Urban Planning Guide for Sustainable Development

Urban Planning and
Implementation
Manual

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Table of contents
1. BACKGROUND........................................................................................................................ 4
1.1 General Introduction ............................................................................................ 4
1.2 The need for an "Urban Planning and Implementation Manual" ........................ 4
1.3 Objective and legal status of the Manual ............................................................. 5
1.4 How to use the Manual ......................................................................................... 6
1.5 Organisation of the Manual.................................................................................. 6
2. WORKING DEFINITIONS AND GENERAL PRINCIPLES OF THE MANUAL ................................. 6
2.1 Working Definitions.............................................................................................. 6
2.2 Guiding Principles for the Manual....................................................................... 7
PART I: URBAN PLAN PREPARATION GUIDELINES...................................................................... 8
SECTION I: PLAN TYPOLOGIES AND PLANNING PRINCIPLES...................................................... 8
1. PLAN TYPOLOGIES..................................................................................................................... 8
1.1 Classification of urban plans................................................................................ 9
1.2. General characteristics of Mandatory Plan Typologies.................................... 10
2. PLANNING PRINCIPLES ............................................................................................................ 11
2.1 Key Principles..................................................................................................... 11
2.2 Broad objectives of urban plans and regulations............................................... 13
SECTION II THE PLANNING PROCESS.......................................................................................... 13
3. THE PLANNING PROCESS.......................................................................................................... 13
3.1. Initiation and Preparing the Planning Programme........................................... 14
3.2 Determination of Current Context-Baseline studies........................................... 17
3.3. Conducting Analysis and Formulating Vision, Goals, and Objectives ............. 19
3.4 Preparing Plans.................................................................................................. 20
3.5 Evaluation of plans ............................................................................................. 21
3.6 Approval of plans................................................................................................ 23
3.7 Plan Implementation........................................................................................... 23
3.8 Plan Revision ...................................................................................................... 23
SECTION III CONTENTS OF URBAN PLANS................................................................................. 25
4. CONTENTS OF STRUCTURE PLANS .......................................................................................... 25
4.1 General Land Use Element................................................................................. 25
4.2 Infrastructure, and circulation element.............................................................. 27
4.3 Open space and environmental aspects element ................................................ 28
4.4 Housing element.................................................................................................. 29
5. CONTENTS OF LOCAL DEVELOPMENT PLANS........................................................................ 30
5.1 General Principles and Land sub-division Guidelines....................................... 31
5.2 Urban centres plan ............................................................................................. 32
5.3 Strategic investment areas plan.......................................................................... 33
5.4 Residential areas................................................................................................. 33
5.5 Conservation areas plan..................................................................................... 33
5.6 Landscape plans.................................................................................................. 33
5.7 Urban design plan............................................................................................... 34
5.8 Upgrading........................................................................................................... 34
5.9 Redevelopment plan............................................................................................ 34
5.10 Integration plans............................................................................................... 35
5.11 Infrastructure and circulation........................................................................... 35
5.12 Open space and environmental aspects............................................................ 37
5.13 Housing............................................................................................................. 37
PARTII URBAN PLAN IMPLEMENTATION GUIDELINES............................................................ 40
1. COMPONENTS OF IMPLEMENTATION MEASURES .................................................................. 40

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1.1 Guiding Principles for Plan Implementation...................................................... 40
1.2 Implementation of Structure and Local Development Plans.............................. 42
1.3. Development Regulations .................................................................................. 43
PART III PLANNING NORMS AND STANDARDS ......................................................................... 48
1. INTRODUCTION......................................................................................................................... 48
2. NORMS AND STANDARDS FOR ZONING AND SUB DIVISIONS ................................................. 48
2.1 Residential use .................................................................................................... 48
2.2 Central Areas...................................................................................................... 49
2.3 Green Areas and Open Spaces ........................................................................... 51
2.4 Social Services .................................................................................................... 53
2.5. Manufacturing and Storage............................................................................... 60
2.6 Special Function ................................................................................................. 62
3. PLANNING NORMS AND STANDARDS FOR ROAD, TRANSPORT AND UTILITY NETWORKS .. 65
3.1. Road Networks................................................................................................... 65
3.2. Utilities Network................................................................................................ 73
3.3 Transport Use ..................................................................................................... 76
APPENDICES ............................................................................................................................. 78
APPENDIX 1. ISSUES TO BE CONSIDERED IN PLAN PREPARATION .......................................... 81
1. LAND USE .................................................................................................................................. 81
1.1 Land use components of SP and LDP................................................................. 81
1.2 Settlement structure ............................................................................................ 83
2. DETAILED LIST OF SOCIO-ECONOMIC ISSUES FOR CONSIDERATION .................................... 83
2.1 Population and Demography.............................................................................. 83
2.2. Housing and Related Facilities.......................................................................... 83
2.3. Road and Transport........................................................................................... 84
2.4. Social and Physical infrastructure..................................................................... 85
2.5. Physical Features and Environment.................................................................. 87
2.6. Expansion area delineation ............................................................................... 87
2.7. Urban Economic base........................................................................................ 88
2.8. Municipal Finance............................................................................................. 88
2.9. Local Governance.............................................................................................. 88
2.10. Urban- Rural Linkages (SP only) .................................................................... 88
2.11. Urban - Urban linkages (SP only)................................................................... 89
2.12. Regional Settlement Structure (SP only).......................................................... 89
2.13. Legal issues and policies ................................................................................. 89
2.14 Land and property administration.................................................................... 89
APPENDIX 2. SOCIO-ECONOMIC AND SPATIAL DATA COLLECTION FORMATS..................... 91
1. INTRODUCTION......................................................................................................................... 91
2. SOCIO-ECONOMIC DATA FOR URBAN PLANNING................................................................... 91
2.1 Data Collection Methods.................................................................................... 91
2.2 Socio-Economic Data collection instruments and Presentation Format ........... 92
3. URBAN SPATIAL DATABASE AND DATA FORMATS ................................................................. 99
3.1 Types of Spatial Data and their formats for Urban Analysis ............................. 99
APPENDIX 3. BASKET OF SERVICE FOR URBAN AREAS........................................................ 107
1. INTRODUCTION....................................................................................................................... 107
2. CATEGORIES OF URBAN SERVICES ....................................................................................... 107
2.1. Hierarchical Classifications of urban services................................................ 108
2.2 Additional determinants for Urban Service Hierarchy .................................... 113
APPENDIX 4. OUTPUT FORMATS ............................................................................................ 115
1. GENERAL INTRODUCTION...................................................................................................... 115
2. OUTPUT FORMATS FOR STRUCTURE PLANS......................................................................... 115
3. OUTPUT FORMATS FOR LOCAL DEVELOPMENT PLANS (LDP)........................................... 117

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1. BACKGROUND
1.1 General Introduction
This manual presents a concise means for the coordination of activities that form parts of the
urban planning and implementation process. It is a product of several independent studies. The
urban planning and implementation process involves several actors, touches upon complex issues
that are often difficult, if not impossible, to reconcile, and encompasses systems that have
different time spans. The quality of the built environment depends, among other things, on proper
planning and coordination of implementation activities. In fact, the need for proper urban
planning and implementation becomes mandatory, as the transactional cost of complex processes
is immense, once erected physical structures have long life, and property relations in urban areas
are difficult to amend once created. Environmental, social and economic factors make it
imperative to seriously coordinate urban planning and implementation.
1.2 The need for an "Urban Planning and Implementation Manual"
Urban planning and implementation experience in Ethiopia has a short history. Review of urban
planning practice in the country indicated that less than a quarter of the recognised urban centres
have no plans to guide their spatial development. Even those that have plans have difficulty to
implement the proposals. Apart from the pervasive issue of underdevelopment and poverty, the
main factors that have had impact on the preparation and implementation of urban plans have
been
• the lack of qualified personnel to prepare and implement urban plans,
• lack of standards for planning, and
• lack of proper legal frameworks for implementation,
In the past the effort of the central government was limited to providing support for the
preparation of urban plans for a selected few urban centres. Though all urban centres need plans
to guide their developments, due to lack of capacity only few plans were prepared; even then
there was no clear method to set priorities. Moreover, the effort was more on plan-making than
on creating the environment for proper implementation of plans. The result of such an approach
has been, regardless of the presence or absence of urban plans, the development of urban centres
that are haphazard and devoid of basic services. Among other factors the main ones that warrant
the preparation of an urban planning and implementation manual include the following:
1. Lack of conformity between plan formulation and public investment plans which
in the past has resulted in the preparation of over ambitious plans that are not
backed by implementation capacity,
2. Inconsistent methods of data collection and data need has resulted in the
collection of superfluous data in some cases and lack of data in some critical
cases;
3. Mismatches between graphic presentations and explanatory texts due to lack of
appropriate methods that ensure a coordinated production of documents;
4. Lack of standards for level of services to be provided for the different hierarchies
of urban centres has resulted in either over-allocation or down-sizing of
requirements;
5. Lack of clarity of responsibilities between different institutions engaged in plan
preparation and implementation has resulted in the delay of development;
6. Absence of legal framework and clear procedures for urban plan preparation,
approval, implementation, and revision, has rendered decisions to be ad hoc.
The present venture at instituting an Urban Planning and Implementation Manual is the first of
its kind in Ethiopia. This document forms a part of the series of documents on urban planning and
implementation that have either legal or advisory status. This document is last in the series as it is
based on the Federal Urban Development Policy and the Federal Urban Planning Law.

