Presentation for the course Regularization and Redevelopment

Chapter One: Informal/Squatter Settlements
1.1. Definition of a Squatter Settlement:
• Squatters:-Are settle on land, especially public or unoccupied
land, without right or legal title. Squatters include those who
settled on public land under regulation by the government, in order
to get legal title to it (World Bank: 2002)
• Squatting: -Is the act of squat (setting on a piece of land without
permission) or the act of occupying a given piece of public land in
order to acquire title to it.
• The Squatter:-is a person who settles on a new especially public
land without title, a person who takes unauthorized position of
unoccupied premises (Habitat; 1983).
• A “squatter” (in the concise dictionary) is a person who settles on
a new especially public land without title; a person takes
unauthorized possession of unoccupied premises

therefore, Squatter settlement can be defined as a residential
area which has developed without legal claims to the land and/or
permission from the concerned authorities to build; as a result of
their illegal or semi-legal status, infrastructure and services are
usually inadequate.
•The definition of squatter settlement varies. However; a common
theme is that they are areas where people build home in violation of
formal rules about property rights, zoning types and quality of
construction (Epstein; 1972, William; 1985).
The defining characteristic is the illegality of tenure.
The squatter occupies land that is legally owned by another
without his consent.
The other attribute is that the appropriate local authority does not
formally approve their existence.
More generally, squatter settlement refers to the legality of the land
ownership and other infrastructure provision.

 In Ethiopian context these types of settlements are known as
“Chereka Bet”.
The term Chereka bet in its Literal Translation means “house of the
moon” implying the illegal construction of houses overnight using
moon light, thus, they are defined as a settlement built on land
occupied or used without the consent of the city
council and without having any construction permit grantee by the
city council.
Informality is generally considered to be the characteristics of low-
income settlement both caused by poor and beneficiaries:
 Illegal appropriation of land
 Illegal subdivision
 Built with inappropriate materials or unserviced land etc.

1.2. The Development Process of a Squatter Settlement
The key question to be asked here is why doing people squat?
There are two reasons for this: one is internal to the squatter,
and the other is external.
 Internal reasons include, lack of collateral assets; lack of
savings and other financial assets; daily wage/low-income
jobs (which in many cases are semi-permanent or temporary).
External reasons include, high cost of land and other housing
services; apathy and anti-pathy on the part of the government to
assist them; high "acceptable" building standards and rules and
regulations; lopsided planning and zoning legislation
These reasons leave no option for the low-income householder to
squat on a vacant piece of land.
The actual squatting is done either by a "slum lord" or simply an
initial small group of core squatters.

 The slum lord appropriates a piece of vacant land, subdivides it
and "sells" it to various households for the purpose of building
a house. Services like water-supply or electricity may be
provided either by this person or by the organization of the
squatters, usually at the community level.
 The core group squatters are a small number of families who,
almost overnight, occupy a piece of land and build a
rudimentary and temporary shelter. Later, depending on the
degree of threat of eviction, this may be upgraded to a permanent
and more families may join this group.

There are two distinct processes involved in the formation of a
settlement. One is the organic and induced processes.
The organic process refers to the forces and pressures which are
initiated from within the settlement and squatter. They evolve
naturally, without any outside intervention and using internal
resources of the family or settlement for development, such as
labour, locally available materials etc
The induced process refers to the "inducement" set up by agencies
and organizations which are external to the settlement. Operating
with objectives and goals on a larger, city-wide scale, they initiate
programmes and projects for the overall development of the
settlement.
Both these put together act on the growth of a squatter settlement,
through a series of consolidative stages of development. They are
also cumulative in their effects and not exclusive.

Factors that may cause the existence of squatter settlements are:
 Socio-economic factors: - housing shortage, increasing
urban poverty, high rate of rural-urban migration (rural poverty).
High rate of unemployment, high/rising cost of living, economic
recession etc.
 Institutional factors: - absence of accountability and
transparency, corruption, absence of capacity (human and
technical), poor situational set-up and absence of coordination,
poor enforcement, unclear regulation and long procedures,
misuse of public lands etc.
 Political factors:- lack of political commitment, less emphasis
to urban issues, civil war, in appropriate policy, impact of
colonization (segregation) etc. (Source: World Bank, 2000;
Habitat, 2001)

1.2.1. Emergences and Development of Squatter Settlements in
Developing Countries
In developing countries, the emergence of squatter settlements dates back
to the 1940s.
For instance, squatter settlements first appeared in Istanbul in the
late 1940s. The term Gecerkodus (landed by night) is the name for
squatter settlements in Turkey, referring to the fact that housing units
with roofs had to be completed overnight and inhabited before
government forces arrived in order to prevent demolition (Yonder,
1998:61).
Government investments and formal housing construction largely
serve the middle- and high-income groups, leaving lower-income
populations to address their housing needs through informal means.
As a result, the urban poor in most cities of developing countries have
occupied land illegally and have built their houses with their own
resources, without following the building codes and other
governmental regulations.

 This has led to the proliferation of squatter settlements (Cheema,
1993:5).However, Fernandes and Varley (1998:15) have stated that
urban researchers should not forget that the phenomenon of illegality
is not restricted to the urban poor. Many more privileged groups of the
society are also observed in squatter settlements
Squatter settlements are mostly concentrated in the peripheral areas of
large cities, on steep hillsides, river gorges, and flood plains.
The main reason for the expansion of squatter settlements on these
fragile slopes and hazardous areas is that land there is very cheap or can
be occupied without payment, and also there is less possibility of eviction
from such sites(Hardoy et al., 2001:74)

1.2.2. Emergence and Development of Squatter Settlements
in Addis Ababa
As in other cities in developing countries, the development of squatter
settlements in Addis Ababa has become one of the major urban planning
and management problems today.
There is inner-city decay and there is simultaneous rapid
expansion of the built-up area through legal landowners, land
developers, and squatter settlements. This study focuses on the latter,
commonly known in Amharic as and their contribution to the unplanned
and rapid expansion of the built-up area of the city.
It is stated by some writers that squatting in Addis Ababa began after
the nationalization of urban land and houses in July 1975.

