

settlement other than demolition and forced eviction (but in rare case demolition may
be necessary) by participating community especially for the right of choice less and
poor citizens but not for speculators who squat government or private land to
accumulate additional wealth.

 Conducting detail research work on the issue especially on the cause of informal
settlements and discussing with various parts of the people to give sustainable
solution for the problems.

87
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rights: the case Of Kampala, Uganda [ Electronic version ]. Environment &

Urbanization, 19 (2), 509.

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Pankhurst, R. (1966). State and Land in Ethiopian History. Addis Ababa: Haile
Sellasie I University, The Institute Of Ethiopian Studies and The Faculty of Law.

Provisional Military Administrative Council. (1975). A Proclamation to provide for the

Government Ownership of Urban Land and Extra Urban Houses, Proclamation
No.4 7/1975. Negarit Gazeta. Year 34th, No. 41.

Provisional Military Administrative Council. (1975). A proclamation to Provide for the Public
Ownership of Rural Lands,Proc.No.31 /1975. Negarit Gazeta, No.34.

Singh, Y.K. (2006). Fundamentals of Research Methodology and Statistics. New - Delhi: New
Age International (p) Ltd.

Šliužas,R.V. (2004).Managing Informal Settlements: A Study Using Geo-Information In

Dareselam, Tanzania .

Statisticshowto.com.(n.d). How-to-Use-Slovins-Formula. Retrieved February 3, 2014

from h ttp://www.statisticshowto.com/ /

Tannerfeldt, G. and Ljung, P.(2006). More Urban- Less Poor: An Introduction to Urban
Development and Management. UK and USA: Earth Scan.

United Nations. (1948). Universal Declaration of Human Rights, Adopted and Proclaimed by
General Assembly, Resolution 217 A (III) of 10 December 1948.

United Nations. (1966).International Covenant on Economic, Social and Cultural Rights, G.A.
res. 2200A (XXI), 21 U.N. G.AOR Supp. (No. 16) at 49, U. N Doc. A / 6316 (1966), 993
U.N.T.S 3, entered in to force Jan. 3, 1976.

UN-Habitat. (2003). The Challenge Of Slums [Electronic version]: Global Report

On Human Settlement.

UN-Habitat. (2007).Situation Analysis Of Informal Settlements In Addis Ababa :Cities

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 With Out Slum. Nirobi: UN-Habitat.

Unity University College. (n. d ). Human Rights Law 204. School of Distance and Continuing
Education, Course Material. Unpublished paper.
f

Woldia Town Administration Finance and Local Economic Development Office (2013). Socio-
Economic Recording. Unpublished Document.
g

Woldia Town Administration Municipality. (2011). Discussion Paper on Illegal Settlement and
Related Issue. Unpublished paper.

ii

Woldia Town Administration Speaker of the Town Council. (2011).Socio-economic Recording.

Unpublished Document.

Worku Ferede. ( 1993 ). Sebawi Mebitna Democracy [ Human Right and Democracy ]. Addis
Ababa: Bole Printing Enterprise.

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 ANNEX

An English version of Questionnaire to sample households, experts, FGD participants and key
informants.

BAHIR DAR UNIVERSITY

INSTITUTE OF LAND ADMINISTRATION
POST GRADUATE PROGRAM
ANNEX - A

93
Questionnaire Designed for House Hold respondents and Land Administration Experts.
Dear respondent,
I am a graduate student at Bahir Dar University Department of Land Administration and
Management, and currently I am carrying out a research on informal settlement in Woldia
town. So to provide recommendation for this crucial issue by identifying its causes and
impacts, you have chosen as a respondent of this questionnaire to provide relevant
information. I believe that you have important information on this topic for the
accomplishment of the research. Although you are very busy, I shall be very grateful if you
would devote part of your busy time to complete the attached questionnaire to enable me
complete the research project successfully. The questionnaire is designed for research and
academic purpose only.
Thank you for your cooperation.