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1.3 Objective and legal status of the Manual
The general objective of the Urban Planning and Implementation Manual is to bring order to the
planning of urban centres and to the implementation of development plans. More specifically the
Manual aims at addressing the following issues:
1. to guide the preparation of realistic and feasible urban plans that take into
consideration local capacity and context,
2. to indicate the procedures necessary in plan preparation and implementation,
3. to show the types of services needed in different urban centres,
4. to indicate methods of coordinating institutions of planning and implementation,
5. Improving awareness about planning among professionals and the public,
6. systematising plan preparation and implementation with a view to promoting
relevance and implementability of plans,
7. Increasing the efficiency of planning professionals by providing procedures for the
planning processes,
8. providing supplementary ideas for planning thereby alleviating lack of relevant
reference materials on local planning contexts,
9. promoting the transparency of planning.
This Manual is intended to serve as a guideline, not as a standard or a specification. Standards are
absolute limits that should be enforced whereas the purpose of manuals or guidelines is to assist
decision-making. Therefore, this Manual is prepared with a view to being educative, source of
information, and a document showing a recommended state of planning and implementation
practice at this particular time. Consequently, it does not replace good and innovative planning
and implementation practice. This Guideline is part of policies, proclamations and regulations
that are enacted to govern urban development. Nonetheless, it provides the basics for urban plan
preparation and implementation and cross-refers to relevant documents. The base documents
from which this Manual was compiled include the following:
1. Review and Assessment of planning approaches at national and Global level
1.1 Assessment of the Urban Planning and Implementation Experiences of Amhara
Region
1.2 Urban Planning Practices of Oromia Region: A Brief Assessment
1.3 Assessment of the Urban Planning and Implementation Experiences of Southern
Nations, Nationalities and Peoples Region,
1.4 Assessment of the Urban Planning and Implementation Experiences of Tigray
Region
1.5 Assessment of the Urban Planning and Implementation Experiences at Global
Level
1.6 A review Existing Legal and Policy documents pertinent to urban planning and
implementation
1.7 Local Planning Practice
1.8 The interface between regional and urban level planning practice- a review of the
Ethiopian Experience
2 Urban Planning and Implementation Guidelines
3 Planning Norms and Standards
4 Data Collection Methods and Formats
5 Basket of Services for Urban Hierarchy
6 Assessment of Institutional, Financial and Manpower Requirements for urban planning.

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1.4 How to use the Manual
This Manual is not intended to be a checklist for determining the fulfilment of a preset standard.
It is meant to serve as guidance for appropriate practice. This document is intended to be used as
a reference, in so being it does not replace good professional experience and judgement. The
Manual is perceived as an aid to preparing appropriate urban plans, development projects and a
guide to managing urban development. A manual/guideline simply suggests ways for informed
decision; it is not a prescription or an administrative checklist of activities. The planner is
expected to refer this document as a reference material as an informed decision making
instrument.
1.5 Organisation of the Manual
The Urban Planning and Implementation Manual (the Manual for short) is organised into five
parts. Part I Urban Planning Guidelines presents basic approaches to urban planning, planning
procedures, contents of mandatory planning typologies, institutional set ups, manpower, and
financial requirements for plan preparation, Part II Implementation Guidelines presents good
practice norms, procedures and necessary regulations for plan implementation. Part III Planning
Norms and Standards deals with the setting of appropriate spatial and service standards for
different urban functions. Once again these standards are meant to guide proper decisions; they
are not supposed to be absolute minimums that deserve strict adherence. Part IV Appendices:
consist of
1. Appendix 1: List of Issues for consideration
2. Appendix 2:Standard Data Collection Formats
3. Appendix 3: Basket of Services
4. Appendix 4: Output formats
2. Working Definitions and General Principles of the Manual
2.1 Working Definitions
For the purpose of this Manual, the following words, concepts/terms, etc. have the definition/s
given here. A working definition is not a comprehensive description; it is an explanation in line
with the application of the terms in this Guidelines. Other concepts specific to the background
document are elaborated in each document.
Concepts Definitions
Guidelines Diagram or statement or the combination of the two that provides
development scenario for an urban area
Plans types Plans that are recognised by an urban centre as legal and binding. For this
Manual, Structure Plans and Local Development Plans are the legal plan
types.
Planning process Step by step activities undertaken by a planning body in the preparation
and implementation of urban plans
Planning brief A work plan for a planning project prepared at the initiation of plan
preparation stage
Urban plan All plan types used to guide the development of an urban area
Plan evaluation Is a method of assessing the financial, social and environmental
implication of plans and the level of achievement of the goals established
at the outset of the preparation
Output format The layout used to represent the final end products of the adopted
planning typologies. It includes output formats for maps, reports and 3D
models.

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Concepts Definitions
Urban function
classification
It is a systematic means of grouping similar categories of different
functions in defined analogous categories. These are land use
classifications.
Coding Systematic presentation of data to be explained using maps, reports and
models.
Manual Concise reference that shows working procedures and standards for
planning and implementation of urban plans
Norm An accepted standard or a way of behaving or doing
Standard The required or agreed level of quality, and quantity for usually when
thought of as being correct and written into law
Principles Refer to a set of spatial rules, which should be applied in the settlement
making process
Plan amendment Process of minor revision of an element or part of an element of SP or
LDP.
Plan revision Process of conducting major study and production of revised planning
proposals for an urban centre
Environmental
Impact Assessment
(EIA)
An activity focusing on the evaluation of proposals for their compliance
with environmental acts of a nation or a region; normally conducted at
each stage of plan proposal (SP, LDP, Programmes, Projects)
BAR, FAR Built up area ratio and Floor area ratio respectively. These ratios measure
the allowable density of development over individual plots.
Kebele/wereda
green
Green area, open space provided at kebele or wereda level on top of open
spaces for residential clusters and neighbourhood
Phasing of
development
Plan showing the sequence of development of urban areas
2.2 Guiding Principles for the Manual
Urban development is a complex system that incorporates natural and manmade sub-components.
It goes without saying that complex systems need coordination so as to maximise benefits and to
minimise liabilities. The concept of sustainable development is implied in this definition. For a
development to be sustainable its processes have to be efficient, socially acceptable, financially
affordable, and scientifically desirable. These being basic principles of planning, this Manual is
intended to achieving these goals. In as much as is practical, the Manual has been prepared with
the following guiding principles as its starting point:
• The Manual is simple so that its contents could be understood easily by all plan-makers
and implementers,
• That it is holistic and integrated bringing different issues that go into plan making and
implementing urban plans.
• It is a guide to informed decision making, it is not an administrative checklist.
• In being guide, it is flexible and accommodates new thinking and improved practice.
• The Manual is intended to indicate the preparation of feasible/realistic and achievable
urban plans.

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P a r t I : U r b a n P l a n P r e p a r a t i o n G u i d e l i n e s
Introduction
Urban planning is an activity carried out to guide socio-economic and spatial developments of a
planning area. In principle a planning task takes as its prime goal the objective of the people who
inhabit the area that is being planned. However, due to the longevity and spatial dispersion of
effects of plans, planners should consider the interests of various stakeholders (both current and
future) over an area greater than the jurisdiction of a single urban area. The preparation of an
urban plan assumes the existence of a hierarchy of development frameworks at national and
regional levels. This Guideline is basically limited to urban plan preparation at single urban area
level, irrespective of the grade of an urban area.
Scope of the Guidelines
The scope of this Guideline is limited to providing principles, procedures and suggestions that are
relevant for urban plan preparation and implementation. The Guideline will deal with basic
characteristics of mandatory components of urban plans as provided by law. This Guideline does
not present comprehensive policies related to specific components of urban plans at different
spatial levels.
Relevance of the Guidelines
There is an acute shortage of planning professionals in Ethiopia. Owing to the peculiar nature of
urban planning, the profession cannot be mastered through education alone; on the job training
and being reflective of practice is necessary. In spite of this fact, the lack of well trained planners
limits the chance of on-the-job training. Hence, manuals, log books, procedures, etc. help to
minimise the deficiency of professionals by providing basic principles (or wisdom) that might
otherwise have come from seasoned professionals. Moreover, Guidelines will increase the
transparency of the planning process and also serve as a checklist of what to consider.
Organisation of the Guidelines
The Urban Planning Guidelines is subdivided into three sections. Section I Planning Typologies,
and Planning Principles deals with the identification of planning typologies and principles of
planning applicable to the plan types. Section II Planning Procedures deals with the step-by-step
processes involved in a planning activity. Section III Contents of urban plans presents general
description of elements of urban plans.
S e c t i o n I : P l a n T y p o l o g i e s a n d P l a n n i n g P r i n c i p l e s
The literature on planning shows that urban areas in various parts of the world have been
developing with some guiding principles, though not written in most cases. Planning in its formal
sense implies having the power to guide the future development of an area. Hence planning
cannot be practiced in a political vacuum. Then, it is logical to conclude that planning has been
following the footsteps of political ideals in the determination of the future and the means to
achieve it. Plan types, planning methods and principles are ideals and modes for the expression of
ideals. These concepts are elaborated in the next sections.
1. Plan Typologies
The study of urban plan types shows that there are a wide variety of plans that differ in content as
well as in format. Leaving aside formats variation in type of plan could result from the legal
status of plans, the time horizons that the plans are intended to be used, or the spatial levels that a
plan intends to serve. Population size is also one aspect but it could be an integral part of the
spatio-temporal component of plans. The following description of categories of plans is intended
to clarify for the novice planner what types of plans one may come across in the literature. It is
also intended to initiate the preparation of such plans with a knowledge of their functions.