1.3.1. Physical Characteristics:
A squatter settlement, due to its inherent "non-legal" status, has
services and infrastructure below the "adequate" or minimum levels.
Such services are both network and social infrastructure, like water
supply, sanitation, electricity, roads and drainage; schools, health
centres, market places etc.
Water supply, for example, to individual households may be
absent, or a few public or community stand pipes may have been
provided, using either the city networks, or a hand pump itself.
 Informal networks for the supply of water may also be in place.
Similar arrangements may be made for electricity, drainage, toilet
facilities etc. with little dependence on public authorities or formal
channels

For instance, Solomon (1985:41) has stated that prior to1975
the private landholding system was strong enough to control
illegal land occupation and squatting was almost impossible.
Today, squatter settlements are located in both the city centre
and the peripheral areas. In this study, however, the focus is
only on those in the peripheral areas of the city, where they are
numerous, irregular in shape and with large plot sizes, and
hence their impact on planned development as well as their
contribution to unplanned and rapid horizontal expansion of the
built-up areas is enormous
1.3. Characteristics of Squatter Settlements
There are essentially three defining characteristics that
help us understand squatter settlement: the Physical, the
Social and the legal with the reasons behind them being
interrelated.

1.3.2. Social Characteristics:
Squatter settlement households belong to the lower
income group, either working as wage labour or in various
informal sector enterprises.
 On an average, most earn wages at or near the minimum
wage level. But household income levels can also be high due
many income earners and part-time jobs.
Squatters are predominantly migrants, either rural-urban or
urban urban. But many are also second or third generation
squatters.

1.3.3. Legal Characteristics:
The key characteristic that delineates a squatter settlement is its
lack of ownership of the land parcel on which they have built
their house.
 These could be vacant government or public land, or marginal
land parcels like railway setbacks or "undesirable" marshy land.
Thus when the land is not under "productive" use by the
owner, it is appropriated by a squatter for building a house. It
has to be noted here that in many parts of Asia, a land owner may
"rent" out his land for a nominal fee to a family or families,
with an informal or quasi-legal arrangement, which is not
however valid under law.

In general, there are several attributes that act as generative forces and
determine the quality and size of a settlement. Such attributes could be
either internal to the settlement or external

1.4. Historical Development of the term, "Squatter Settlement":
Squatter settlements have been in existence from a long time, in the
sense that an individual other than the land owner has built houses with or
without the consent of the land owner. But they were not illegal "squatter"
settlements as we define and categorize them today.
The term "squatter settlement" is in fact a more recent western-
initiated development, which came about by the writings of Charles
Abrams and John Turner and particularly during and immediately after
the Habitat Conference of 1976 in Vancouver, Canada.
This delineation of such informal or spontaneous settlements as
"squatter" settlements represented a growing change in attitude from
outright hostility to that of support and protection.

Abrams (1964) illustrates the process of squatting as a
"conquest" of city areas for the purpose of shelter, defined both by the
law of force and the force of law. Turner (1969) takes a positive outlook
and portrays squatter settlements as highly successful solutions to
housing problems in urban areas of developing countries. Payne
(1977) similarly puts the development of squatter settlements in the
overall perspective of urban growth in the third world and its
inevitability. A vast number of case studies at the Habitat
Conference at Vancouver in 1976 highlighted the conditions in squatter
settlements, calling for a concerted and committed approach towards
solving the problems.

1.5. Major Causes of Informal Settlement
The critical factors affecting the formation of informal settlements
are notably related to several major interrelated challenges. Studies
show that rapid urbanization and influx of people to urban area, lack
of development control mechanisms, inadequate formal land
distribution, lack of resources, poverty and socio cultural factors are
major causes of informal settlements (Goz, 2005).
 Similarly, in regions of Europe, Africa, Central and South America or
Asia insufficient planning and unrealistic zoning regulation,
inconsistent and complex legislation, unnecessary bureaucracy for land
development and permitting, marginalization, poverty and lack of
financing mechanism For affordable housing, illegal sub division and
construction on agricultural lands, political reluctance to confront the
situation and lack of important spatial information is the common for
informal settlement.
However, informal settlements do not have the same characteristics
for the formation and expansion everywhere.

Squatter settlements caused by many factors. These factors have
strong relationships with each other. These factors were considered to be
main causes of urban squatter settlements and these factors were
interrelated.
For instance, household income hardship has direct relationship with
illegal squatting process without considering the government policy
and tenure system. Income plays an important role as a primary factor
which significantly affects access to housing. Income and housing have
direct relationship, and as income of house hold increases, we expect that
more housing will be demanded, which in turn increase the average price
of housing (Figure 1).

The model is developed based on the assumption that, squatter
settlement author highly influenced by various factors among these,
access to land, tenure system, rural urban migration, household
income hardship, government policy on housing, availability of idle
land and urban growth population dynamics.
Tenure system as the cause of squatter settlement in such a way that,
housing tenure refers to the right of households over the houses and land
they occupy. So, if the system ignores the urban dwellers to have such
right they forced to have their own housing illegally

1.6. Strategies used to improve the conditions of Informal
settlement
Responses to informal settlements have changed over time.
Eviction and demolishing of informal settlements have been
followed by new curative and preventive practices. As early in the
1960s, it has been known that secure leads to self-help activities of
Informal settlers.
Over the years, legalization, Physical upgrading and later on
the integration of informal settlements in the urban fabric
(formalization) has become common responses to informal
settlements. In some countries, site and service projects have
long been the most popular preventive measures. But now a day,
since “site and Service” turned out to be costly, thus missing their
target groups, current approaches rather offer “sites without services”.

Another strategies, recently introduced in Cameroon and Rwanda,
is the so called ‘guided development’ which is more similar to
former site-and service projects, but “integrate informal actors” such
as traditional chiefs and land developers (Wehrann: 2001).
Furthermore, corrective measures such as resettlement scheme to a
better serviced site, housing subsidy, housing finance program and
low cost housing program/ housing cooperatives) have been put into
practice in different countries.