Section “A” Questionnaire for informal settlers or dwellers.

Part I. Personal back grounds.

1. Sex ------- Age --------

2. Academic Level ---------------
3. Occupation ------------------
4. Monthly income/ in birr / ------------
5. For how many years do you live / use / in this house? ----------
6. Marital status --------------

7. Number of households male------- female ----- total --------

Part II. Questionnaire prepared to identify the cause of informal settlements

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Rule ፡ Please put “  “ mark for the answer you think the best choice on the provided space.

1. Do you know that informal settlement mean any building which is constructed on public,
private or communal land without the consent of the owner or holder or on ones own
holding against urban planning proclamation?
A. highly ----
B. to some extent ----------
C. I don’t know ------
2. In what way did you get the land on which you had been built a house?
A. buying from individual –-------
B. by donation ------
C. by squatting -----
D. by succession -----

E. by state grant ---------

F. by leases / rent …..

G. by exchanging plot by plot -----
H. by other means -------
3. If you constructed a house on squatted land, what did you initiate for informal
settlement?
A. shortage of house ----------
B. high house rent --------
C. to get additional wealth ---------
D. Lack of immediate response by government institutions for proper
Services -----
E. other reason
4. Do you believe that is it proper to construct a house anywhere without authorized
permission of pertinent organ?
A. yes ------ B. no ----
5. If your answer is no for number “4” did you try to get recognition by pertinent organ?

95
 A. yes ----- B. no -----
6. Do you think that informal settlement becomes decrease from time to time?
A. highly ---- C. Strongly disagree ----
B. to limited extent ----
7. Do you believe that the government / municipality and concerned organ / is supplying
house or plot of land for low and middle income citizens by considering their economic
capacity?
A. Strongly agrees --------- C. Strongly disagree ------
B. agree -------- D. undecided --------

8. Do you believe on that the amount of compensation which had been paid by the
government for expropriated individuals / for expropriated house or farm land / is faire?
A. excellent --------- C. good ----- -

B. very good ----- D. unfair ------

9. If your answer is unfair for number “8” do you think that it can be the cause of informal
settlement?
A. strongly agree ---------
B. agree --------
C. strongly disagree ------
D. undecided -------

10. Do you believe that there is any corrupt practice and improper work trend in this town?
A. highly ----------
B. to some extent ----------
C. strongly disagree ------
11. If your answer for number “10” is that there is corruption and improper work trend,
do you think it is the cause of informal settlement?
A. highly ----------
B. to some extent ----------

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 C. strongly disagree ------
12. Do you believe that an organ that is assigned to administer urban land and rural land
which is included to urban is giving proper land related services / questions / for the
people?
A. highly efficient ------
B. efficient ------------
C. inefficient --------
13. If your answer is inefficient for number “12”, can it be the cause of informal
settlement?
A. highly ----------
B. to some extent ----------
C. strongly disagree ------
14. Do you believe that public officials or politicians are the participants or actors of
informal settlement?
A. Strongly agree ------
B. agree ----------
C. to some extent ---------
D. strongly disagree ------

Part III. Questionnaire prepared to identify the consequences of informal settlement.

1. Do you believe that informal dwellings and settlers have significance for the town’s
development?

A. Strongly agree ------

B. to some extent ---------
C. strongly disagree ------

2. Do you think that informal settlements have importance for lively hood improvement of the
settlers themselves?

97
 A. highly significant --------
B. significant ----------
C. no significant at all ----------

3. Do you believe that informal settlements have / had peace and security problems on informal
settlements themselves?

A. strongly agree ------

B. to some extent ---------
C. strongly disagree ------

4. Did informal settlement bring security problem on the overall community of the town?

A. highly
B. to some extent
C. no problem at all
5. Do you think that informal settlement have brought problem on the attractiveness of the
town?
A. Strongly agree ------ C. to limited extent ------
B. Agree --------- D. strongly disagree -------

Part IV. Questionnaire designed to study measures that have been taken by government on
informal settlements.