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1.1 Classification of urban plans
1.1.1 Legal status of urban plans
Plans are guidelines for actions. In the urban context plans are prepared and adopted to guide the
activities of multiple actors. Therefore, it becomes necessary that certain provisions should be in
place to coordinate the activities of all actors so that the external effects of individual
developments do not compromise the benefits and legal rights of others and the wider society.
Based on the status of plans in the legal system the following terms are used to designate plans
and policies: statutory, non-statutory; mandatory, advisory; guidelines, circulars, planning policy
guidance. In general for legal purposes, urban plans are categorised into two: legal and binding
plans and advisory plans.
The administration of an urban centre must determines which plans are legal and binding; the
provisions of such plans will be mandatory. Such plans should pass the normal preparatory and
approval processes of policy adoption by a legislative body. The planning process will be
described in Section II. In the Ethiopian urban context two plan types are identified as legal and
binding: structure plans and local development plans; the characteristics of these two plan types
will be elaborated in Section III.
Advisory plans are provisions that an urban centre prepares as guide to good practice in the
fulfilment of the provisions of legally binding plans. Such plans may deal with specific subjects
elaborating possible ways of handling issues. Their main purpose is to ensure compliance to the
binding plans while at the same time providing concrete policy guidance that a planning
department would like to pursue in the development of the urban area under its jurisdiction.
Urban design briefs, conservation area plans, housing typologies, etc. are some of the common
examples of advisory plans. Advisory plans need not be approved by the legislature, but the
planning department should publish such plans so that the public knows about their contents.
1.1.2 Time horizons of planning
Development planning activity should have time perspective. The future oriented-ness of
planning has been one of the contentious phenomena in planning theory and practice. The trend is
to prepare plans for short time spans so that uncertainties could be minimal. The most common
time frames for urban plans are: short, Medium, and long-term plans.
Short-term plans
Short-term plans are directly linked to yearly fiscal budgets. Short-term planning is concerned
with projects which, if executed, will fulfil the objective of medium-term planning exercises;
hence, short-term planning is basically project planning. Therefore, it should clearly define the
objectives to be achieved, who will undertake the implementation, sources of finance and time
schedule divided into quarters or similar time spans as the budget expenditure report. Such plans
are usually known as urban projects.
Medium-term planning
Medium-term planning is usually concerned with a five-year development agenda. This is
basically the main development plan for an urban area: its local development plan. Such plans
consist of development priorities in a spatial framework. The priorities are agreed-upon
statements of official development objectives. Problems should be identified together with means
for addressing them. Medium-term planning is a strategic framework for development; the
guidelines that ensue from it provide the basis for resource allocation.
Long-term planning
Long-term planning is development scenario for 10-20 years. The trend with regard to long-term
planning is limited to those critical issues of and resources for development where there is
relative stability in the phenomena being considered or development direction that a community
would like to achieve. Structure plans are long-term plans.

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1.1.3 Spatial hierarchy of planning
Plans are guidelines for action, hence basically spatial development frameworks follow
administrative hierarchies: national, regional, and local levels. Each level in the hierarchy of
plans should be consistent with the higher-level plan. In situations where the higher-level plan is
found to lack directives for some issues, planning bodies should consult with the appropriate level
of urban administration for clarification. Once issues are clarified, the new additions should be
included in the plan as addenda.
The experience of countries that have a well-functioning urban system shows that there is a need
for a national spatial development framework. Some countries have simple provisions at national
level and more detailed plans at regional level. For issues that require inter-regional cooperation,
either the central government or the regional states affected by the problem could deal with the
issue by agreement. This requires the establishment of supra-state authorities to plan integrated
development schemes. The Federal Constitution of Ethiopia empowers federal institutions to deal
with cross-regional state issues. Currently horizontal level plan coordination is not in place, but it
is a highly recommended approach to coordinate orderly development.
At an urban level, depending on the planning approach adopted by an urban centre, there could be
plan types that are variously termed master plans, comprehensive plans, structure plans, or
general plans at a higher level and specific plans, action area plans, or local development plans
at the lower level (Refer Document 1.5). International experience has shown that the trend of
planning is towards a limited spatio-temporal, and social scales. Hence two levels of plans are
mandatory: a general one that provides frameworks or structures for the urban area and a more
detailed local level plan that guides the scale and variety of developments. In a similar way, in
Ethiopia two plan types are getting recognition: structure plan and local development plan. These
two plan types were first recognised as legal plans in Ethiopia by the Office for the Revision of
the Addis Ababa Master Plan (ORAAMP). The draft “Urban Planning Proclamation” has
recognised these plan types as legal and binding. This Manual presupposes that the draft
proclamation will be approved; hence Structure Plans and Local Development Plans are stated as
legal and binding throughout the Manual. Other plans of specific nature may be prepared for
urban centres as subject plans; however, such plans should comply with the provisions of these
two plan types.
1.2. General characteristics of Mandatory Plan Typologies
1.2.1 Structure Plan
Structure plan contains the general mandatory provisions for the development of a planning area.
Structure plan sets out the basic minimum requirements regarding spatial developments whose
fulfilment would produce a coherent urban development in social, economic and spatial spheres.
The structure plan is a basis for rational decisions regarding an urban areas’ long-term physical
development. It serves as a bridge between community values, visions and objectives on one
hand and decisions on physical developments on the other. Normally, structure plans are long-
term plans prepared to guide development for 10-20 years. The main characteristics of structure
plans are:
1. Comprehensiveness
• Geographically, it should cover the whole jurisdiction area of the urban centre.
• All broad issues related with the development of an urban centre should be
handled.
2. Long term perspective
• Time horizon for structure plan is between 10-20 years comprehensiveness
• Time frame for different issues within the plan could vary
3. Consistency of provisions

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• Policies of structure plans should have external consistency-be in agreement
with and supportive of policies in other development sectors.
• All elements have equal status; policies within a structure plan must have
internal consistency between elements.
• Mandatory elements should be internally consistent within each element.
• Texts and diagrams of structure plans must be consistent.
The mandatory components of structure plans will be described in detail in Section III.
1.2.2 General characteristics of Local development Plans
A local development plan describes the medium term development direction of an urban centre.
Local development plans contain policy statements and development guidelines for particular
areas. Its emphasis is on concrete standards and development criteria. It provides requirements for
the development of necessary infrastructure and facilities, allowable land use categories and open
spaces for the selected area. A local development plan should specify programmes and
regulations necessary to finance infrastructure and public works projects.
Local development plans should deal with all planning issues within the development area.
Provisions of local development plans must be consistent with that of the structure plan;
provisions within a local development plan must have internal consistency too. The time frame
for local development plans is five to ten years. Details of the elements of local development
plans will be elaborated in Section III.
2. Planning Principles
Planning method refers to the approaches used in the identification of need for planning and the
procedures followed in plan preparation; whereas principles imply paradigms that guide the
formulation of development policies. The two concepts are elaborated in the sections that follow.
2.1 Key Principles
Principles are general assumptions, fundamental rules, paradigms that guide the spirit of planning
policies, proposals, standards and implementation measures. Principles should be based on
community values, generally accepted good planning practices, technological level of a
community, and planning objectives. Principles serve the preparation of plans but need not be
included in the plan itself. Principles should take contextual situations; but there are some basic
ones that emanate from higher policy frameworks such as the Constitution, general development
plans, federal urban development policy, etc. The following main principles should be considered
for all cases of urban plan preparation and implementation.
1. The health, safety and property rights of citizens, environmental sustainability, efficiency
in resource use, and transparency in management of affairs will be promoted with
planned development.
2. Participatory approach in planning enhances the relevance of development plans and the
chance of plans being implemented.
a. Identification of stakeholders at an early stage of the plan preparation process
will shorten the preparation and approval of plans.
b. Involvement of stakeholders in plan preparation increases plan implement-
ability.
c. All inhabitants of a planning area are stakeholders, albeit at varying intensity and
capacity.
d. Devising proper methods for public participation promote level of participation.
3. Planning should aim towards sustainable development.
a. Resources are finite; planned uses promote effective use of resources.