1.6.1. Administrative Reform
Another mechanism by which the problem of squatter settlement can be
controlled
 through administrative reform which tends to improve the output
of services providing agencies without necessarily making them
more responsive, but making those plays the role of facilitators.
Considerable experiences of community self-help and participatory
projects facilitated through administrative reform have been
documented, and it is important for planners to learn from this in order
to assess realistically the scope for involving residents and to ensure that
the intended adopted mechanisms are appropriate
An enabling, participatory approach facilitated by administrative
reforms assumes the existence of effective providers of services, with
relation of trust and accountability between politicians and officials and
willingness on the part of the residents of the community.
 Besides they can increase their understanding of urban residents need
and make services more accessible.

1.6.2. Land Readjustment (Land policy reform)
Land policy reform in general is advantageous.
 For instance, Holland and Sweden are often cited in literature as
countries that have been able to implement a successful housing
program through the land policy reforms.
This has been achieved by slowing down the rate of growth in land
price with program of public land purchasing. In addition, tax on
vacant land is sometimes imposed as penalties to bring about
development of sites held off the market, usually for speculative
purposes (Litchfield and Darin-Drab kin, 1980; Davis, 1992).
On the other hand, Botswana has been one of the few countries to
undertake a program of land and service provision on scale which
comes anywhere near to matching the needs of land for urban
housing that takes recognition of the urban poor (Viking, 1990; Davis,
1992).

1.6.3. Tenure Regularization
The state governments of LDCs are now the major
controlling forces of both the regularization and the supply of new
land from expropriated community properties (Caldeich & s. 1995).
The majority in all LDC cities overwhelms the efforts of the city
administrator, planners, tax and health building inspections. In some
cities including Manila, Bogotá, Lagos, Cairo, Bangkok, Mom bay,
and Delhi more than a million people live in illegally developed
settlements. In Manila, there were 328,000 squatter families a
population of close to two million living in 415 cities (Mc Auslan,
1987).
 In these cities, tenure regularization can be used to ensure rights
of owners and or users to enable them to conduct transactions safely
and quickly.
However, tenure regularization need, skilled man power, high level
of coordination, finance, motivation accountability, good
governance and an environment which is accepted by the wider
populace.

Chapter Two: Slum Areas
2.1. Definition and Types of Slum Areas
2.1.1. Definition of Slum Areas
Slums are neglected parts of cities where housing and living conditions
are appallingly poor. Slums range from high density, squalid central
city tenements to spontaneous squatter settlements without legal
recognition or rights, sprawling at the edge of cities
Slums do not have: basic municipal services—…..
Slums are worsening: - while the average age of city populations is
increasing, the average age of slum dwellers is decreasing, so youths
and children suffer most, visible disparities between slums and better-
off neighborhoods increase the social tensions in poorer areas
unplanned growth of settlements makes conventional service provision
complicated and costly.
A first step to be able to quantify and locate the slum population is to
develop an operational definition of the term “slum”.

Experts at a UN-HABITAT meeting held in 2002 agreed on the following
definition: “A slum is a contiguous settlement where the inhabitants
are characterized as having inadequate housing and basic services
Indicators and thresholds for defining slums
Africa have a very high percentage of urban households living in
slum
conditions, which is mainly caused by the lack of access to improved water
and/or improved sanitation.
 Sub-Saharan countries face an especially difficult situation as they host
some of the fastest growing cities in the world.
2.1.2. Types of Slum/ Slum Formation Processes and Spatial Types
Slums fall into two broad categories: declining areas and progressing
settlements – each of which can, for the purposes of expanded analysis, are
broken into:

2.1.2. Types of Slum/ Slum Formation Processes and Spatial Types
Slums fall into two broad categories: declining areas and progressing
settlements – each of which can, for the purposes of expanded analysis,
are broken into:
 Declining areas: ‘old’ city centre slums; and ‘new’ slum estates.
 Progressing settlements: squatter settlements; and semi-legal
subdivisions.
all four subcategories sustain the livelihoods of the urban poor and, at the
same time, exacerbate their poverty in the ways described above.
2.1.3. Declining areas slum
Not all central area slums and deteriorated housing estates are slums of
despair, declining into worse and worse conditions.
There is a cycle by which Slums are demolished and redeveloped
for commercial use or renovated into upper-income housing.
By the same token, not all self-built squatter settlements and other
informally constructed housing are on the road to becoming integrated into
the regular housing stock of the city, providing adequate space, amenity and
services to their inhabitants and revenue to the city.

2.1.3.1. Inner-city slums
Inner-city slums gave birth to the concept of the slum: the process
whereby central,
prosperous residential areas of cities undergo deterioration as their original
owners move out to newer, more salubrious and more fashionable residential
areas.
This is a commonplace and predictable consequence of the growth and
expansion of cities, manifest by both an increase in the central commercial
and manufacturing areas and activities, and the influx of migrants looking for
employment opportunities
2.1.3.2. Slum estates
This category differs from the traditional city centre slum in that the
structures are relatively new and generally not in private ownership.
experienced social problems arising from overcrowded and pressured
conditions, making residents vulnerable to organized crime and political
exploitation

2.1.3.3. Squatter settlements
One of the most important components of the slum housing stock,
The size, location, condition and resilience of squatter settlements
will be determined not just by the characteristics of their residents,
but, more importantly, by the political context of official tolerance or
intolerance towards them.
2.1.3.4. Illegal settlements and subdivisions
Illegal subdivisions refer to settlements where the land has been
subdivided, resold, rented or leased by its legal owner to people who
build their houses upon the plots that they buy
The majority of these subdivisions are done without reference or
recourse to the official urban planning mechanisms involving permission
fees and licences.
 As informal and unrecognized settlements, they lack all but the
most rudimentary public infrastructure; however, this is what makes them
affordable

