Municipal Management Manual for Afghanistan Management Manual for Afghanistan...Strategic planning,...

Municipal Management Manual for Afghanistan

Afghanistan Municipal Strengthening Program

Chapters 9–12

Municipal Management Manual for Afghanistan © ICMA Introductory Material-2

This publication was made possible through support provided by the U.S. Agency for International Development (USAID) under Contract no. 306-A-00-07-00514-00. Any opinions

expressed herein are those of the authors and do not necessarily reflect the views of the Government of the Islamic Republic of Afghanistan, the Independent Directorate for Local

Governance, or USAID.

This publication was prepared by the Urban Management Centre, which is responsible for its contents. Contact details:

Ms. Manvita Baradi

Director, UMC III Floor, AUDA Building, Usmanpura

Ashram Road, Ahmedabad, Gujarat, India Tel: 91-79- 27546403/ 5303 Email: [email protected] Web: www.umcasia.org

Copyright © 2010 by the International City/County Management Association, 777 North Capitol Street, N.E., Washington, D.C. 20002. All rights reserved, including rights of reproduction and use in any form or by any means, including the making of copies by any photographic process, or by any electronic or

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Municipal Management Manual for Afghanistan © ICMA Introductory Material-3

Contents C Urban Planning

Chapter 9: Municipal Strategic Planning Chapter 10: Introduction to Urban Planning and use of Technology Chapter 11: Municipal Development Planning Chapter 12: Implementing the Municipal Development Plan

Chapter 9: Municipal Strategic Planning

Municipal Management Manual for Afghanistan © ICMA 9-1


Summary: This chapter explains the concept of strategic planning and how strategic planning helps a municipality achieve its goals. It also describes the strategic planning process and the methodology for monitoring and evaluating the action plans derived from the strategic plan.

Objectives: The objectives of this chapter are to:

Explain the strategic planning process for achievement of a municipality’s overall goals. Present the benefits of strategic planning. Detail the strategic planning process, including preparing for strategic planning,

conducting analysis, and developing timelines. Describe the formulation of action plans that enable execution of the strategic plan. Explain the role of appropriate communication in achieving the strategic goals. Understand the importance of monitoring and evaluating the results envisioned by a

strategic plan. Study relevant initiatives and examples of strategic planning in municipalities.

1.0 Introduction to Strategic Planning

Strategy is the direction and scope of an organization over the long term. Strategy achieves advantages for the organization by configuring resources within a challenging environment so as to meet the needs of customers and fulfill stakeholder expectations.

For example, in olden times, warlords would capture the highest location in a region as a “strategy.” This strategy was intended to fulfill the expectations of the subjects that the ruler would protect the kingdom from invaders. This action directed resources to provide safety, which was the goal of the rulers, and to acquire the location that would give them an advantage over attackers. In some cases, kings would marry princesses from far-away regions as a “strategy” to gain the support of the far-away kingdom or long-term trade advantages with that kingdom. In such cases, the king was the “visionary,” as he had a picture in his mind about the course of action that would be best for his subjects. His direction derived from his “vision” led his generals to wage wars and paved the way for traders to explore avenues of profit. These examples suggest that strategizing is an age-old concept.

A more modern example is an office, where different people may work toward different goals. The clerk’s goal is to empty his “in” tray and keep his files up to date. The clerk does not understand why a particular project file should be attended to first when his tray is brimming with work to complete. He makes no effort to handle the file required before completing his other work. The receptionist answers the phone and forwards calls to the right person; she responds promptly to the boss, but she may let the customers wait. The inspector has his list of buildings to be inspected for the month; he gives priority to requesters who make a phone call to his boss. The manager wants to ensure that a project is going to meet its deadline so she can add it to her accomplishments when she asks for a raise. She has no motivation to look out for innovation in the project, especially if that can delay it. The head of the department gives all his attention to a particular project while decisions on all other projects are pending, so that he can demand a promotion. At his level of authority, he may change priorities depending on the direction in which he wants his career to move.

All these office workers have a personal accomplishment in mind, and they are merely complying with their job descriptions or dealing with confusion while trying to make a living. In this scenario, each person is working with his or her own purpose in mind, own definition of his or her role, and limited understanding of priorities. For most employees it is easy to get



bogged down by day-to-day operations and lose direction of the overall purpose of their tasks.

Their efforts can gain direction by reflecting upon questions such as: Why does the organization exist? How is it important? How do I fit into this mission? How is my success in aiding this mission acknowledged? How will I achieve this mission? What strategy will I adopt? Answering these questions makes the employees aware of their role and importance in the organization’s overall purpose. It gives them a reason to add value and effort that goes beyond receiving their paychecks. This sense of direction gives a feeling of satisfaction to many and a reason to be proud. The direction also gives them the perspective that they are working as a team for one goal rather than for individual goals, even if they are working on different projects.

Strategic planning, which is literally a combination of strategizing and planning, answers the type of question listed above. The basis of a strategy is to establish a direction and answer the question “why?,” whereas the basis of a plan is to outline the steps to achieve the goal and answer the question “how?”