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b. Plans should promote opportunities for current inhabitants without compromising
the need of future generation
c. Promotion of public participation in development and equitable distribution of
resources promotes the objectives of sustainable development.
d. Plans should address the visions and interests of stakeholders at all levels.
e. Providing due consideration for environmental issues increases the life span of
natural resources.
4. Financially feasible development plans are easy to implement.
a. Plans should consider financial implications at the planning stage.
b. The user-pays principle promotes responsibility; however, the government
should support socially and economically disadvantaged section of society.
c. The public must benefit from planning gains.
5. Spatial integration at national/regional/local levels promotes overall development of
society.
a. Hierarchy of plans should be consistent with higher level plans/and policies and
other related policies in other sectors.
b. Integrated planning and implementation economises on resource requirements
while at the same time it increases the multiplier effect of positive components.
6. Strategic approach in plan preparation increases relevance of urban plans.
a. Identification of critical elements during planning enhances the adoption of
better-performing plans
b. Identification of critical elements increases public preparedness for unavoidable
consequences.
7. Urbanisation viewed as a potential for development
a. Urbanisation is an irreversible process, it should be managed rather than try to
curb its development.
b. Urbanisation is positive development for a well-prepared urban administration.
8. Policy formulation is iterative.
a. Plan preparation and implementation should be a continuous process
b. Shortening the revision time of plans increases the relevance of plans
c. Learning through practice and a reflective-practitioner promotes local contexts.
d. Planning is process oriented.
9. Proper consideration of plan implementation capacity of institutions is necessary.
a. The adoption of less complex plans without compromising long-term benefits
increases relevance of policies and chance of implementation,
b. Well-trained staff is cost-effective in the long term.
10. Planning policies seen in the light of Federal arrangement envisages appropriate
decentralisation at local level and strategic control at the centre.
a. Decentralisation without proper empowerment is ineffective,
b. Conducive financial, manpower and institutional frameworks should support
decentralisation.
11. Mixed use and social integration promote viability of plans.
a. Mixed use creates cross-subsidy and better resource distribution,
b. Mixed use increases the chance of urban areas to be active throughout the day.
c. Mixed use planning helps the development of socially integrated area.
12. Phased, flexible and targeted development approach increases the viability of urban
plans.
a. Properly phased development creates positive feedback to the system
b. Flexible approaches increase the relevance of plans. However, flexibility should
not be laissez faire.
c. Targeted approach economises on resource use and promotes measurability of
development policies.
13. Equitable distribution promotes social justice in development.
a. Planning that promotes job creation contributes to the poverty reduction policy.

13
b. Promoting the participation of inhabitants in economic activities through the
creation of micro and small enterprises increases the production wealth and its
equitable distribution.
2.2 Broad objectives of urban plans and regulations
The general objectives of urban plans fall under the following main issues:
1. To ensure the orderly development of urban areas
2. To provide a good living environment for all by ensuring safety, amenity, accessibility,
energy conservation and environmental protection
3. Providing a safe healthy, useable, serviceable, pleasant and easily maintained
environment for all commercial, industrial, civic, and community land uses. In addition
its aim is preventing disturbance to neighbouring environment particularly by the
industrial land uses
4. Ensuring that any conflicting environments of different land uses are reconciled
particularly among mixed land uses,
5. Providing orderly and progressive development of land in urban areas and preserve
amenities on that land as well as promoting environmental control and socio-economic
development,
6. Promoting equity and efficiency in resource use; however difficult this might be.
S e c t i o n I I T h e p l a n n i n g p r o c e s s
3. The planning process
The planning process consists of actions taken by a planning body and its relation with the
different actors in the process of plan making and implementation of plans. It is the step-by-step
development of planning ideas into action tools and implementation of ideas to achieve a vision.
The planning process lays procedures to accomplish a task; in fact due to the prescriptive nature
of process flows some analysts have designated planning that follows defined procedures by
“procedural planning”. However, urban planning as an organised activity to guide future
development cannot be done on ad hoc basis. However, different planning approaches may
designate stages differently. The following sections describe in detail components of the planning
process.
Components of the planning process
Planning is an activity orientated towards the future. Irrespective of the type of planning approach
adopted by an agency, the view of planning as a process is widely accepted. Most often the
planning process (i.e. plan-making and plan implementation combined) consists of the following
inter-related steps:
1. Initiation for planning and preparing the planning programme;
2. Determination of current context;
3. Conducting analysis and formulating goals;
4. Developing, evaluating, and adopting plans, and
5. Monitoring implementation.
Planning is an iterative activity; for lack of any other means than sequential description of tasks,
the issues in the different stages of the plan preparation and implementation process are discussed
one by one. Structure Plans and Local Development Plans have variations in their planning
process. The planning processes, unless and otherwise stated explicitly, is considered as being
common to the two plan types.

14
Fig. 3.1 . Components of the planning Process
3.1. Initiation and Preparing the Planning Programme
The preparatory task for an urban planning exercise starts with the local council (i.e. the
legislative body empowered to plan) adopting policy guidance for the development of an urban
centre. This might be done through consultative meetings with the electorate. An alternative
approach is the formulation of a single purpose statement or complex sets of visions about the
development of an urban centre by a core group and subsequent refinement of the vision through
consultation with stakeholders. Initiation for planning should emanates with the aim of solving
problems faced by an urban community. The democratic rights of people will not be fully
operational without exercising their power to plan; hence planning initiation should emanate from
the people and their delegates; and ideally a guidance system for development should be adopted
in a reasonable time after initiation for planning. Unduly delayed plan adoption affects public and
private investment plans.
3.1.1. Preparation of Terms of Reference
Experts who could interpret the policy guidance given by the local council should do the planning
programme or the terms of reference (TOR) for planning. Successful examples show that, apart
from delimiting what to be done, a work programme for urban plan preparation should include
deadlines for critical components of the planning task, including public participation stages,
Initiation for planning
Preparation of policy direction, funding, preparation
of work programme, selection of consultants
Determination of current context
Survey existing situation: policies, plans
commitments, land uses, infrastructure, housing,
socio-economic & environmental conditions,
Analysis and formulating goals
Conducting analysis, determination of vision, values,
goals, & objectives, developing plan evaluation criteria
Preparing, evaluating, & adopting plans
Developing alternative plans, policies, and
implementation measures, evaluating plans, public
forums, conducting EIA,
Monitoring implementation
Implementation measures, project finance, phasing,
collecting data for feedback,
Conducting
mandatory
compliance
requirements
(environmental
Impact
Assessment,
Federal-Regional-Local
power
relationships)
Public
participation,(civic
societies
(CBOs,
neigbourhood
committees,
professional
societies,
NGOs),
intergovernmental
coordination,

15
review periods for draft plans and final plans (Box 1). The time for a planning task depends on
the complexity of issues; the number of professionals for the tasks, availability of data, facilities
for planning, and so on.
Box 3.1.1. Basic Contents of the Terms of Reference
In strategic planning terms the initiation stage is called getting ready. A number of issues must
be addressed in assessing readiness of the administration of an urban centre. The following five
tasks must be performed to pave the way for an organized process:
• Identify specific issues or choices that the planning process should address;
• Clarify roles (who does what in the process);
• Create a planning committee (team);
• Develop an organization profile;
• Identify the information that must be collected to help make sound decisions.
The product developed at the end of this step is a work plan.
Points to check:
• Does the public know about the plan preparation project?
• Has the local council held public discussion to identify need for new plan/
• Who is to carry out the planning study?
• Does the Term of Reference describe the task clearly?
• Has the work programme given sufficient time for public participation during the
different stages of plan preparation and evaluation?
• Is there sufficient fund to carry out the study?
• Who will control the work progress of the study team?
• Who will approve the results of the study and final plan?
3.1.2 Manpower Requirements for Plan Preparation
One of the critical issues to consider during the preparation of the Terms of Reference is whether
the planning team of the municipality can undertake the task by itself. There are several
possibilities at organising a planning team:
• The planning department or section of a municipality may have capacity to handle the
tasks
• Project staff could employed on temporary basis to assist or lead the plan preparation,
The TOR should contain at least the following main components
1. Who is the employer (local council, zone, regional, or federal institution),
2. What is the problem known so far about the urban centre? And what does the
employer want?
3. Detail frameworks for the baseline study to be conducted, which includes subtasks or
themes,
4. Information on available data, sources of data,
5. Clear professional requirements for the study group (when the study is out-resourced)
6. Evaluation system for output
7. Tasks of Steering Committee, Technical Committee, Counterpart team members (if
private consultant undertakes the study),
8. Public hearings, workshops, etc.
9. Approval system for the planning study,
10. Time frame for the critical parts of the planning study.

16
• Technical staff could come on temporary assignment basis from zones, the region or
from federal level, or
• Staff may be available through cooperation agreements with sister cities, teaching and
research institutes
Planning agencies of various categories may be organised by private firms, federal and regional
governments. With regard to government planning institutions the staff requirement might be
determined on the basis of their role. If they act as advisors to regional and municipal
governments, the staff composition might be few, but of high expertise level. If they are expected
to prepare urban plans then the optimum professional mix for the study should be fulfilled.
Recommended manpower requirement for Structural plan and Local Development Plan
preparation is shown in Table 3.1.2.
The manpower requirement listed in Table 3.1.2 is an ideal composition of an urban planning
agency. In reality tasks may be outsourced to reduce the number of permanent staff. Moreover,
the number of professionals required for a planning agency/department may depend on the
number of tasks it intends to undertake at a time. The minimum manpower and professional mix
required to undertake any planning task is urban planners and economists. In such a case the
planner will handle spatial aspects and some aspects of social issues and the economist will
handle socio-economic aspects. However, an optimum mix of professions shall have the
following core professional.
1. Urban planner
2. Architect/urban
designer
3. Ecologist
4. Urban Geographer
5. Demographer
6. Sociologist
7. Economist
8. Lawyer
9. Civil engineer
10. Surveyor
11. Draftsman/computer graphics
12. Administrative support
The professionals listed in Table 3.1.2 maybe organised into various departments. Planning is an
iterative activity; hence the tasks may not proceed in linear form; as a result the organisation of a
planning agency may be done in different ways depending on the context. In grouping
professionals into departments, the total number of permanent staff should be considered.