2.2. Characteristics of Slum Areas
A review of the definitions used by national and local governments,
statistical offices, institutions involved in slum issues and public perceptions
reveals the following attributes of slums
2.2.1. Lack of basic services
Lack of basic services is one of the most frequently mentioned
characteristics of slum definitions worldwide.
2.2.2. Substandard housing or illegal and inadequate building structures
Slum areas are associated with a high number of substandard housing
structures, often built with non-permanent materials unsuitable for housing
given local conditions of climate and location
Various space and dwelling placement by laws may also be extensively
violated

2.2.3. Overcrowding and high density
Overcrowding is associated with a low space per person, high occupancy rates,
cohabitation by different families and a high number of single-room units.
Unhealthy living conditions and hazardous locations Unhealthy living
conditions are the result of a lack of basic services, with visible, open sewers,
lack of pathways, uncontrolled dumping of waste, polluted environments, etc.
Houses may be built on hazardous locations or land unsuitable for settlement,
such as floodplains, in proximity to industrial plants with toxic emissions or
waste disposal sites, and on areas subject to landslip.
 The layout of the settlement may be hazardous because of a lack of
access ways and high densities of dilapidated structures.

2.2.4. Insecure tenure; irregular or informal settlements
lack of security of tenure as a central characteristic of slums, and regard lack
of any formal document entitling the occupant to occupy the land or structure as
prima facie evidence of illegality and slum occupation. Informal or unplanned
settlements are often regarded as synonymous with slums
non-compliance are settlements built on land reserved for non residential
purposes, or which are invasions of non-urban land.
Slum conditions are physical and statutory manifestations that create barriers to
human and social development . social exclusion that are often perceived to
have high levels of crime and other measures of social dislocation
 In some definitions, such areas are associated with certain vulnerable groups
of population, such as recent immigrants, internally displaced persons or ethnic
minorities.
2.2.5. Minimum settlement size
Many slum definitions also require some minimum settlement size for an
area to be considered a slum,
The ‘worst type of slum household’ is prone to all of the above disadvantages,
which, to an extent, also constitute some of the main obstacles that have to be
overcome in realizing the right to adequate housing:

2.3. Causes for the Slum Areas
The main reasons for the widespread presence of slums in urban Ethiopia has
been cited as
 weak economic growth
 poor housing quality
weak environmental linkages
shortcomings in urban governance; weak institutional capacity, deficiencies in
human and material resources,
 lack of access to credit and
 inadequate strategic and planning interventions
The failure of governance: Slums must be seen as the result of a failure of
housing policies, laws and delivery systems, as well as of national and urban
policies. The failure of policy is at all levels – global, national and local
Institutional and legal failure: The urban poor are trapped in an informal and
‘illegal’ world in slums that are not reflected on maps, where waste is not collected,
where taxes are not paid and where public services are not provided. Officially, they
do not exist.

Chapter Three: Regularization
3.1. Approaches of managing squatter settlements
This section explores government attitudes, responses and policies towards
squatter settlements and slums since 1950s.
According to Collins Adjei Mensah (2010), there are five major chronological
categories: -
laissez -faire attitudes in the 1950s and 1960s;
 site and service programs in the 1970s,
 slum upgrading in the 1980s,
enabling strategies and security of tenure in the 1990s, and
 Cities without slums action plan in the 2000s.
 There are also two opposing actions taken in the intervention of squatter
settlements namely; regularization and demolition at various times and places.

3.2. Definition and concept of regularization
Formalization is frequently referred to as legalization of informal settlements.
This is usually achieved through legalization of the informal settlement or by
correcting existing planning, zoning and construction irregularities in non-permitted
construction or those with violated permits.
These illegalities are usually addressed through: a revision of zoning and planning
procedures, regulations and standards; a regularization and upgrade of informal
settlements; applying controls and upgrading individual constructions in order
to meet certain environment, health and safety;
Formalization projects vary according to policies adopted and priorities
given by governments.
huge financial outlays would be required to regularize them.
regularization has also been criticized as being anti-urban, dualist and an
oversimplification of the complex urban systems that exist and continually evolve.
It does not seem to address the root causes of the informal urban problem
i.e. forces underpinning informal urbanization

3.3. Challenges of Regularization
huge financial outlays would be required to regularize them
criticized as being anti-urban, dualist and an oversimplification of the complex
urban systems that exist and continually evolve.
 It does not seem to address the root causes of the informal urban problem i.e.
forces underpinning informal urbanization
The interventions seem not to offer solutions that can give rise to sustainable and
functional urban growth, instead informal urbanization is growing day after day
especially in the peri-urban areas
The discussion on approaches for informal settlement intervention from the
1970s to 2000s found out those two main issues emerged based on the
nature of their formation and implementation.
First, most policies were based on a reactive approach than a proactive one.
Policies were formulated to react to the problems already in place.
Second, it appears that the policies were not owned by the countries or the very
people affected by the informality.
The excessive involvement of external organizations and international agencies
in the design and implementation of policies distanced them from the affected
countries and the poor people in the slums.

The critical factors affecting the formation of informal settlements are
notably related to several major interrelated challenges.
 rapid urbanization and influx of people to urban area, lack of control
mechanisms, inadequate formal land distribution, lack of resources, poverty and
socio cultural factors are major causes of informal settlements. Similarly,
inconsistent and complex legislations, unnecessary bureaucracy for land
development and permission are additional factors contributing to the
proliferation of informal settlements.
conditions pertaining to the incidence of slums were not taken into account.
Such conditions include the negative impact of international interventions
‘the impacts of neoliberal policies (e.g., liberalization and globalization),
urban poverty (or income gaps), poor governance, socioeconomic and political
instabilities, rapid urban growth rate, inadequate planning regulations, poor
housing financing