A strategic planning process helps people who need to work together agree upon their direction. In many cases, the process clarifies to the people what the “right” direction is and helps them align their activities with the agreed-upon direction. Thus, strategic planning is an organization's process of defining its strategy; establishing consensus; and making decisions on allocating (assigning) its resources, including its capital and personnel, to pursue this strategy.1

In another example, a person is visiting a place and has to stay at a hotel. There is a room available; the receptionist gives him the key and directs him to the room. The room is clean and meets his requirements. He orders food and gets the dish he ordered. He stays at the hotel and then moves to another city. There he stays at another hotel, where the receptionist welcomes him and makes a friendly joke that they both laugh at. The doorman treats him like a king. The chef asks his preference and sends him the food, attractively arranged. On the way to his room, he meets the supervisor, who asks him if he was able to find the place easily. The waiter seems interested in his finding everything satisfactory. On his way out, he is struggling to get his suitcase out of the elevator. An employee notices this and leaves the window he is cleaning to give him a hand and then gets quickly back to his work. The guest feels important and comfortable; he is not being fussed over, yet he feels looked after. He decides that if he has to come back to this city, he will stay here again. He will recommend the hotel to his friends and family.

He wonders how everyone in the hotel was aligned to provide hospitality until he notices a board in the hallway that says “This is a home away from home.” The owner of this business has ensured that every employee is well oriented to this vision of creating a home away from home. On the business front, the hotel does not have to try hard to find occupants, as customers recommend the place to their friends. The owner rewards customers with further incentives that ensure their return. He rewards all his employees for every satisfied customer. His business strategy is to ensure long-lasting relationships with his customers, which starts with them feeling at home.

In a democracy, the dynamics are different: every person has a right to a “vision” of the future. In this scenario, a large organization (such as a municipality) needs to find a way to work in one single direction with different people who have different priorities, ideologies, and sense of direction. As explained in the following section, strategic planning is useful in this regard.

2.0 Strategic Planning in Municipalities

Municipalities derive most of their finances from taxes and fees. Generally, funds are scarce, and thus they have to use their finances responsibly. Because citizens pay these taxes and



fees, they may be critical of the ways in which their money (i.e., the taxes) are being used. Thus, municipalities are scrutinized by the public and various organizations to make sure they carry out their responsibilities efficiently. Municipalities are always under pressure to ensure that their operations are responsive to the needs of their citizens. As municipalities look to earn revenue to provide services, they are increasing their customer orientation. When funds are limited, it is more important to get timely support from external stakeholders and achieve internal coordination. Further, municipalities have to align project cycles with their budget cycle, which makes it all the more important to gain the cooperation of all entities that influence the organization’s effectiveness.

Strategic planning provides this opportunity to align resources. For example, when the municipality discusses its strategic plan, which incorporates attention to inner-city revitalization, it might align these efforts with the Department of Energy’s underground wiring program. The strategic plan can become grounds for seeking additional cooperation from the Department of Transportation or the Water Board, for example. The plan also creates a strong basis for receiving grants and funds, as it increases the potential for successful implementation of projects. The benefits of strategic planning are detailed further in Section 3.0.

As explained in the examples in Section 1.0, strategic planning has been instrumental in the business sector to improve business. The purpose is to take a results-oriented approach and use the strategic plan to improve performance in municipalities. The business sector has identified management processes that help in strategic planning (e.g., the processes used to prioritize the allocation of resources or the assignment of personnel). These fourteen processes are listed in Annex A, Section 5.1. These processes are also applicable to municipal governments.

Municipal officials’ use of strategic planning processes provides them with a greater understanding of their organization, its functions, their role, and the outcome of their actions. Strategic planning for municipalities has to take into account the entire city: the citizens, who have needs; the private sector, which creates employment and ensures economic development; the public agencies, which provide services and make the city work; the future trends and direction of growth of the city; and the municipality as an organization that delivers the strategic plan. Strategic planning is a tool to establish an organization’s vision statement, as well as a collective vision for the city. It is a process to derive a formalized strategic plan. The case study in Annex B describes the strategic planning process undertaken by the municipality of Halton, Canada.

3.0 Benefits of Strategic Planning

Strategic planning is essential to top-level municipal managers’ ability to effectively carry out their responsibilities. Some reasons why strategic planning is a worthwhile exercise for municipalities are as follows:

Strategic planning forces managers to ask and answer questions that are of the highest importance.

Planning can simulate the future on paper—a practice that not only is comparatively inexpensive but also permits managers to make better decisions regarding what to do now about future opportunities and threats than if they waited until events happen.

Strategic planning is an effective way to look at an organization as a system and thereby prevent parts of the system from being less effective at the expense of the whole organization.

Planning stimulates the development of appropriate aims, which in turn are powerful motivators for people.



Planning provides a framework for decision making throughout the entire organization and thereby makes it more likely that lower-level managers will make decisions in conformance with top-level managers’ wishes.

Planning is necessary for the better exercise of most managerial functions. Planning provides a basis for measuring the performance of the entire organization and

its major parts. Strategic planning communicates key issues to top-level management and helps to

establish appropriate priorities for dealing with them. Strategic planning systems are superb channels of communication by means of which

people throughout an organization converse in a common language about problems of central importance to them and to the organization.

Strategic planning helps train managers and helps build managerial and staff capacity, which makes it easier for them to respond quickly and properly to new events.

Strategic planning systems provide an opportunity for people in organizations to contribute their talents to the decision-making process.

An organization is more likely to be successful with formal strategic planning than without it.

Strategic planning stimulates greater public dialogue and more political inputs into community development decisions; often this escalates the traditional planning process from the departmental level to the top manager and elected official level. When policy choices are to be made and technical recommendations need to be prepared, management must take a more active part in planning.