17
Table 3.1.2. Ideal manpower requirement for plan preparation
No. Profession category Purpose
1
• Town/urban planner
• Urban designer
• Architect
• Regional planner
• Urban Geographer
• Historian
• Spatial aspects,
• Land use planning,
• Urban design
• Regional socio-spatial issues’
• Housing, land
• Rural-urban linkage
2
• Sociologist
• Demographer
• Statistician
• Social aspects of urban
development
• Population issues
3
• Economist
• Urban economics
• Local economic development
• Economic base
• Development cost estimation
4
• Civil engineer
• Surveyor
• Municipal engineer
• Quantity surveyor
• Infrastructure planning
• Road/street design
• Land surveying, plot
subdivision, road layout
• Quantity surveying,
• Cost estimation,
5
• Geologist
• Urban environmentalist
• Structural Geology
• Pollution (earth, water, and air)
6
• Urban management
• Lawyer
• Institutional framework
• Governance, institutional
relations,
• Legal advising
7
• Data specialist
• GIS specialist
• Draftsman
• Data analysis
• Plotter
• Technical drafting
8
• Administrator
• Secretaries
• Drivers
• Support staff
3.2 Determination of Current Context-Baseline studies
Where are we now?
This stage of the plan-making process involves the launching of fact-finding missions to ascertain
existing situations that are the subjects of planning. The issues for consideration vary depending
on the context; however, it is common to determine the conditions of existing land use, natural
environment, infrastructure capacity, existing commitments and policies, population and social
characteristics, housing stock, economic conditions and potentials. Data requirements and sources
should be identified prior to launching fact-finding missions. Appropriate methods should be used
in data collection (refer Appendix 2 Data Collection Methods and Formats). The time required
to conduct survey and collect data may be influenced on whether the urban centre under
consideration has a topographic map or not.

18
Box 3.2.1 Issues for consideration during the determination of current context
The product of step two include: a database of quality information that can be used to make
decisions and to develop a shared vision and mission; and a list of critical issues which demand a
response from the local authority.
SPATIAL ASPECTS
1. Geographical/geological setting of the planning area:
• topographic conditions, soil types, climate, mineral resources, water source and
potential (surface and underground), geological hazard levels, natural and
manmade constrains for expansion,
2. Historical background and development trends of the urban area:
• growth directions, periods of growth, historic sites, monuments and buildings
3. Existing land use,
• distribution of functions, size under each category of land use function,
• characteristics of building structures by use, townscape situation,
• open and built up areas, possible expansion areas,
• Urban land policy, accessibility, tenure types, land development and supply,
• Informal settlements-types, location, extent,
4. Physical infrastructures
• Roads network, types of surface finishes, storm water drainages,
• sewerage system, solid and liquid waste treatment,
• power lines, water supply, telecommunications, postal service,
SOCIAL AND DEMOGRAPHIC ASPECTS
5. Population dynamics,
• structure by age, fertility, mortality, growth rate, population projection,
• Household size, tenure group, marital status, headship,
6. Housing situation;
• Household per housing unit
• Housing stock, housing types, housing by tenure type, housing development modes,
housing need and supply, housing finance,
7. Social infrastructures-
• School distribution, types, quality and quantity of schools, enrolment by gender,
participation rate teacher per section;
• health institutions by hierarchy, distribution, accessibility, physical structure, common
incidence of diseases,
• Distribution of abattoirs, police station, fire brigade, administration, etc.
• Urban transport facilities
LEGAL AND INSTITUTIONAL ASPECTS
8. Existing urban management, legal and institutional frameworks
• urban governance and community relations that affect urban development
• Institutional capacity to plan and implement plans
ECONOMIC ASPECTS
9. Urban economics and urban-rural linkages
• Municipal finance, economic base,

19
3.3. Conducting Analysis and Formulating Vision, Goals, and Objectives
Where do we like to go?
At this stage of the plan preparation process field data is analysed, issues are evaluated,
assumptions are determined, and community vision is formulated. The analysis of field data is
expected to reveal the major issues to be addressed by the development plan. Depending on the
type of data, qualitative or quantitative methods of analysis could be used. The issues for detailed
consideration must have been determined prior to data gathering. The outcome of the analysis
should be presented to the public and professional groups so that it will be enriched. During this
stage the public at large and all stakeholders get together at different forums and develop their
shared vision statements (Box 3.3.2). Vision is statement of intention or condition that a
community would like to achieve. A series of public forums should be created to concretise
results of data analysis before a community vision is formulated, objectives are set and policies
are drafted.
The analysis may follow compulsory planning elements for Structure or Development plan The
main topics for consideration are listed in Box 3.2.1. In line with the data gathered for the
determination of existing condition, analyse the spatial and socio-economic condition of the
planning area. Issues of main considerations include the following:
Box 3.3.1 Issues to e considered during analysis
Conduct SWOT analysis to identify and analyse the strengths and weaknesses, as well as the
opportunities and threats of the urban centre. The results of the analyses of information gathered
Spatial aspects:
1. Determine the land needed for different functions based on population and economic growth
projections,
2. Assess the efficiency of land use in relation to its economic potential and capacity of the legal
owner and the users,
3. Analyse the compatibility of existing land uses, and determine the required interventions,
4. Assess the potential of the existing urban area to absorb future developments and identify
possible expansion areas,
5. Analyse housing conditions, physical conditions, availability of facilities, suitability and
accessibility to different income groups
6. Review and assess problems associated with physical infrastructures: physical conditions,
design aspects, conduct demand and supply analysis of water and power supply, communication
networks, road networks, etc.
7. Analyse trip generation pattern of the existing area, modes of transport, relation of the urban
centre with the hinterland;
8. Identify problems related to the existing transportation system, determine future transportation
need based on population and economic interaction projections
Socio-economic aspects
9. Conduct demographic analysis: set scenarios (minimal, optimal, and high growth) and prepare
population projection for the planning period,
10. Analyse supply and demand aspects of housing, and future need based on population projection,
11. Conduct analysis of the problems related with health and education facilities, and other social
services,
12. Analyse the economic performance of urban functions sector by sector, identify the problems
related to each sector, identify the potential of the urban centre and its hinterland and project
future development potential,
13. Identify problems related to institutional set ups for service delivery, and general governance,
14. Assess problems related to public participation in social and economic aspects of the urban
centre
15. Analyse tax system, taxable economic base, and efficiency of collection and management of
resources,

20
on the internal and external environment should indicate what strategies to adopt to overcome
threats.
Strategies, goals, and objectives may come from individual inspiration, group discussion, formal
decision-making techniques, public discussion and so on; but at the end, the leadership agrees on
how to address the critical issues. In general, strategic objectives are usually designed to seek to
correct the weaknesses, build on strengths, deal with threats, and take advantage of existing
opportunities in order to attain the local authority's vision and mission. It is advisable to shape
objectives in SMART model (Box 3.3.3).
Box 3.3.2 Examples of Vision statements Box 3.3.3 The SMART Model for objectives
Public participation modalities need to be developed so that all affected parties could participate
in the decision to prepare plans. Adopting a system whereby Notice Of Preparation could be
given to those who will be affected, in addition to general notification of the public, adds to the
transparency and rationality of the plan preparation process. Presentation of findings should be
clear with little or no technical jargons.
Various professionals should analyse the different data and present their findings to the public.
Sufficient time should be given for public participation. Methods that could be used to promote
public participation include:
• Advertisement using mass media (local news papers, radio, and television)
• Posting posters at public meeting places;
• Sending Notice Of Preparation (NOP) letters to affected parties and person who could
contribute to the plan preparation process;
• Soliciting opinions from knowledgeable persons and professional societies, the elderly,
community representatives, politicians, etc.;
Appropriate methods should be employed to record public opinions. Public participation is
meaningless unless opinions are taken seriously. The goals and objectives formulated after the
public hearings should be made known to the public. The presentation of the vision/s should
show how public opinion has shaped the final scenario. The local council should approve the
vision, goals and objectives and the principal assumptions before the next stage of plan
preparation is carried out. In the case of Local development Plan preparation the vision, goals and
objectives should reinforce those set in the Structure Plan.
3.4 Preparing Plans
What do we want to achieve?
The next in the series of tasks in the preparation of urban plans include development of
alternative plans and their evaluation by the planning team, and the presentation of selected
alternatives for public review. The preparation of alternative plans should concentrates on major
Specific - to avoid differing
interpretations;
Measurable - to allow monitoring and
evaluation;
Appropriate - to the problems, goals, and
strategies;
Realistic - achievable, challenging, and
meaningful;
Time bound - with a specific time period
for achieving objectives
Vision:
• To see a situation where our urban
centre has become a major tourist
hub in the region
• A safe and healthy physical and
social environment is created.
Goals:
• to create an urban centre where all
people of working age have
employment.
Objective:
• to reduce poverty level by half by
2015