1. Do you believe that the government had provided infrastructure, basic social services and
facilities / institutions / for informal settlements?
A. Highly ……….
B. To limited extent ………
C. Nothing is done …….
D. Undecided …………
2. Do you believe that the government had taken measure / solution / on informal
settlements?
A. Highly ……

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 B. To some extent ……..
C. Nothing is done ……
3. If your answer is positive for no. ‘2 ’, what kind of measure did the government take?
A. Relocation / giving replacement place/ …..
B. Regularizing …….
C. Upgrading based on the town’s structure plan …..
D. Forced eviction …..
E. Other solution …….
4. Is it necessary to demolish informal dwellings and evict forcefully the informal settlers?
A. Highly necessary …..
B. Sometimes necessary …..
C. Totally unnecessary ……..
5. As any dwellers of the town do the government and informal settlers have regular
relations in developmental activities as well as different common issues?

A. Strongly agree …..

B. Agree ……..
C. Sometimes ……….
D. No relation at all ……..
6. What do you want from the government concerning about your house?
A. Getting legal recognition as it is …..
B. Relocation …….
C. Shaping your house according to structure plan of the town …
D. Other …….
7. Do you have any guarantee or stability on your informal dwelling that you get by
informal means?
A. Highly stable …..
B. Stable ……..
C. To limited extent ……
D. No sense of ownership and stability at all …

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 Part V. Questionnaire designed to evaluate the land administration law that has governed
farmers of peri-urban areas which have been included to the town administration.

1. Are those farmers which have been included to town administration beneficiary by their
inclusion under the town administration?
A. Highly beneficiary ……
B. Beneficiary ……
C. To some extent …..
D. No benefit at all …..
2. Do you believe that the work trend which suburb kebeles’ dwellers / which are included
to the town administration / have been led is the cause of informal settlements?
A. Strongly agree ……
B. Agree ……..
C. To limited extent …..
D. Strongly disagree ……
3. Do you believe that the current urban land law has protected the right of land access or house
for the low income segment of the people?
A. Strongly agree ……
B. To some extent ……
C. Strongly disagree ……
D. Other …..
4. If you answered no. “3” above negatively, do you think that the law can be the cause of
informal settlements?
A. Strongly agree ……
B. To some extent ……
C. To limited degree ….
D. Strongly disagree ……
E. Other …..
5. If you have additional general suggestions or responses on informal settlement explain
here.

100
---------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------

Section “B” Questionnaire designed to workers of stake holders of urban and rural land
Administration. Rule ፡ Please put “  “ mark for the answer you think the best choice on the
provided space. In addition to this, on the given space, put answer that you think proper.

Part I. Respondents back ground information.

1. Respondents sex --------------

2. Name of Institution ------------------------

3 Field of Study -----------------------

Part II. Questionnaire designed to identify the causes of informal settlement.

1. Do you know that informal settlement mean any building which is constructed on public,
private or communal land without the consent of the owner or holder or on ones own
holding against urban planning proclamation?
A. highly ----
B. to some extent ----------
C. I don’t know ------
2. Why do informal settlers prefer to live or settle on unauthorized area? Label or prioritize
the reasons by saying first, second etc that you think proper in the table. / If the level of
reason is the same, it is possible to give the same rank /.