3.4. Reasons and Results for Regularization
These informal settlements were not registered in property registration
systems, and, as a consequence, could not be mortgaged, formally transferred,
inherited, or rented. Moreover, most of these informal settlements were not
subject to taxation.
There are several benefits associated with the security of tenure approach
(Durand-Lasserve, 1999).
First, it addresses the problem of tenure insecurity in already established
slums, which otherwise would translate into a vicious circle of construction,
demolition, eviction and reconstruction.
Second, it encourages the provision of urban services that were previously
absent.
Third, secure tenure motivates residents to invest and contribute to the
management their built environment.
Fourth, tenure security could in principle contribute to the financial base and
resources of local governments by improving tax recovery on both property
and economic activities.
Finally, from a political perspective, tenure regularization can be seen as a means
of ensuring social cohesion and stability in cities

 tenure regularization can have detrimental effects on the most vulnerable
households. These include tenants, subtenants and newly established occupants
that are not eligible for regularization.
In order to be successful and have any sustainable effect at the city level, tenure
regularization programmes must be implemented on a large scale.
In order to improve these conditions there must be regularization of informal
settlements and regularization is resulted in to:
Privatizing occupied state-owned land, and determining compensation for
occupied, privately-owned land;
Providing ownership titles, and registering those in property registration
systems, allowing property transactions and mortgages;
 Revising zoning and planning procedures, as well as developing regulations
and standards;
 Regularizing and upgrading informal settlements; and
 Applying controls and upgrading individual constructions

3 .5 Policy and Legal issues related to regularization in Ethiopia
Article 40 (3) of the 1995 constitution of Federal Democratic Republic of
Ethiopia (FDRE) states that the right to ownership of rural and urban land, as well
as of all natural resources, is exclusively vested in the State and in the peoples of
Ethiopia (FDRE, 1995).
The 1995 constitutional provision asserts state ownership of land and prohibits
private ownership of land.
PROCLAMATION No. 721/2011, in order to regularize possessions held
without the authorization of the appropriate body, the possessions which have
found to be acceptable in accordance with urban plans and parceling standard
following the regulations to be issued by regions and city administrations shall be
administered by lease holding.

3.5.1. The Implementation of Regulations in Controlling Squatter Settlements in Addis
Ababa
Two basic approaches are of relevance in this case, preventive and curative
measures.
Preventive measures are taken to prevent the emergence of squatter settlements.
On the other hand where the squatter settlement had evolved with its attendant
problems, appropriate curative measures are undertaken.
To this effect Regulation No.1 of 2000,
Regulation No.2 of 2010 and
Directive No.17 of 2014 were promulgated by the City Government.
 These regulations stressed that squatter settlements affect the growth and
development of Addis Ababa and have diverse effects up on the growth of the city
in general and master plan of the city, squatters, and residents of the city in
particular. Directive No.17 of 2014 is implemented only for almost half a year.

Assignment 2
 objectives achievements and challenges of
Regulation Number 1 of 2000 and Regulation Number 2 of 2010

Chapter Four: Redevelopment
4.1. Redevelopment of Slum Areas
Urban renewal, urban regeneration, urban redevelopment, and urban
rehabilitation share similar meanings in the town planning field but are significantly
different in terms of scale.
urban renewal is defined as the process of slum clearance and physical
redevelopment that takes account of other elements such as heritage
preservation
while urban regeneration is a comprehensive integration of vision and action
aimed at resolving the multi -faceted problems of deprived urban areas to
improve their economic, physical, social, and environmental conditions
By comparison, urban redevelopment is more specific and on a smaller scale
urban rehabilitation is restoring a building to good condition, operation, or
capacity
In summary, urban renewal used interchangeably with urban regeneration aims at
improving the physical, social-economic and ecological aspects of urban areas
through various actions including redevelopment, rehabilitation, and heritage
preservation.

Redevelopment planning is a sphere whereby the present capacity of an urban
area and the opportunities in the near future are studied and proper project planning
is suggested.
 It is part and parcel of the urban upgrading study.
 In redevelopment planning the main issue is how to balance what an urban
area could gain in total with the loss that individual members of society may
incur as a result of redevelopment
include all possible costs and benefits at individual and urban level
Land pooling has proved to be a good tool to redevelop urban areas in countries
where land is privately owned
In redevelopment planning due consideration must be given to
compensation and rehabilitation of former land users
Proper rehabilitation programmes should be designed and implemented
Expropriation, compensation, relocation, and rehabilitation measures should
consider appropriate policies and regulations pertinent to the issues.

Urban redevelopment planning should consider at least the following
Criteria.
1. The potential of the area is higher than its current use (rent gap theory),
2. An area is blighted, i.e. buildings are unsafe and/or unsanitary to occupy;
inadequate or overcrowded condition, lacking proper ventilation, open space
3. That the level of blight is beyond repair
4. That there is serious lack of public facilities, and there is no land for the
development of such functions at appropriate locations,
5. That the redevelopment could be carried out with minimum relocation
of current inhabitants,
Issues considered for NDP site selection criteria
During need assessment the NDP site should selected based on the criteria like:
Development potential of the area
The surrounding development pressure
Weather the area is dilapidated/slum or not
Applicability/feasibility of the project
The ongoing development projects in the neighborhood
Location ( on and around CBD, Centre and sub centre ...)
Infrastructure facilities
Under Utilization of resource
Environmental Risk area

4.2. Approaches to Slum Redevelopment
Negligence: This approach predominated in most developing countries until the early
1970s. It is based on two basic assumptions: slums are illegal, and slums are an
unavoidable but temporary phenomenon (mostly linked with accelerated rural–urban
migration) that can be overcome by economic development in both urban and rural areas.
Eviction This was a common response to the development of slums during the
1970s and 1980s, particularly in political environments predominated by centralized
decision-making, weak local governance and administration, non-democratic urban
management, non recognition of civil society movements and lack of legal protection
against forced evictions
some governments opted for a repressive option with a combination of various forms
of harassment and pressure on slum communities, leading to selective or mass eviction
of slum dwellers. Negotiations with slum dwellers were rare
Self-help and in situ upgrading: This approach stemmed from the late 1970s,
recognizing slums as a durable structural phenomenon that required appropriate responses
Self-help and upgrading policies tend to focus on three main areas of concern:
1. Provision of basic urban services.
2. Provision of secure tenure for slum dwellers.
3. Innovative access to credit
 slum upgrading appeared to be considerably cheaper than other alternatives