21
issues and it need not be detailed. However, it should deal with major economic, social and
environmental objectives that were set in the earlier stages. Professionals should conduct in-house
evaluation of alternative plans on the basis of criteria developed for the task and general
requirements set by law regarding environmental impact assessment. The draft plan must show
clearly what is intended to be achieved during the plan period. To create transparency in plan
preparation, it is good practice to document the characteristics of alternative plans considered
during plan preparation.
Spatial aspects
1. Develop land use and road network principles on the basis of the spatial and socio-
economic analyses,
2. Prepare/adopt spatial standards for different functions,
3. Prepare conceptual frameworks (scenarios), drafts proposals, and final proposal each
stage being evaluated by in-house discussion of the planning team, and presentation to
the public
Socio-economic aspects
1. Develop service standards and strategies for housing development, physical and social
facilities,
2. Develop mechanisms to promote the economic base, propose linkages of rural-urban and
urban-urban interactions,
3. Develop mechanisms to increase the revenue of the urban administration,
4. Develop institutional set up that promotes development
5. Identify legal gaps and propose possible norms and regulations to be enacted
The plan preparation stage is not linear; it involves developing alternatives, evaluation, and then
refinement. It is after the planning team has exhausted possible development frameworks and
concrete proposals are worked out that the larger public is consulted.
The plan preparation process of Structure Plans and Local Development Plans is similar on
general level. In the case of Structure Plan, the planning issues are more general, hence only
strategic considerations should be regulated. In the case of Local development Plan, the issues are
more concrete and public participation may be high. Since Local Development Plan is prepared
on the basis of approved Structure Plan, there will not be proposal to change institutional set ups.
3.5 Evaluation of plans
One of the major problems in the plan preparation process in Ethiopia is the lack of plan
evaluation before being adopted and implemented. Therefore, there is a need to adopt uniform
evaluation system for plans before they are accepted and approved for implementation. Plan
evaluation is a method of assessing the financial, social and environmental implication of plans
and the level of achievement of the goals established at the outset of the preparation. The
following procedures should be followed in plan evaluation:
• Prior to presentation of draft alternative plans the planning team should review options.
This should include environmental impact assessment.
• The public should review the draft plans thoroughly before the local council decides
which plan should be detailed.
• The allocation of sufficient time for public participation and the adoption of appropriate
methods for participation are two of the critical issues here. It is recommended that about
one month should be given for public review.
• The planning team must consider public opinion in its revision of alternative draft plans.
• Once detailed plans are prepared the legislative body should hold a final public hearing to
ascertain that public comments in the previous stage have been considered in the final
draft.

22
At this stage, the draft plan must have been referred to agencies that are likely to be affected by
the plan. The referral should not be just to inform but for possible synchronisation of operations.
New plans and amendments to existing urban plans should be sent to adjoining towns or Regions
which will likely be affected by the plans. The comments of adjoining Regional States, Federal
and Regional agencies should be considered before a legislative body ratifies a draft plan.
3.5.1 Contents and methods of evaluation
Contents of the evaluation
Evaluation criteria of plans should have the following contents
• Each objective should have performance criteria; criteria should be set in measurable
terms.
• Indicator/s should be related to the expected end results of plans
• Goals achievement consideration
• Financial feasibility
• Practicality,
• Social benefit
• Environmental Impact Assessment
Results of the evaluation should be
• Well documented and availed together with the main contents of the Structure Plan for
approval,
• Considered during preparation of detail plans and projects for implementation
Evaluation methodology
• A defined evaluation methodology should be established for plans
• Such evaluation should be made by a respective party which could be member of the plan
preparation institution but consisting of groups that are not involved in plan preparation.
• Define criteria for evaluation based on the objectives and goals of the plans prepared
• Each criterion should have corresponding grade depending on its relevance
3.5.2 Environmental Impact Assessment
This is a special evaluation where all plan proposals have to comply with environmental quality
requirements. Each option should be evaluated for its impact on social, economic and natural
systems. It is mandatory for large projects to present their EIA before approval; but unless EIA is
done at plan preparation level, it might be difficult to fulfil the requirements at project level. The
points to be considered in EIA might differ depending on the local context; however, there are
crosscutting issues which should be observed in all urban areas. The EIA should not be detailed
for all plan proposal at the initial stage; but conducting EIA should be part of the screening
process for plans. The planning team should develop the evaluation criteria and apply it to the
proposed plan; if the alternative score below what was expected then that proposal should be
dropped.
The following list provides basic issues that an EIA analyst should consider in evaluation; the list
is not exhaustive, appropriate issues for consideration should be developed for each planning
task.
Ecological concerns
• To what extent does the proposed plan affect agricultural land utilisation?
• Will the plan affect wild life and plants in the area?
• Will the land conversion rate be sustainable in the long run?
• Will the interaction of human activities and the environmental condition be within
allowable margin of the carrying capacity of the region?

23
Energy supply
• Will there be sufficient energy supply for the planned population size and economic
activities:
• What types of energy sources are recommended for the area, and if that suggestion is
valid,
Pollution control
• What types of pollution will be produced, and if the pollution levels would be within
allowable margins
• Is the water supply area/source safe from contamination?
• Is the land use mix appropriate for healthy living, recreation and working?
• Is the location of solid and liquid waste disposal site appropriate?
Socio-economic impacts
• Does the proposed plan constrain social and economic development?
• Does it provide equal opportunity to all?
• Will the plan bring sufficient and appropriate employment?
3.6 Approval of plans
Ratification of an urban plan at reasonably short time after the preparation of the final draft is a
necessity on grounds that the plan becomes legal and binding. Failure to ratify a plan affects
urban management; distorts public and private investment decisions; increases speculation. A
recommended approach is to ratify a draft plan once it has passed the necessary plan preparation
steps, monitor its effectiveness during implementation and initiate amendments on the basis of
feedback during implementation. However, it is necessary that the legislature fix the time
required to approve plans.
• The SP and LDP should be approved by the relevant and authorized body before
adoption for implementation (relevant body to be defined in the Federal Urban Planning
Law or by regional councils),
• Request for approval shall be made by the plan preparation team or agency,
• Prior to approval the plans should be displayed for public comment and should be
discussed and agreed upon,
• The relevant authority should ensure that public opinion has been incorporated in the
final plan
• The approval of the SP and LDP/s should be announced for all parties through public
media. The documents should also be available for inspection by the public. This could
be done in several ways: publication for sale, depositing in public and educational
libraries. The publications could be in parts or in full.
3.7 Plan Implementation
How do we get there?
The planning process is incomplete without plans being implemented. Each provision in the
planning policy should have a corresponding means of implementation. The institution which
prepared the plan need not be necessarily the implementer nor to become the monitor of
implementation. However, there should be a body that facilitates the implementation and a means
to realise plans. Monitoring of plan implementation is a means for the collection of time-series
data for the next round of planning. Development control departments involved in plan
implementation should have a section that deals with monitoring of plan implementation (for
more details refer Part II of this Manual).
3.8 Plan Revision
Plans have validity periods at the time of preparation. Service levels, space reserves and
technologies have to be projected for a specified population and time span. Hence, plans have to

24
be revised periodically; however, there are times when a plan may not serve for the whole
planning period. Conditions that oblige plan revision include the following:
• When space reserve for the different urban functions are depleted,
• When major new functions, which were not considered before, arise, (such as airports,
industries, universities, etc.)
• When the local economic base of an urban area changes thereby requiring different
institutions and land use changes,
• When change of technology is radical and accommodating the changes within the
existing plan is difficult or impossible,