4.0 Strategic Planning Process2

Municipalities are large organizations with a wide range of functions. Moreover, the issues that crop up in cities and towns leave most city managers in a situation of “putting out fires”—most of their time is spent reacting to problems and managing crises. This leaves very little time for figuring out what they want to accomplish and how they want to accomplish it, let alone the time for analysis or reflection that is essential for improvement.

Strategic planning can be compared to embarking on a journey. The destination is unimportant compared to the experiences along the path that educate the travelers and give them insight into their own selves. For this insight, initiating the journey is important, even if the start is simple and small. In this context, it is important to understand that the entire process of conducting the strategic planning adds more value to the municipality than just the plan document that results from the process. Also, the length of the process should be appropriate so as not to exhaust the people involved in it. The purpose of the process is only to revitalize them and allow them time for thinking, which will help them see the meaning in their actions and improve their actions. With this perspective in mind, having an outside organization make a plan, adopting another municipality’s strategic plan, or having one person prepare the plan is of no use. One single person or an outside organization can guide the process, but all the persons and agencies that are involved in the municipal administration or are affected by its actions must prepare the plan together.

Strategic planning is not without limitations. Forecasts on which it is based may not occur: internal resistance may thwart its effectiveness, it is expensive and difficult, it requires a certain type of talent that may not exist in an organization, and it cannot get an organization out of a current crisis. Also, there is no perfect plan. Each plan is suitable to the local conditions and can be altered or improved under guidelines accepted by the municipality conducting the planning process.

The following sections outline the steps to take in conducting a strategic planning process.



4.1 Preparing for Strategic Planning

The strategic planning process is a series of small moves that together keep the municipality doing the right things as it heads in the right direction. Asking the following questions assists in the preparation for initiating strategic planning:

Who Should Be Involved in Planning?

Strategic planning is a team process. Consider the following guidelines when forming the team:

Include the mayor and city manager or chief executive in the planning group. They should drive development and implementation of the plan.

Establish clear guidelines for participating members. Identify, for example, who will provide background information, who will be directly involved in planning, who will review the plan document, and who will authorize the document.

Keep all elected members who lead the municipality strongly involved in planning. Always include in the group at least one person who ultimately has authority to make

strategic decisions; for example, select members of any higher government (provincial, national governments) and other department officials.

Ensure that as many stakeholders as possible are involved in the planning process. Involve staff who will be implementing the plan.

Involve administrative assistants to record key information, help with flipcharts, the monitor status of work, and perform other tasks.

In general, err on the side of involving more people. When there is any doubt about whether to involve a certain person in planning, it is best to involve them. It is worse to exclude someone useful than it is to have one or two extra people involved in planning.

How Many Planning Meetings Will Be Required?

The number of meetings depends on whether the municipality has done planning before, how many strategic issues and goals the municipality faces, whether the culture of the municipality is to hold short or long meetings, and how much time the municipality is willing to commit to strategic planning. Ideally, the team should attempt to complete strategic planning in at most two to three months, or momentum will be lost and the planning effort may fall apart.

How Can Implementation of the Strategic Plan Be Ensured?

The purpose of making the strategic plan is to implement it. The process itself gives the most important edge in ensuring implementation; however, following additional guidelines can help the strategic plan document avoid ending up unused, collecting dust on a shelf. These guidelines will ensure that the plan is implemented:

Involve the people who will be responsible for implementing the plan in the plan preparation process. Use representatives from different departments to ensure that the plan is realistic and collaborative.

Make a plan that is realistic. Keep asking the planning members “Is this realistic? Can you really do this?”

Organize the overall strategic plan into smaller action plans, often including an action plan (or work plan) for each committee.

In the overall planning document, specify who is doing what and by when (action plans are often referenced in the implementation section of the overall strategic plan). Prepare a list of intermediate results (milestones) for each activity.



In an implementation section in the plan, specify and clarify the plan’s implementation roles and responsibilities. Build in regular reviews of the implementation status of the plan.

Translate the strategic plan’s actions into job descriptions and personnel performance reviews.

Communicate the assigned roles and responsibilities, including responsibility for following up on plan implementation. If people know that the action plans will be regularly reviewed, implementers tend to do their jobs before anyone checks on them.

4.2 Conducting Strategic Analysis

The strategic planning effort has to begin with strategic analysis of the current scenario of the municipality and the city. This analysis must be performed in reference to baseline data contained in the city profile and collective city vision that have been prepared by way of the consultative process for city development planning documented in the Strategic Municipal Action Plans (SMAPs). See Chapter 11, Municipal Development Planning, for more information on SMAPs.

The SMAPs help cities identify their needs, assist with the critical decision-making process, and enable the implementation of plans and project proposals. The SMAP is an action plan for fair and equitable growth in cities, developed and sustained through participation, to improve the quality of life for all citizens.

The output of the SMAP process includes a city assessment, a city profile, a collective city vision, and a SMAP. The SMAP contains mission statements that describe how the municipalities and provincial government, together with other stakeholders, intend to work toward achieving this long-term city vision. The SMAP leads the translation of the mission into actions and actions into outcomes. With the SMAP as baseline information, the municipality can initiate strategic analysis.

For example, the collective city vision may state that the city aims “to become a highly livable city by the year 2020.” On this basis, the municipal administration may derive a vision to “provide quality service and facilities to meet the needs of a diverse community.” This visioning process leads to developing mission statements and then performing environmental scans and analysis of the municipality’s strengths, weaknesses, opportunities, and threats (SWOT analysis) as an organization (see below). The intention of these efforts is to equip the municipality to frame a vision and mission and to formulate action plans so that it can function effectively as an organization, enable its employees to perform to their best capacity, and deliver effective services to its citizens.