No. Causes of informal settlement in the town level

Lack of economic capacity of low and middle income people to take
A

101
 land by lease
B Imbalance of land demand and supply
C The need of un lawful enrichment
D Shortage of land due to population growth
E Other --------------------------………………………………….
-----------------------------------------------------
------------------------------------------------

3. Do you think that state and people ownership of urban land / illegality of selling and
buying of bare land / is the cause of informal settlement?
A. Strongly agree -------
B. Agree ………
C. Strongly disagree …….
4. Do you believe on that the amount of compensation which had been paid by the
government for expropriated individuals / for expropriated house or farm land / is faire?
A. Highly fair --------
B. Fair ---------
C. Unfair -------
D. Other ---------
5. If your answer is unfair for number “4” do you think that it is the cause of illegal land
selling and informal settlement?
A. Strongly agree ---------
B. Agree --------
C. Agree to limited extent ------
D. Strongly disagree -------
6. Do you believe that the government / municipality and concerned organ / is performed
its responsibility by providing or supplying house or plot of land for low and middle
income citizens by considering their economic capacity?
A. Strongly agree ---------

102
 B. agree --------
C. Strongly disagree ------

7. If you answer negatively for no. “6”, do you believe that the problem is the cause of
informal settlement?
A. Highly ---------
B. To some extent --------
C. No relation at all --------
D. Other --------
8. Is the lack of land use plan in urban as well as those rural kebeles which are included to
the town administration the cause of informal settlement?
A. Highly ---------
B. To some extent --------
C. No relation at all ……
9. Do you believe that the prevention of informal settlement had been carried out early in
the town?
A. Highly ---------
B. To some extent ---------
C. Nothing is done -------
10. Can corruption be the cause of informal settlement in the town?
A. strongly agree ----------
B. to some extent ----------
C. strongly disagree ------
11. Do you believe that public officials or politicians are the participants or actors of
informal settlement?
A. Strongly agree ------
B. To some extent ---------
C. Strongly disagree ------

103
 Part III. Questionnaire designed to study measures which have been taken by executive
organs on informal settlement

1. Do you believe that solution measures have been taken on informal settlements by the
government?
A. strongly agree ------
B. to some extent ---------
C. strongly disagree ------
D. other ………

2. If you said that solution measures had been taken, what kinds of measures were taken?

A. relocation ------

B. Simply recognition /regularization on site / --------

C. Making compatible with the town structure plan ---------

D. Observing carelessly ---------

E. Other --------

3. What is the usual measure that has been taken by the government on informal settlements in
the town?

A. Forced eviction ------

B. Rare case demolition ----------
C. Observing silently ---------
D. Regularizing ------

E. Other ------------------

4. Do you believe that the government had provided infrastructure, basic social services and
facilities / institutions / for informal settlements?

A. Highly ……….

104
 B. To limited extent ………
C. Nothing is done …….
D. Other …………

5. As any dwellers of the town, do the government and informal settlers have regular
relations in developmental activities as wel as different common issues?

A. Strongly agree …..

B. Agree ……..
C. No relation at all ……..

Part IV. Questionnaire designed to assess the outlook / perception / of municipality and other
stake holders on informal settlement.

1. Do you believe that demolishing informal settlements and forced eviction of the settlers
is proper?
A. Strongly agree ---------
B. To some extent ---------
C. Strongly disagree --------
D. Other -------------
2. Do you believe that demolition of informal dwellings and forced eviction of settlers has
correlation with fundamental human rights?
A. Strongly agree --------
B. Agree ---------
C. To some extent ---------
D. To limited extent ------
E. No correlation at all -------
3. Do you think that demolition of informal dwellings is against the property right / house
ownership rights / of low and middle income groups of the people?
A. Strongly agree --------
B. Agree ---------
C. To some extent ---------

105
 D. To limited extent ------
E. No correlation at all -------
4. Do you believe that the current urban land laws protect the benefit or equal and fair
distribution of land and related natural resources of low and middle income communities
of urban and newly included to town peri-urban peoples with wealthy groups?

A. Strongly agree --------

B. Agree ---------
C. To some extent ---------
D. To limited extent ------
E. strongly disagree ……..

Part V. Questionnaire designed to identify the various impacts of informal settlements.

1. Do you think that informal settlement resulted in negative impacts on the settlers
themselves?
A. Highly ---------
B. Some what ----------
C. No negative impact at all --------
D. Other ----------

2. If you believe as informal settlement resulted in negative consequence on the settlers

themselves, label the listed impacts based on their degree of severity, by saying first,
second, etc.