25
S e c t i o n I I I C o n t e n t s o f U r b a n P l a n s
This section deals with the mandatory elements of urban development plans. The description of
elements is limited to basic characteristics of each plan type.
4. Contents of Structure Plans
The Structure Plan must contain necessary elements that are sufficient to guide the orderly
development of a planning area. These elements are legal and binding; hence they must be clear
for interpretation in law courts. As per the draft Federal Urban Planning Law the following
elements are earmarked as mandatory for each Structure Plan of an urban area.
1. General Land Use,
2. Infrastructure and circulation;
3. Open Space and environmental aspects;
4. Housing
Though elements are mandatory, provisions of two or more elements maybe merged together
depending on the complexity of the issues under each element. Each of these elements is
elaborated below.
4.1 General Land Use Element
The General Land Use Element is the basis for the integrated development of an urban area. The
land use plan must deal with relevant physical development issues of the community and the
planning areas. Its objectives, policies and projects must be consistent with that of the other
mandatory elements. The General Land Use Element must indicate the distribution and extent of
land use categories and be sufficiently descriptive to distinguish between levels of intensity and
allowable uses.
Land is one of the basic resources that need to be planned for better utilisation. One of the spatial
planning methods is of land is zoning. Zoning is defined as the creation by law of the section or
zones to be used for different urban functions. The regulations prevent misuse of land and
building and limit their height and density of populations according to the use class. Zoning is the
main tool of planning, it prevent encroachment of incompatible uses on to other use classes. It
also helps to coordinate the provision of various public amenities like water supply drainage,
electricity, and transport. There are different classifications of zoning, Use zoning, Height zoning
and Density zoning.
4.1.1 Height zoning
Based on the use of the land, topography, soil type, surrounding built up area it is necessary to
control the height and volume of the buildings. The height zoning helps to Prevent height
disparity in neighbouring buildings; it also helps to establish minimum standard in terms of light,
air and open space thereby creating healthy conditions. The height zoning helps to create a
harmonious effect on the aesthetics quality of the built environment. In the determination of
height zones the factors to be considered included:
• Centrality or demand pressure for land,
• The carrying capacity of land (taking into consideration geological conditions, allowable
construction methods),
• Height limiting factors such as aerodrome field, historic sites, visual lines to important
buildings and sites, technology used (presence of lifts), etc.
• Functional considerations to suit work flow
The height zones should be provided in ranges for all areas. The ranges could be in increments of
one to three storeys for the lower zones and in increments of five to seven storeys for the next
higher buildings and in increments of ten storeys thereafter. Hence all building having one to

26
three storeys could be in one zone, 4 to 6 storeys in the next zone, 7 to 12 in the next, 13 to 20 in
the next, and so on. In existing areas, care should be taken to allow for sufficient light and air if
low structures have to be retained from the previous development period. Height zones have
important implications on the provision of open spaces. The planner has to balance between
height regulations and open space standards so that the gross density of buildings and population
is optimised.
4.1.2 Density zoning
One of the key objectives of planning is to optimise on the use of resources. The use of land has
to be maximised to the appropriate level. Density zoning does just that. In density zoning the built
up space per unit area of land and the served population size are the two measures. Density of
buildings is measured through Building Area Ratio (BAR) and Floor Area Ratio (FAR). The first
refers to the land coverage per unit plot whereas the second refers to the total area of floors in all
storeys per unit area of a given plot. Set-back regulations could affect these measures. In setting
BAR and FAR the planner has to determine the required set-back, the size of individual plots, and
the optimum floor space requirement for the use class under consideration.
The population per unit area is defined as density of population. The density could either be gross
or net density. The gross density is the average density of population per unit area of residential
zone including open spaces and area under non-residential units such as, schools, road, shops and
other public institutions. The net density is the average density per unit housing area including
local roads only. Population density indicates the degree of overcrowding hence it has an
important place in every planning. The urban plan out put has to fix certain standards of gross and
net densities for various areas. The following factors need to be included in the urban plan:
• The minimum size of plots.
• The number of buildings (houses) per unit area.
• The ratio of total plot area to the total built up area (BAR)
• The ratio of total floor area to total plot area (FAR).
4.1.3 Use zoning
Use zoning refers to the allocation of land to different urban functions. The process of use zoning
follows the identification of distinct use classes, determining the land area requirement for each
function, and determination of the compatibility and allowable mix of functions. In use zoning
the planner has to consider most of the following factors.
• Determine the total planning area for an urban centre (total land bank),
• Conduct suitability analysis (slope, environmental considerations such as hazards, natural
resources, and forests, etc.)
• Survey the existing structures and determine the dominant function of an area,
• Conduct projection of land requirement for the planning period,
• Conduct compatibility analysis,
• Determine the optimum location of different functions.
Usually a mix of functions might be possible. The main guiding principle is to determine those
functions that should not be placed close together. In the output format functions are categorised
into three: permitted, limited and prohibited.
The use zoning type and the level of flexibility, however, might depend on the type and level of
the town. Under the use zoning an urban centre may be divided in to various sections or zones for
specific purposes. Land use plans of different urban centres may not have similar use classes,
however, the following land use classes, where they exist, should be shown distinctly:

27
Table 4.1 Common land use categories
Residential
1. Pure residential
• High, middle and low
income areas
• By house type: Apartments,
villas, row houses
2. mixed
Central area
1. Administration
2. Commercial
3. business
4. cultural
Green areas and open spaces
1. Sport facilities,
2. Children playgrounds/residential
open spaces
3. public squares
4. road medians and rights-of- ways
5. Parks
6. Forest
7. Urban agriculture
Social and municipal facilities
1. Education
2. health
3. market (guilt, livestock,)
4. slaughter house
5. worshiping places
6. postal services
7. waste disposal (sanitary landfill,
treatment plant, public/communal
toilets, public baths, etc.)
Manufacturing and storage
1. Industrial parks
2. Workshops, small scale industries
3. warehouses, depot, storage, silos
Transportation terminals
1. Bus stops
2. Taxi stops
3. Train stations
4. Airports
Natural hazard areas
1. Land slide areas,
2. faults,
3. wetlands,
Special function areas
1. Archaeological sites
2. Military zones
3. Scenic landscapes, cultural sites
The General Land Use Element must be clear for interpretation. Provisions regarding adjacency
and extent of land use classes over which a policy is applicable should be clear from the land use
plan. In the determination of adjacency of land uses proper consideration must be given to safety,
noise level, and conservation of natural scenic areas, cultural landscapes, and historical heritages.
However, the Structure Plan should not be required to be a parcel specific plan. A Structure Plan
should indicate building intensity and population density of each category of land use class. A
building intensity provision should specify using appropriate standards for each land use classes.
For example, number of dwellings per acre is a good indicator for residential use, floor area ratio
is appropriate for business, commercial and industrial uses; a combination of maximum plot
coverage and maximum building height is appropriate for open space and agricultural uses.
4.2 Infrastructure, and circulation element
This component of the structure plan must address the requirement for utilities (energy, water,
sewage, storm water, communication), and circulation of people and goods. The provisions of
this element should be in keeping with the land use element. It should also be consistent with the
housing, open space and environment and conservation elements. Policies and regulations on
infrastructure and circulation affect the performance of an urban area. The Infrastructure and
Circulation element of the structure plan must address the following main issues:

28
Table 4.2 Infrastructure Components
Box 4.2. Importance of proper Infrastructure and Circulation
4.3 Open space and environmental aspects element
Open space is any land or water area that is unimproved and left open. The open-space and
environmental aspect plan of the structure plan aims at guiding the comprehensive and long-term
conservation of open spaces and environmentally sensitive areas. The open space and
environmental aspects element overlaps with most other elements: land use, housing, and
conservation. The plan for open space should indicate clearly what is allowed and what is not
allowed as a land use. Relevant issues that should be considered include, but are not limited to the
following:
Requirements for open spaces and environmental aspects should be developed in consultation
with institutions responsible for agriculture, fisheries, wildlife, recreation, tourism, disaster
management, water and mineral resource development. The provisions should be based on data
from relevant institutions. Policies for open spaces should have implementation measures at
municipal level and subject-specific institutions. At urban level the policy and the action
programme should aim to maximise accessibility of existing open spaces to the population in
need of open space.
1. Public utilities
• water supply,
• sewage system,
• electric supply,
• telecommunication;
2. Hierarchy of circulation networks
• Major thoroughfares: highways,
Access roads,
• Paths: pedestrian, bicycle lanes
• Navigable waterways
• Railway lines
3. Terminals for major transportation
exchange centres,
• Regional and local bus
terminals,
• Railway stations
• Taxi centres
• Airports and Sea ports
4. Transportation systems
• Public and private transport
system
• Motorised and non-motorised
systems (vehicular,
pedestrian, bicycles, animal
drawn carts);
• Train services,
• Tram services
• Air transport
5. Transportation system management
• Traffic management
• Safety measures
• Vehicle standards,
• Parking facilities.
6. Air pollution from vehicles
• Pollution standards
• Measures to control pollution
Social aspects: Level of infrastructure provision influences the services that inhabitants get in an
area. It may even be an indicator of who inhabits a certain area. The circulation system
influences the way people and goods move within the urban area. It should be accessible to
all people-the elderly, handicapped, the poor, and the young.
Economic aspects: Accessibility of urban areas affects value of properties. The convenience
provided by infrastructure and circulation systems makes an area to develop or to decline.
Urban areas must be properly provided with necessary utilities and circulation facilities.
Physical aspects: Circulation space is the major form-giver for urban areas. The different
circulation systems and the transportation exchange centres provide paths and nodes for
urban areas. Proper combination of these elements promotes the hierarchical development
of urban areas.