Developing a Mission Statement

The mission statement describes the overall purpose of the organization. If the organization elects to develop a vision statement before developing the mission

statement, ask “Why does the image, the vision exist—what is its purpose?” This purpose is often the same as the mission.

Kandahar, with the assistance of UN-Habitat, undertook a SMAP exercise to identify issues relating to urban development through a participatory process. This activity was directly linked to the goals of the Afghanistan National Development Strategy, and has resulted in the production of the SMAP, which incorporates the “collective vision for the city” to be achieved by 2010.

Similarly, Panjshir City produced a SMAP under the Afghanistan Municipal Strengthening Program. The plans for four other cities have also been prepared by the respective city teams.

Source: UN-Habitat, “Kandahar City: Urban Sector Profile & Strategic Municipal Action Plan,” Kabul, 2007, 44-94.



When wording the mission statement, consider the organization’s services, philosophy, and values.

The wording of the mission should allow municipal managers and staff to infer some order of priorities in service delivery.

Does the mission statement include sufficient description so that the statement clearly separates the mission of the organization from that of other organizations?

The terms “vision” and “mission” are further explained in Annex A, Section 5.2. Sample vision statements of Indian cities are also provided.

Performing Environmental Scans and SWOT Analysis

The “visioning process” helps in identifying the end results the municipality wants to achieve and where it sees itself in the future. The municipality conveys this by way of the vision statements it frames for itself and its employees to refer to while conducting their tasks. Once the vision and mission statements are in place, it is like having a picture of the destination one wants to go to. For example, a traveler has a picture in mind of a city that she saw in a newspaper. The traveler does not have a map. She starts her travel, and midway she inquires about the photograph she saw in the newspaper. Someone convinces her that the city she saw in the photograph is Kabul. The local expert tells her that the route she is on will lead her to Ghazni and not Kabul. The traveler wants to go to Kabul and not to Ghazni. So, she proceeds to find out where she is right now. This will help her draw a map to reach Kabul from her current location. The map will help her decide if it is feasible to reach Kabul from her current position or whether she should proceed to Ghazni and then map out the route to Kabul.

Similarly, the municipal employees have a picture (i.e., a “vision”) in their mind that they want the organization to achieve. Just as the picture inspires the traveler to keep going on the journey she had initiated, the vision carries the organization toward the common goal. However, their current status decides what is practically achievable. It is similar to the traveler trying to understand where she is now so that she can draw a map to her desired destination, the “vision.” This is what an “environmental scan” does.

An environmental scan collects information about the current conditions in the municipal organization. The environmental scan produces data that can be analyzed to project the probable future destination of the municipality. It provides data that show whether the destination will be the picture the municipal employees drew during the visioning process or whether they might reach someplace else if they stay on the current path. This helps to determine whether the destination is acceptable and they should continue on the current path or whether correction is required.

The environmental scan helps to:

Identify strengths, weaknesses, opportunities, and threats for the organization (called a SWOT analysis)

Interpret information from internal and external sources.

The tools for conducting an environmental scan are surveys, questionnaires, SWOT analysis, and focus group discussions. The SWOT analysis tool is discussed in detail in Annex A, Section 5.3.

Identifying Strategic Directions: Strategic Issues and Goals

Municipal officials may be reluctant to conduct a strategic analysis if they are unable to get an assessment of the external environment of the municipal organization and feedback from various stakeholders. As a result, the strategic planning process ends up looking only at what the organization is internally doing now and how they might do it a little bit better. The process ends at fine-tuning what the organization is already doing, rather than shoring up



weaknesses to avoid upcoming threats and using strengths to take advantage of new opportunities.

To ensure genuine strategic thinking:

Recognize strategies to be associated with opportunities such as resolving major issues, developing new methods of delivery, and reaching out to other groups.

Strategies should focus on structural changes as much as possible. These changes are more likely to direct and sustain changes in the organization.

In general, strategies deal with the question, “How do we position ourselves if the future changes, and if it is not what we expected?”

Use a brainstorming technique to collect all ideas from planning members. During strategy development, continue to ask, “Is this really a strategic activity? Will it

leverage change in the organization?” Reconsider strategies that have or have not worked or in the past.

Establishing Goals

A goal is “a written statement that clearly describes certain actions or tasks with a measurable end result.”3 Goals must have a measurable result with a timeframe for completion. Measurable goals are quantifiable (i.e., its quantity can be measured). It is described in such a way that the actual result cannot be disputed. If you cannot measure progress toward the goal, chances are that you cannot effectively manage a project to achieve it.

4.3 Developing Action Plans

It is critical to convert the strategies into action plans, also called work plans. It is equally important to include methods for verifying and evaluating the actual extent of implementation of the action plan. Action plans specify the actions needed to address each of the top strategic issues of the organization. They help to reach each of the associated goals, assign responsibility as to who will complete each action and specify the timeline.

Each department of the organization needs to have a separate action plan for each major function in the organization. These plans, in total, must depict how the overall action plan will be implemented. In each action plan, it is important to specify the relationship of the action plan to the organization's overall, top-level action plan. Also, it is important that these action plans be integrated with the Strategic Municipal Action Plans discussed in Chapter 11, Municipal Development Planning.