Enabling policies
the need to involve slum dwellers not only in the construction processes of
slum improvement, but also in the decision-making and design processes that
establish priorities for action and support for implementation
 Resettlement: Resettlement has been associated with virtually all types of
approaches to slums. It embraces a wide range of strategies, though all are
based on perceptions of enhancing the use of the land and property upon which
slums are located or housed. At best, relocation is undertaken with the agreement
and cooperation of the slum households involved
At worst, resettlement is little better than forced eviction with no attempt at
consultation or consideration of the social and economic consequences of moving
people to distant, often peripheral, sites with no access to urban infrastructure,
services or transport.
Broadly, there has been a recognition that effective approaches must go
beyond addressing the specific problems of slums – whether they are
inadequate housing, infrastructure or services – and must deal with the underlying
causes of urban poverty.
Current best practice: participatory slum improvement:

4.2.1. The range of actors dealing with slums
 International, multilateral and bilateral agencies : International financial institutions
(IFIs) ,Organizations and programmes of the United Nations system
Networks: International associations and networks Professional associations, Foundations,
associations, and national and international NGOs.
National and local bodies: National private-sector actors, Central government entities,
Sub-national entities
4.2.2. Constituting of Slum Redevelopment Body
I. Steering committee (10-12): City mayor/ Municipal manager, /sub city manager / woreda
administrator, Heads Utility providers (water, telecom, power, road) , Planning unit(Institute)
 Roles and responsibilities
Provides directions, Pass political decision related to the project,
Provides administrative support, Leads and endorse related final decision
II. Technical Committee : Urban Planning department - chair, Land management, -member ,
Utility providers (as may be necessary)-member, Plan Monitoring & Evaluation
Department/Unit –members
 Roles and responsibility
Responsible for the preparation and provision of comments on the TOR
Provision of technical support throughout plan preparation and implementation
process

III. Representative Forum: Comprises of members of the communities and all
stakeholders the NDP site , Chaired by manager (city, sub city, woreda/kebele
administrator , All disadvantage/affected groups should be represented
 Roles and responsibility
Reflect the interest of their respective constituents
Provide information to the planning team on problems of the NDP site.
Take part in the identification of major planning issues
Take part during plan preparation and implementation process
IV. City/sub city / woreda Council
 Roles and Responsibilities
Plan approval
Evaluate performance report of plan implementation and provides feedback

4.2.3. Undertaking the Survey of Slum Settlements
BASE MAP PREPARTATION AND UPDATING
4.1. Purpose
The purpose is to update or prepare base map that shows the existing manmade and natural
features of the NDP areas.
Task 4.1.1: Reconnaissance survey/ fact-finding mission
Activity 1: Organize surveying team
Activity 2: Conduct field observation
Activity 3: Writing up field report
Task 4.1.2: Identification of appropriate technology for the preparation of base map
Activity 1: Select the most appropriate and up-to-date technology
Activity 2: Check the selected technology for its accuracy
Activity 3: Produce report with regard to the selected technology
Task 4.1.3: Preparation of base map
Activity 1: Organizing and deploying surveying team
Activity 2: Updating or conducting of surveying works
Activity 3: Checking the quality of surveyed data
Task 4.1.4: Cartographic production
Activity 1: Preparation of base map with appropriate scale
Activity 2: Verify the quality of the map
4.2. Major Deliverables / Outputs
 Base map of the NDP site indicating different spatial features at a scale of 1:500 to
1:2000 as per the complexity and topographic features of the NDP site.

4.3.Responsible Body
 Municipality / sub city or woreda/kebele offices
Urban Planning units
Base map preparation crew
 Land management bureau/office/Land & property registration Agency
4.4.Time Requirement – 30 days
Verification of Base map
 Quality of base maps should be checked rigorously
 Checking the alignment of GCP in relation the national coordinate system
 Check the resolution of image in relation acceptable standards
 Detail and contents of the features located in the base map
 Cartographic quality of the base map
Map verification could be conducted in two ways
 Make in-house checking and
 on site checking as deemed necessary

4.2.4. Assessing Land and Housing Requirements
4.2.4.1. DATA COLLECTION AND COMPILATION
4.2.4.2. Purpose
The purpose of this task is to gather the necessary data and then compile them in ways that
help to analyses and interpret data.
2.2.4.3. Major Tasks and Activities
Task: Determining Data Collection Tools
Activity 1: Determine the type of data to be collected
Activity 2: Determine the source and method of data collection
Primary data:
Secondary data
A. Data Collection at NDP Influence Area
Activity 1: Identification of Influence Area
Activity 2: Collect data on Linkages of the influence areas
i. Collect data on service
ii. Collect data on Economic matters
iii. Collect data on Transport and mobility
iv. Collect data on Tourism and heritage
v. Waste management
vi. Recreational areas
B. Data Collection of the NDP area

Activity 1: Collect Data Related to Demographic and Social Development Issues
i. Collect data on demographic aspects
ii. Population Characteristics (census study )
iii. Educational Service
iv. Health Service
v. Housing
vi. Recreation ( social aspect)
vii. Worship Places and Cemeteries
viii.Collect Data on Social Problems
Activity 3: Collect Data Related on Economic Aspects
i. Employment status of the site
ii. Micro and Small Enterprise (MSEs)
iii. Informal sector
iv. Income level by source
v. Tourism
vi. Market Places
vii. Urban Agriculture
viii.Municipal Capacity (Human, Material and Financial)