No. Impacts of informal settlement Level

A Health and environmental sanitation problems
B Infrastructure development problem \ example, road
C Problem of basic social services and facilities \ like health service
D Local peace and security problems
E Un stability and tenure insecurity
F Theft and robbery

106
 G Other/ list and label it
----------------------------------------------------------------------------
----------------------------------

3. Do you think that informal settlement resulted in negative impacts on the whole local
communities / settlers /?
A. Highly ---------
B. Some what ----------
C. No negative impact at all --------
4. If you believe as informal settlement resulted in negative consequence over the whole local
community, label the listed impacts in the table based on their degree of severity, by saying first,
second, etc.

Part VI – Questionnaire designed to evaluate integration of stake holders on the administration

of urban and peri-urban land, integration of various laws on the issue.

1. Do you believe that Municipality and institutions that had been established to administer
peri urban lands which are included and ready to be included to town administration are
carrying out integrated urban and rural development activities?
A. Strongly agree ------
B. Agree ------
C. Somewhat ------
D. To limited extent ------
E. Strongly disagree ------
F. Other −−−−−−
2. Do you think that urban and rural land administration laws are integrated to administer
suburb lands which are included to town administration?
A. Strongly agree ------
B. Agree ------

107
 C. Somewhat ------
D. To limited extent ------
E. Strongly disagree ------
F. Other −−−−−−
3. Do you believe that institutions which had been established to administer urban and
suburb lands which are included to town administration have organizational efficiency to
prevent informal settlement and to provide proper service for the need of the society?
A. Highly efficient ----
B. Efficient -----
C. To some extent
D. Highly inefficient ------
E. Other −−−−−−−−−
4. If you have additional comments please explain here.
––––––––––––------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------

ANNEX - B

Guides or questionnaire designed to FGD participants of informal settlers to identify the causes
and impacts of informal settlements, assess the integration of stake holders, policies and laws to
administer urban and suburb lands, to evaluate the intervention of local government on informal
settlement.

1. What is informal development / settlement? Which types of building can be

included to informal settlement?
2. What are the causes of informal settlements? How and why they termed as causes?
Why didn’t you construct house illegally?

108
 3. What are the impacts of informal settlements on the settlers themselves and the
local community? How and why?
4. What are positive and negative measures that the local government had taken on
informal settlements? How and when the measures are taken?
5. Are stake holders integrated to work on urban and sub urban lands? How?
6. Are the institutions which are established to administer urban and sub urban lands
efficient to provide proper service for the people? How?
7. Are the proclaimed land laws fulfilled the interests of communities? How?
8. Who are the actors of informal settlements?
9. What do you want from the government about shelter?

ANNEX- C

Questionnaire designed to interview key informants such as head of land administration

institutions, politicians, individuals who have knowledge relatively about the issue and elders of
the town to identify the causes and impacts of informal settlements, assess the integration of
stake holders, policies and laws to administer urban and suburb lands, to evaluate the
intervention of local government on informal settlement.

1. What does informal settlement mean?

2. Some international organizations and scholars assumed that in efficient land policies of
developing countries including Ethiopia have been the cause of informal settlement due

109
 to lack of means to provide land / shelter for the poor. Do you agree with this idea? If you
disagree what is its cause? If you agree, is there any other additional cause for the
problem?
3. Do you believe that the local government provides house / plot of land by considering the
economic capacity of poor and medium income people?
4. What are the consequences of informal settlement and over whom?
5. Does forced eviction compatible with international laws that the country has signed and
the national constitution of Ethiopia?
6. Do have established institutions structural efficiency to administer urban and sub urban
lands? Did these institutions enable the poor and medium income people to have shelter
and to get fair and equal distribution of natural resources? How? To what extent?
7. Are rural and urban land laws compatible and assured land accesses of the poor people?
How?

110