4.4 Developing Objectives and Timelines

“Objectives” are specific, measurable results produced while implementing strategies. While identifying objectives, one has to keep asking, “Are you sure you can do this?” The current year’s objectives need to be integrated as performance criteria in each implementer’s job description and performance review.

It is important to understand that objectives and their timelines are only guidelines, not rules set in stone. They can be changed, but changes should be understood and explained.

A sample matrix that helps to associate objectives, team member responsibilities, and timelines is provided in Annex A, Section 5.4.

4.5 Writing and Communicating the Strategic Plan

The strategic plan can be written most efficiently by one or two individuals, not by a whole group. It does not matter who writes the strategic plan; what matters is that the plan



accurately documents the decisions made, that it represents a shared vision, and that it has the support of those responsible for carrying it out.

It is important to consider review and approval processes from the beginning. The municipality should decide in advance who may review and respond to the draft plan. Ideally, the big ideas will have been debated and resolved, so that revisions will only amount to small matters of adding detail, revising format, or changing some wording in a particular section.

Writing the Strategic Plan Document

A strategic plan should concisely state in about ten pages why an organization exists, what it is trying to accomplish, and how it will go about doing so. The plan is meant to inform anyone who wishes to know about the organization's most important ideas, issues, and priorities. The audience for the document includes the council members, municipal staff, volunteers, funders, peers at other organizations, the press, and the public.

A sample format for the strategic plan document is provided in Annex A, Section 5.4.

Communicating the Strategic Plan

Certain groups of stakeholders will need copies of the complete plan, including annexes, while external stakeholder groups might receive only the body of the plan without its annexes. Senior municipal officials should get a copy of the plan. The municipality should also consider distributing the plan to everyone in the organization. The municipality could include portions of the plan in an employee manual and could share highlights of the plan with funders, trade associations, and potential collaborators.

The municipality could post its mission and vision on its website, and on the bulletin boards of municipal offices. The mission and vision could also be printed on the municipality’s stationery and in other municipal publications.

4.6 Monitoring, Evaluating, and Deviating from the Plan

Monitoring and evaluating the planning activities and status of plan implementation is as important as identifying strategic issues and goals. Monitoring and evaluation ensures that the municipality is following the direction established during strategic planning. It should be clearly understood that plans are guidelines and it is okay to deviate from a plan. However, it is necessary to give reasons for the deviations from and updating of the plan to reflect the new direction. The strategic plan document itself should specify who is responsible for the overall implementation of the plan, who is responsible for achieving each goal and objective, and also who is responsible for monitoring the implementation of the plan and making decisions based on the results. For example, a department head might expect the main program officer to regularly report to the full team about the status of implementation, including progress toward each of the overall strategic goals.

The key question to ask while monitoring and evaluating the status of plan implementation is whether goals and objectives are being achieved. If they are, then acknowledge, reward, and communicate the progress. If not, then consider the following questions:

Will the goals be achieved according to the timelines specified in the plan? If not, why? Should the deadlines for completion be changed? Do personnel have adequate resources (e.g., money, equipment, facilities, training) to

achieve the goals? Are the goals and objectives still realistic?

The frequency of reviews depends on the nature of the organization and the environment in which it is operating. Organizations experiencing rapid change from the inside or outside may want to monitor implementation of the plan at least monthly. Chief executives should review the status of implementation at least once every month.



It is important to revisit the strategic plan every five to ten years to ascertain the success of the plan and to make alterations or corrections. This revisiting ensures that the plan is relevant to the current situation and helps the municipality to evolve and improve its performance and value to the people it serves. The strategic plan is not a rigid definition of the municipality’s activities but a tool that enables the municipality to function meaningfully. Revisiting also benefits the new people who join an organization and harnesses their skills to benefit the strategic planning process.

What did we learn about in this chapter?

The basics of strategic planning The role of strategic planning in municipalities The right perspective and benefits of strategic planning The processes and steps involved in conducting strategic planning The preparation required to begin a strategic planning process Tools for conducting strategic analysis Approaches for developing action/work plans Approaches for writing a plan document and communicating the plan and results to

stakeholders, employees, and citizens Examples of strategic planning tools Example of a strategic planning initiative in a municipality



5.0 Annex A

5.1 Processes for Strategic Planning

The processes listed below4 have been adapted for municipal government use:

1. Setting objectives: Deciding which services the government should handle and agreeing on the fundamental values that will guide and characterize government policy.

2. Planning the strategy: Developing concepts, ideas, and plans for achieving objectives successfully. Strategic planning is part of the total planning process that includes management and operational planning.

3. Establishing goals: Deciding on achieving targets that are shorter in time range or narrower in scope than the objectives but designed as specific sub-objectives in operational plans.

4. Developing a government philosophy: Establishing the beliefs, values, attitudes, and unwritten guidelines that add up to “the way we do things around here.”

5. Establishing policies: Deciding on plans of action to guide the performance of all major activities in carrying out strategy in accordance with the government’s philosophy.

6. Planning the organizational structure: Developing the plan of organization to serve as the “harness” that helps people pull together in performing activities in accordance with strategy, philosophy, and policies.

7. Providing personnel: recruiting, selecting, and developing personnel—including an adequate proportion of high-caliber talent to fill the positions provided for in the organization plan.

8. Establishing procedures: Determining and prescribing how all important and recurrent activities shall be carried out.

9. Providing facilities: providing the treatment plant, equipment, and other physical facilities required to carry on services and the administration of government.