Activity 4: Collect Data on Physical and Topographic Aspects
i. Collect data on physical features of the project
ii. Collect data on public utilities
Activity 5: Collect Data on Environmental Issue
i. Solid waste
ii. Liquid Wastes
iii. Urban Greenery
iv. Environmental pollution
NOTE; depending on the nature of the project EIA study shall be needed
wherever necessary.
Activity 6 Collect Geological and Hydrological Data
i. Geological Structure
ii. Environmental risks
Activity 7 Collect data on Transport and mobility
i. Collect data on the road system and transport network facilities
Activity Collect data Urban Good Governance
i. Collect data on Participation
ii. Collect data on level of transparency & accountability of city administration on the
various agendas of the city
iii. Collect data on rule of law
iv. Collect data on proactiveness and responsiveness

v. Collect data on efficiency and effectiveness
vi. Collect data on Equity and inclusiveness
NB: - Data collection on governance issues should rely on written documents as
well as through consultative discussions and interviews with stakeholder, individual
citizens, municipal officials, municipal experts, sector offices, investors, etc.
During collection and analysis of data on governance issues pay due attention to women,
the youth, disadvantage groups, marginalized groups, etc.
Activity: Collect Data Related to Spatial Aspects
i. Collect data on land use
A. Conduct inventory on residential areas
B. Conduct inventory on land under administration use
C. Conduct inventory on Commerce, Business and Trade activities
D. Conduct inventory on services
E. Conduct Inventory on Manufacturing and Storage
F. Conduct inventory on Transport
G. Conduct inventory on Recreational and Environmentally protected areas
H Conduct inventory on Urban Agriculture
I. Conduct inventory on special function
 Zones of Restriction
 Zones of Protection

Task: Data Compilation and Reconciliation
After collecting data, it has to be organized and compiled systematically for analysis. To
this effect the complexity of data will be reduced or condensed by organizing, classifying,
encoding and tabulating spatial and non-spatial data so as to organize the data in a
suitable and manageable manner
 Categorizing collected data thematically
 The variables of the data will be given code;
 Data entry will be made using SPSS, GIS and other software;
 Transcribing recorded interviews and focus group discussions and organize them
systematically.
Activity 1: Reconcile the data
Activity 2: Compile the data
Major Deliverables
 Data Collection Formats
 Maps containing existing Physical and Spatial features
 Compiled Socio-Economic, Physical, Geological, Environmental and Spatial data
Responsible Body
 The project team
Time Requirement – 45days

Task: Identify issues to be analyzed and interpret under each thematic area
Activity 1: Analyze data collected on all thematic areas described under data collection
phase.
Task: Conduct SWOT Analysis
NB:-Problem prioritization and project design of the identified issues should be prepared by
the client at the beginning of the implementation phase of the NDP
 Problem prioritization may be possible depending on the type of the NDP (upgrading or
special project)
Task: Identification of Problems/planning issues
Activity1: Prepare steps for identification of planning issues
Major Deliverables
 Facts and figures extracted from all thematic areas,
 Identified problems and planning issues
 A consolidated Report on the Result of Analysis
Responsible Body
1. The planning team
Time Requirement – 20days

4.2.4.4. SETTING VISION AND PREPARATION OF CONCEPT PLAN
4.2.4.4.1. Purpose
The purpose of this phase is to set vision of the given NDP site in consultation with
all stakeholders so as to direct attitudes and efforts towards the prescribed vision. And
to develop conceptual frame work which leads to the preparation of the proposal
4.2.4.4.2. Major Tasks and Activities
Task: Formulation of vision
Vision could be defined as a statement of the desired time frame of the development
aspiration of the given NDP site based on opportunities and comparative advantages related
to its specific conditions. The purpose of setting vision is therefore to inspire, focus
the attention and thereby mobilize citizens’ and all stakeholders’ effort towards the attainment
of the desired interest in the foreseeable future.
Activity 1: Setting vision
Task: Formulation of goals
Goals are broad objectives or general statements that are not easily quantified and measured.
For that reason, goals are translated in to measurable objectives that can be prioritized and
pursued.
Activity 1: Formulation of goals

Task: Formulation of Objectives
Objectives are what the NDP site wants to achieve during a specified period of
time. The purpose of setting objectives is to provide direction during the planning and
implementation process.
Activity 1: Formulation of Objectives
Task: Preparation of Concept plan
Activity 1: Consider all planning theories, principles and existing situations
Task: Develop alternative scenarios
Task: Conduct discussion with stakeholders on the given scenarios and arrive
at Consensus
Major Deliverables
Formulated:
Vision Statement
Goals
Objectives to attain each goal
 Draft conceptual framework maps at appropriate scales with explanatory text
 Final conceptual framework map at an appropriate scale with explanatory text
Responsible Body
 The steering committee and public forum for setting vision
The steering committee , technical committee, Planning team, and experts from the
relevant sector offices for setting goals and objectives
Time Requirement— 7 days

4.2.4.5. DEVELOPMENT OF PROPOSALS
4.2.4.5.1. PURPOSE
The purpose of this Phase is to integrate different components from different thematic areas
of the NDP study in a way that feeds and complements with each other.
Task: Preparation of non –spatial draft proposal
Activity 1: write up non-spatial reports that complements graphic documents
NB: All professionals engaged in the study will produce draft proposal reports on
their respective thematic areas which eventually be compiled together.
Task: Preparation of Spatial draft proposals
Activity 2: Prepare Storm Water Drainage Proposal
Activity 3: Prepare Draft Utility Proposals (Telecom, power, Sewer, Water Supply, Traffic
Light, etc)
Activity 4: Prepare Draft Transport and Mobility Plans
Activity 5: Check the proposed land use and road networks against standards and planning
principles (shape, compatibility, balanced development, distribution of services, etc.)
Activity 6: Check the draft land use plan for its harmony and compatibility
Task: Discussion on the draft proposals (graphics and reports)
Task: Finalizing the proposal based on inputs gained from stakeholders
NB: - All proposals should have harmony and consistency among the various
thematic studies; All proposals shall be submitted to the spatial planner through submission
format

Tip: Considerations to be made during Stakeholder Participation
 All discussion forums that should be conducted at various stages of the planning process
shall be recorded in minute format along with names and signatures of attendants.
Moreover, it should also be recorded using video recordings or through photographing.
 Remember that public and stakeholder participation should be made at each phase
of the planning process
Deliverables
 Reports from various thematic studies - Green network map
Draft spatial proposals - Street network map
 Drainage and utility line map - Land use map
Transport and mobility map - Urban design
Regulation map (comprising of height, BAR, FAR, set-back, etc.)
Maps for environmentally sensitive areas, special function areas, etc
Responsible body
 Planning team
 Technical committee
 Steering Committee
 Public forum
Time Requirement — 21 days

4.2.5. Drawing a phased Development Plan
4.2.5.1. Preparation of Implementation Strategy
4.2.5.1.1. Purpose
This phase is aimed at providing a general direction and mechanism of implementation of
the proposed NDP during the planning period
Task: Assess the capacity of municipal/local administration
Task : Phasing and budgeting of prioritized issue
Tips: - To decide the intervention type of NDP site.
 NDP can be either renewal or up-grading.
 Renewal is total clearance of all built up structures in the site and redesigning the area for
future development. On the other hand
 Up-grading is designing of a site by improving basic infrastructure and reserving
some existing structures that are at good condition.