29
Box 4.3 Common Open Space Categories
1.Open space for outdoor recreation
• Parks, sports fields, lakes and lake shores, beaches,
rivers, streams, mountains, corridors that link open
space reserves such as trails along river banks and
railway/highway lines;
• Areas of outstanding scenic, historic and cultural
value including open landscapes and agricultural
fields.
2.Open space necessary for the preservation
of natural resources
• Wildlife retreats (animals, fish), and plant
niches;
• Areas for scientific studies of natural
settings or ecological footprints, rivers,
coastal areas, watersheds,
3.Open space for the managed production of
resources
• Forestlands, agricultural lands, areas for the
production of goods of economic importance
(lumber, firewood, berries, gum, etc.);
• Open area required to recharge ground water
basins,
• River basins, lakes and estuaries needed for the
management of commercial fisheries;
• Areas containing important mineral resources
including building materials.
4.Open space reserved for public safety
against risks from environmental
elements
• Earthquake prone areas, unstable lands,
floodplains, watersheds,
• Areas reserved to ensure water quality and
air quality;
• Areas required to stop the spread of
wildfire, buffer zone for sandstorm;
5.Open space for future expansion
• Area reserve for projected expansion of urban uses
• Space reserve for the development of public
facilities in the future
• Right-of-ways reserves for future upgrading of road
size.
6.Urban agriculture and horticulture
• Open areas awaiting development,
• Areas that are steep for normal building,
• Areas near or on environmentally
unsuitable areas for building (wetlands,
river banks, etc.)
7.Open space required for solid and liquid waste
disposal and treatment
• Landfill sites for solid waste disposal
• Liquid waste treatment plant location
8.Open space for future expansion
• Space for different functions
• Buffer zone
• Allowed temporary uses
4.4 Housing element
Housing is an important urban land use class. Housing issues are of paramount importance to all
citizens, hence housing was made a compulsory element in the structure plan. Apart from the land
use component, the housing element must include the following items.
Structure plans must quantify the existing and projected housing needs of all income levels;
1. Programmes for the fulfilment of the requirements;
2. provision of adequate site for housing,
3. Applicable building and population density,
4. Allowable space standards and facilities,
5. Necessary mix of income groups in housing developments;
6. Tenure types and rights associated with each type;
7. Preservation of housing (Control of conversion of use of low income housing)
8. Construction standards and safety
9. Energy conservation strategy
10. Strategy for the development of housing for low and medium income households;
Housing
11. Finance and subsidy mechanisms for low-income households
The housing element of structure plans must be reviewed and revised in shorter time spans than
the other elements. This is because housing requirements are dynamic and they should be

30
fulfilled. Normally the housing element must be revised at about five years interval. The review
and revision of the housing element must consider the drawbacks of the earlier policy on housing
goals, objectives, and means for the attainment of these goals.
The review must clarify the difference between what was projected and the reality; what extent of
the plan was achieved. Moreover, the revised must show how to achieve goals and objectives
better than the previous housing element of the structure Plan.
A housing policy must provide means for the development of adequate housing. The means
include among other options, the adoption of various housing development modalities (Box
4.4.1), tenure variations, proper loan finance, and access to land.
Box 4.4.1 Nomenclature of housing development systems
5. Contents of Local Development Plans
The sphere of operation that should be dealt within a planning exercise is identified at the time of
planning brief preparation for a local development plan (LDP). The contents of LDPs must be
consistent with the provisions of the structure plan (SP). The LDP may not encompass the whole
of the planning area of the structure plan. However, each area covered under the structure plan
should be provided with clear policies for an orderly development of the area under
consideration. In general the contents of the local development plan are elaborations of the
provisions of the structure plan. There should be provisions for all elements depicted in the
structure plan. A local development plan stands between structure plan and project plan. Project
planning is the most specific and concrete form of planning. It is the smallest unit at which
development planning is organised. All planning exercises are expected to result in an urban
project; whatever the projects might be.
The following fields of planning constitute the main planning spheres at LDP level: land use
planning; urban design; conservation area planning, landscape planning, housing: new
developments, upgrading and redevelopment planning; infrastructure planning; and
transportation planning. The contents of local development plans for each of these spheres of
operation differ depending on the context. The following sections provide guidelines for the
necessary issues that should be included in local development plans. The contents follow those of
the structure plan. It is to be emphasised that each component should have a regulation and
implementation mechanisms.
Pure Self-help system: individuals develop their own houses through partial labour
contribution. Self-help implies some kind of low cost means for the development of
housing. Pure self-help could be either on individual basis or through cooperatives.
Aided self-help: Government or NGO assisted self-help housing.
Individual housing: Houses developed for individuals on private plots. The mode of
development could be using loan finance and through contractor.
Cooperative Housing: houses developed for a group. There could be common parts (such as
open spaces, communal centre, etc.). The cooperative society may retain the title deed for
land and housing while the members own inalienable rights over their housing unit. The
privatisation of cooperative houses is peculiar to Ethiopia.
Real estate developed houses: Housing units developed on commercial basis for sale or rent.
The developer holds the property as inventory item, a property for sale.
Institutional homes: Housing units for temporary accommodation such as hospitals, homes for
the aged, the handicapped, hotels hostels.
Condominiums: Housing units where there are shared facilities; the structural elements are
owned in common but individuals have inalienable rights over specific parts of a building.
Individual housing units are privately owned unlike in apartments and cooperative
housing.

31
5.1 General Principles and Land sub-division Guidelines
Land use plans contain assessment of land resource and allocation of land budget to main
functional units either exclusively or in a mixed-use provision. Land use planning is the
traditional core of urban planning as all other development plans had to be coordinated in spatial
framework. The main procedures used to fix land uses are:
1. carryout inventory of land resources;
2. identify activities that require land in the local context (the usual land use classes are
housing, commerce, business, administration, industrial, recreation and restricted or
environmental sensitive areas);
3. project land requirement for each land use class and allocate land in relation to the
available land resource;
4. carryout compatibility analysis (tolerance level of land use classes);
5. define the relative proximity of different land use classes.
6. prepare zoning and subdivision regulations
Local development plans and Action Plans1
define how we get to where we want to go, the steps
required to reach the strategic goals include:
1. identification of actors,
2. identification of interest groups who might support or oppose the plan
3. time frame for the actions
4. spatial delimitation of the actions
Once goals, strategies, objectives and programs are defined, planners can prepare estimate of the
revenues and expense entailed by the entire package of strategies. This detailed estimates or long-
term budget is the financial plan. The following issues should be considered while developing
the financial plan:
• Analyse current and potential sources of revenue;
• Make a conservative estimate of the revenue to be received during the period for which
the plan is being made;
• Analyse current and potential expense for the strategies chosen;
• Make a conservative estimate of the expenses that will be incurred;
• Calculate to see whether the anticipated revenues will cover the expense;
• Revise strategies and activities as necessary to ensure the financial health of the program;
• Prepare detailed year-by-year estimates of revenues and expenses.
Density
Encourage high density at strategic points (like public transport stops, adjacent to higher amenity
areas) the high density would provide the economy of scale to support the facilities and/ or
transport services.
Diversity (mixity)
Different land use functions should be mixed when parcellation plan is thought of. Mixity has
dual purpose, it keeps the area to remain active at all times and it creates good economic activities
for that area as a result of the presence of various functions.
1
Action Plans are understood to mean plans for immediate application; they maybe project plans that are
more detailed than higher level plans. In the international literature there is no assumption that Action Plans
do not emanate from comprehensive/or structure plans. However, the understanding in Ethiopian planning
practice up to now is that Action Plans are temporary actions just to relieve municipalities of their
immediate concerns. This means Action Plans could be prepared (and have been prepared) without the
existence of higher level plans.

32
Housing typologies
The housing typology is determined depending on the following factors:
• The dwelling type and how it will be used by household members
• Context or setting of the household including relations with various social group,
neighbourhood, etc.
Natural features
• Topography: Topography becomes the major determinant for a site plan; as it influences
the type and cost of the building, control the direction and rate of water runoff.
• Climate
• Soil condition: Soil conditions have effects on foundations. The soil type that requires
costly foundation solutions is not preferable for land sub division.
• Plant cover (green area): It is important to retain much of the green existing in the site
during land parcellations and to plan new space for the green cover.
Block size arrangement
The sub division of settlement into a specific block type has an impact on the movement of
circulation system within the settlement. In the area of low car ownership fairly short blocks of
approximately 100-150 m long is most appropriate. As the block length decrease the number of
through connection increases for pedestrian movement. However it implies more roads to be
constructed. The scaling down of large blocks could be beneficiaries in creating a sense of
belongingness especially for the children and aged people. The housing type or land use generally
determines the dimensions and the extent of the required blocks.
Land utilization
In order to assess the efficiency of land utilization within the proposed block sub division the
following methods are used.
• Building unit ratio: it measures the length of road network in relation to the plot area,
• Building density measured in BAR and FAR.
The land use plan must contain, depending on the local context, sufficient land at appropriate
locations and in keeping with compatibility factors. The following components constitute the core
of land use classes of most urban plans:
• urban centres plan
• strategic investment areas plan
• residential areas
• public facilities
• historical heritage/conservation plan
• building height plan
• urban design plan
• industrial area plan
• green areas plan
For efficient and proper use of land, the following main principles should be considered when
land is sub-divided for different uses.
5.2 Urban centres plan
An urban centre plan shows how the commercial and business district of a town will develop in
the future. It must show allowable mix of functions and intensity of uses. The performance of the
urban centre will determine whether an urban area will develop or decline. The urban centre plan
must indicate hierarchy of centres and the possible mix of functions so that the centres will be
active throughout a 24 hour day cycle and all year round. The urban centre plan must be
consistent with the strategic investment areas plan, building height plan; urban design plan,

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