10. Providing capital: Making sure the government has the money and credit needed for physical facilities and working capital.

11. Setting standards: Establishing measures of performance that will best enable the government to achieve its long-term objectives.

12. Establishing management programs and operational plans: Developing programs and plans governing activities and the use of resources that, when carried out in accordance with established strategy, policies, procedures and standards, will enable people to achieve particular goals.

13. Providing control of information: Supplying facts and figures to help people follow the strategy, policies, procedure, and programs, watching for forces at work inside and outside the business and measuring performance against established plans and standards.

14. Activating people: Commanding and motivating people from the bottom up and from the top down to act in accordance with philosophy, policies, procedures, and standards in carrying out the plans of the government.



5.2 Definitions: Vision, Mission, Values, Strategy5

Vision: Defines the desired or intended future state of an organization or enterprise in terms of its fundamental objective and/or strategic direction. Vision is a long term view, sometimes describing how the organization would like the world in which it operates to be. For example a charity working with the poor might have a vision statement which read "A world without poverty"

Mission: Defines the fundamental purpose of an organization or an enterprise, describing why it exists and what it does to achieve its Vision.

Values: Beliefs that are shared among the stakeholders of an organization. Values drive an organization’s culture and priorities.

Strategy: Strategy narrowly defined, means “the art of the General in the army” (from Greek stratigos) and hence is often explained in the context of planning for and conducting war. Strategy is a combination of the goals for which the firm is striving and the policies by which it seeks to get there.

Organizations sometimes summarize goals and objectives into a mission statement and a vision statement. Others begin with a vision and mission and use them to formulate goals and objectives.

A vision statement outlines what the organization wants to be, or how it wants the world in which it operates to be. It concentrates on the future. It is a source of inspiration. It provides clear decision-making criteria.

A mission statement tells the fundamental purpose of the organization. It defines the customer and the critical processes. It establishes the desired level of performance.

An advantage of having a statement is that it creates value for those who get exposed to the statement: managers, employees, and citizens. Statements create a sense of direction and opportunity. They are an essential part of the strategy-making process. Many people mistake vision statement for mission statement, and sometimes one is simply used as a longer-term version of the other. The vision should describe why it is important to achieve the mission. A vision statement defines the purpose or broader goal for being in existence or in the business and can remain the same for decades if crafted well. A mission statement describes more specifically what the enterprise can achieve itself. The vision should describe what will be achieved in the wider sphere if the organization and others are successful in achieving their individual missions.

The following are sample vision statements from two Indian cities:

Bangalore: Bangalore’s vision for the year 2015, as developed during city development planning, is to retain its pre-eminent position as a City of the Future through its cosmopolitan character and global presence, and to enable and empower its citizens with growth opportunities to promote innovation and economic prosperity; a clean and green environment; high-quality infrastructure for transport and communication; wide-ranging services aimed at improving the quality of life for all; conservation of its heritage and diverse culture; and responsive and efficient governance.

Delhi: Delhi’s vision is to become a highly livable city that offers a superior quality of life through a robust, employment-generating economy; that is safe and inclusive, environmentally and socially sustainable; and is based on reliable infrastructure and offers a transparent, responsive system of governance dedicated to the city’s felt needs.



5.3 SWOT Analysis Tool

The SWOT tool aids in getting the following answers:

Strengths

What advantages does your organization have? What do you do better than anyone else? What unique or lowest-cost resources do you have access to? What do people see as your strengths?

Consider this from an internal perspective, and from the point of view of your citizens.

Weaknesses

What could you improve? What should you avoid? What are outsiders likely to see as weaknesses?

Consider this from an internal and external basis: Do other people seem to observe weaknesses that you do not see? Are other municipalities doing any better than you are?

Opportunities

Where are the good opportunities facing you? What are the interesting trends you are aware of?

Useful opportunities can come from such things as:

Changes in technology and markets on both a broad and narrow scale Changes in government policy Changes in social patterns, population profiles, lifestyle changes, etc. Local events.

A useful approach for looking at opportunities is to look at your strengths and ask yourself whether these open up any opportunities. Alternatively, look at your weaknesses and ask yourself whether you could create opportunities by eliminating them.

Threats

What obstacles do you face? What are neighboring municipalities or other levels of government doing that you should

be worried about? Are the required specifications for your job or services changing? Is changing technology threatening your ability to provide services? Do you have bad debt or cash-flow problems? Could any of your weaknesses seriously threaten the financial health of your municipality

and your ability to provide effective services?

Carrying out this analysis will often be illuminating—both in terms of pointing out what needs to be done, and in putting problems into perspective. Strengths and weaknesses are often internal to your organization. Opportunities and threats often relate to external factors.

Following is an example of a SWOT analysis for a municipality.



Sample SWOT Analysis

Strengths Weaknesses Challenges Opportunities

Willingness of people to implement Availability of accounting infrastructure

Lack of personnel Lack of skills Lack of functioning infrastructure Under-utilization of accounting infrastructure Lack of asset inventory/valuation Lack of financial expertise Lack of time/resources for establishment of legally required local committees Lack of systems in place No provision for involvement of urban poor/civil society

Expenditures/funding Political will Overuse of computerization (health issues) Optimization of resources Responsibilities/work increases Greater expectations from civil society Political intervention increased? Provision of social and physical infrastructure to civil society

Greater transparency (also threat?) Greater efficiency/ improved service levels Asset inventory/valuation Public awareness and participation Empowerment of citizens—better quality of services

5.4 Strategic Plan Document Format

Following is an outline for a strategic plan document.