Based on the above criteria:- Renewal is applied when(if):
 Majorities (more than 70%) of the housing units are deteriorated and they lack
housing related facilities.
 Majority (more than 50%) of the housing units are owned by government.
 The site lack basic infrastructure (street network, utilities and social services).
Up-grading applied when(if): The site has some basic infrastructure but they need
improvement and provision of additional infrastructure that are listed as shortage
 Majority (more than 70%) of the housing units and built up structures need
reservation(because of being at good condition)
 Majority of the housing units are owned by private

4.2.6. Developing a Process for Undertaking Redevelopment
4.2.6.1. Implementation, Monitoring and Evaluation
4.2.6.1.1. Purpose
The purpose of Monitoring and Evaluation of NDP preparation, Implementation is:
 Monitoring and evaluation need to be built into the plan as management tools to keep
track of the NDP preparation and measure implementation process.
To prepare detailed action plan and thereby proceed into practical preparation and
implementation activity.
It serves the purpose of timely identification of problems, in Plan preparation and
implementation.
 Providing regular information and feedbacks to decision makers, potential funding
agencies and local stakeholders to convince them that a Plan has or will deliver
benefits to the community.
 To help undertake corrective measures in case of deviations from standards, laws,
established rules, regulations and working procedures, etc.
 Provide an assessment for wealth and are important to continuing, or require
modifications to be successful.
 To monitor and evaluate whether the intended goals were achieved as planned and
undertake impact assessment

Task: Monitor and evaluate the proper undertaking of NDP preparation
Task: Implementation of the NDP plan
Task: Monitor and evaluate the proper undertaking of plan implementation
Task: Feedback and Reporting
Deliverables/ Outputs
 Monitoring and Evaluation checklists.
 Monitoring and Evaluation Reports
 Feedback and comments reports
Responsible Body
 Municipally Administration. -Regional planning Institute Bureau.
 Al Sector offices -Partners (NGOs, CBOs, etc) -Community
 Zone Planning office - Special Wereda Administration
 Regional Urban Development & housing bureaus/Offices

TIP: - The following is main points that should be considered in monitoring and
evaluation
1. Organize the implementing institute in terms of the necessary manpower, finance
and logistics before the commencement of the task
2. Give orientations and trainings to experts, municipal officials and stakeholders on
the implementation process and strategy.
Consider all available standards, rules and regulations of the Federal or the regional
governments.
3. Clearly state the roles and responsibilities of all actors/stakeholders.
4. Make regular follow ups and provide feedbacks and solutions to problems accordingly

Chapter five
5.Human Intervention Policies in the Squatter
and Slum Areas
Contents
Renewal
Revitalization/Regeneration
Redevelopment
Regularization

Is a package of basic services such as clean water supply and
adequate sewage disposal to improve the well-being of the
community.
But, ‘legalizing’ & ‘regularizing’ the properties in situations of
insecure or unclear tenure is most fundamental.
Thus, upgrading is the start to becoming a recognized citizen
1. Upgrading

Aspects to be considered in Upgrading:
Listen to, understand & focus on the needs of the poor
Involve the poor throughout the project creating
ownership and empowerment
Provide (legal) security
Provide affordable/ reasonable price / solutions
Build on existing social & cultural structures
Strengthen the informal sector
Consider the 6 A’s:
1. Acknowledgement, 2. Availability, 3. Accessibility,
4. Affordability, 5. Acceptability 6. Adoptability
Cont…

2. Urban Renewal:
Is a program of land redevelopment in areas of moderate to high
density urban land use.
Urban Renewal Program involves:
•the relocation of businesses,
•the demolition of structures,
•the relocation of people, and
•the use of eminent domain (Gov’t purchase of property for
public purpose).
Renewal has had both successes and failures.

Cont’d
Slum upgrading & Urban revitalization are a multi-
Sectoral process encompassing:
•Solid waste management
•Roads and transport
•Water, sanitation and hygiene
•shelter
•social & public services
Municipalities deal with these issues on a daily
basis.

Deteriorated Slums Upgraded/redeveloped

Seeks to bring about a lasting improvement in Socio-economic,
physical & env’tal condition of an area that has been subject to
change
Is an effective tool to promote sustainability & enhance macro-
level quality of life in cities.
Comprehensive and integrated vision and actions
Leads to the resolution of urban problems
3. Urban Regeneration:

• An interventionist Mechanism/strategy
• Involves public, private & community sectors
• A means of mobilizing collective effort,
• Provides a basis for the negotiation of appropriate solutions,
• A means for determining policies & actions designed to
improve the condition of urban areas
• A means of developing the institutional structures necessary
to support the preparation of specific plans,
`
cont’d

• For economic transition & employment change
• To address social and community issues
• To change the physical obsolesce due to new land &
property requirements
• To maintain environmental quality and
• To ensure sustainable urban development…
Why Inner-city Regeneration

 Increasing economic outcomes
 Attracting investment
 Creating stimulus for income generation
 Re-positioning the urban function in the city as a
whole
 Improving and modernizing physical & social
infrastructure
 Tackling social problems,
 Attracting new upper residents and users
 Rescuing tangible and non-tangible cultural values,
 Highlighting an identity/image of a place…….
Urban Regeneration Aimed at;

Presentation for the course Regularization and Redevelopment

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