Main Document

Executive Summary: Summarizes the mission of the municipality, its overall major issues and goals, and key strategies to reach the goals.

Authorization: Includes all necessary signatures from the mayor and other top management designating that they approve the contents of, and support implementation of, the plan.

Organizational Description: Describes the profile of the municipality, the beginnings and history of the municipality, and its highlights and accomplishments.

Mission and Vision: Describes the strategic “philosophy” of the municipality. Goals and Strategies: Lists all of the major strategic goals and associated strategies

identified during the strategic planning process. The matrix below shows a sample format for integrating goals and strategies with objectives, persons with implementation responsibility, and timelines.

Strategic Goal Strategy Objective Responsibility Timeline

1.(Goal #1) 1.1 (first strategy to reach Goal #1)

1.1.1 (first objective to reach while implementing Strategy #1.1)

(who will accomplish that objective)

(when the implementer will accomplish that objective)



Annexes

Action Planning: Specifies objectives, responsibilities, and timelines for completion of objectives.

Description of Strategic Planning Process Used: Describes the process, tools used to develop the plan, who was involved, the number of meetings, any major lessons learned to improve planning the next time around, etc.

Strategic Analysis Data: Includes information generated during the environmental scan and SWOT analysis, and includes a listing of strategic issues identified during these analyses.

Goals: Establishes goals for various members of the municipal staff. Budget Planning: Depicts the resources and funding needed to obtain and use the

resources needed to achieve the strategic goals. Budgets are often depicted for each year of the term of the strategic plan.

Operating Plan: Describes the major goals and activities to be accomplished over the coming fiscal year.

Financial Reports: Includes last year’s budget (with estimated expenses and the actual amounts spent) and this year’s current budget (again with estimated amounts and actual amounts spent).

Monitoring and Evaluation of Plan: Includes criteria for monitoring and evaluation, and the responsibilities and frequencies of monitoring the implementation of the plan.

Communication of Plan: Describes the actions that will be taken to communicate the plan, or portions of it, and to whom.



6.0 Annex B: Case Study of Strategic Planning for the Municipality of Halton, Canada

Many communities in the United States and Canada have redefined their planning processes as strategic planning. This case from Canada6 illustrates how the strategic planning process operates in one community, the regional municipality of Halton (called the Halton region), which is located in the province of Ontario about twenty miles west of Toronto.

The Halton region used the following steps in its strategic planning process:

Identify and forecast pertinent factors Evaluate the community’s resources Set objectives Formulate strategies to achieve the objectives Implement the strategies.

Originally a county in Ontario, Halton became a regional municipality in 1974 under the province’s municipal planning act. The city of Burlington and the towns of Oakville, Central Halton, and North Halton gave up responsibilities for certain services at that time, and these services were taken over by the new regional municipality. Roads, health, welfare, police, water, sewage, and planning services are now performed by what amounts to an urban county form of government. Unlike the municipality’s earlier planning, which had been oriented toward land use, the new “corporate plan” was a strategic planning process. Work on the corporate plan began in 1980 with a meeting of the chief administrative officer (CAO), ten department heads, and the corporate planning coordinator. Each department head provided opinions on the following topics:

Responsibilities Current tasks Major new tasks or expansion of existing tasks to be undertaken in the next five years Major new tasks or expanded tasks that the department would ideally like to undertake Changes, particularly by the provincial government, affecting the department Changes in the direction of the department perceived by the department head.

The tasks to be performed in the future became the basis for the Halton region’s corporate plan. The aim was to set task priorities within departments, merge these priorities into an overall set of task priorities, and re-rank them as a group. Once this was done, the tasks were reviewed by the standing committees of the Halton Regional Council (the elected governing body for the region). The CAO and planning staff’s agenda for these committees was to reiterate regional aims; describe key assumptions about the future; prepare and review departmental work programs; establish “corporate” directions and priorities; prepare and review the draft corporate plan; estimate costs and revenues; and adopt the final corporate plan. Together with department heads, the sixteen elected officials held a one-day workshop and developed the following priorities:

Seek alternatives to the solid waste landfill Create jobs Improve communication with and service delivery to citizens Improve financial accountability Seek better intergovernmental coordination Increase cost-effectiveness



Strengthen management staff and practices Return utilities and road responsibilities to city and town governments (this priority was

later rescinded by the regional council) Improve interaction with provincial policies and funds (intergovernmental relations) Concentrate on tasks that draw the region together Continuously examine levels of service Reduce debt Get rid of the sewer surcharge system.

Next, the CAO and department heads reviewed and edited tasks, reducing them from 225 to 116. This process acquainted department heads with what the other departments intended to do during the next five years. The CAO and department heads then used the paired comparison method to rank the 116 tasks. They took two tasks at a time and determined their ranking, then introduced a third task to obtain its relative ranking in comparison with the tasks already ranked, and so forth. This was done for four groups of tasks; it represented the essence of the draft corporate plan: key directions (as identified by the council) and tasks in priority order (as identified by the CAO and department heads).

Halton later decided to redo the priority-setting exercise with more council involvement. To increase the council’s involvement, four task forces were established, and the staff prepared a list of 46 basic responsibilities or functions of the government. Each councilor scored these responsibilities or functions on a scale of 1 to 5 (1 signifying that the responsibility or function was “needed, but not so important”). The ranking of these functions appeared in the final version of the corporate plan. The final step was to rank the 116 tasks within the 46 basic responsibilities and or functions of the government. The four councilor task forces simply listed tasks in order of priority within each responsibility or function, and this became the basic plan. In this example, the Halton region used the planning process to identity objectives, determine priorities among tasks, and estimate the costs of those tasks for a five-year period. Any municipality can apply the process by following the steps described above.

7.0 Bibliography

Florida International University, “Expectations & Goals,” Division of Human Resources, http://hr.fiu.edu/index.php?name=expectations_goals.

McNamara, Carter. “Strategic Planning in Nonprofit or For-Profit Organizations.” Adapted from Field Guide to Nonprofit Strategic Planning and Facilitation. Authenticity Consulting, December 2007, http://www.managementhelp.org/plan_dec/str_plan/str_plan.htm#anchor4293651425, accessed November 2008.

Slater, David C. Management of Local Planning. Washington, DC: International City/County Management Association, 1984.

“Strategic Planning,” last modified September 14, 2010, http://en.wikipedia.org/wiki/Strategic_planning.

UN-Habitat. “Kandahar City: Urban Sector Profile & Strategic Municipal Action Plan.” Kabul, 2007, 44-94.



8.0 Endnotes

1 “Strategic Planning,” last modified September 14, 2010, http://en.wikipedia.org/wiki/Strategic_planning. 2 Carter McNamara, “Strategic Planning in Nonprofit or For-Profit Organizations,” adapted from Field Guide to Nonprofit Strategic Planning and Facilitation (Authenticity Consulting, December 2007), http://www.managementhelp.org/plan_dec/str_plan/str_plan.htm#anchor4293651425, accessed November 2008. 3 Florida International University, “Expectations & Goals,” Division of Human Resources, http://hr.fiu.edu/index.php?name=expectations_goals. 4 David C. Slater, Management of Local Planning (Washington, DC: International City/County Management Association, 1984). 5 “Strategic Planning,” last modified September 14, 2010, http://en.wikipedia.org/wiki/Strategic_planning. 6 Regional Municipality of Halton, Canada. “2007-2010 Strategic Plan,” http://www.halton.ca/cms/one.aspx?portalId=8310&pageId=9922.

Chapter 10: Introduction to Urban Planning and Use of Technology



Summary: This chapter introduces the concept of urban planning and highlights the need for an integrated urban planning process. It details the various aspects that urban planners need to consider while undertaking urban planning exercises and the use of modern technology in preparing, planning, and monitoring the implementation of the development plan.

Objectives: The specific objectives of the chapter are to understand:

The beginning of urban settlements worldwide and in Afghanistan

The concepts of and need for urban planning

The current status of urban planning in Afghanistan

The elements of a comprehensive planning process and of master/development plans

The use of modern technology such as geographic information systems (GIS) and remote sensing in urban planning.

1.0 The Beginning of Human Settlements Early humans were nomads, moving from place to place, gathering their food by hunting, and collecting fruits and roots from the forests. The earliest Mesopotamian human settlement so far discovered is believed to be Jericho on the river Jordan in Mesopotamia, now Iraq. The carbon-dating process has fixed the time of this settlement at 8000 BCE.

The early settlements mainly developed along rivers. The Egyptian civilization flourished on the banks of the Nile in Egypt around 3500 BCE. The Mesopotamian civilization flourished in the Tigris and Euphrates Valleys, along the Euphrates River. This led to the flowering of the first civilization in Sumer, around the fourth century BCE. The Indus Valley civilization, which dates to approximately 3000 BCE, flourished on the banks of the Indus River in India; while the Chinese civilization, dating back to approximately 9000 BCE (making it the oldest of these civilizations), flourished on the banks of the Yangtze River. Urban culture and a semblance of systematic urban planning eventually appeared in all these civilizations.

Before the eighteenth century, the majority of cities and towns had populations of about 2,000–3,000 people, with 85–90 percent of the population living in small agricultural hamlets and villages of 300–400 people scattered across the countryside. Since transportation was not developed, it was essential for people to live close to their farmlands, thus limiting the size of cities and towns.

A few cities grew large, owing to the merging of several neighboring villages or their location as a transportation hub (port/river crossing) or proximity to a palace or castle of importance. Even in pre-industrial Europe, there were about twenty or thirty cities housing a population between 10,000 and 20,000 and only about five or six housing 50,000 to 150,000 (e.g., Florence, Rome, Milan, Paris, London). These cities were located on the banks of rivers or on the coasts. Only after the Industrial Revolution in the eighteenth century was there a steep rise in urban development and city sizes because jobs available in the industries attracted more and more people.

Thus, throughout the eighteenth and nineteenth centuries, urban populations all over Europe and North America rose rapidly, with the population of London and Paris passing the one million mark by 1800 and many other cities in the 100,000–500,000 population range. Even at this time, all of these large cities were located upon coastlines or navigable rivers.



2.0 Evolution of Urban Development in Afghanistan Afghanistan is located in the Hind Kush mountain range. It is estimated that civilization developed in this area 5000 years ago. Aryans developed a place called Bukhdi (modern-day Balkh) in northern Afghanistan, which was the center of civilization during that period. In southern Afghanistan, near Kandahar, the city of Mandigak developed during that time and formed a link between the cities of Mohenjo-daro, Harappa, and Haib City (near Baghdad).

In ancient times, Herat in western Afghanistan, Kabaha or Kabul in central Afghanistan, and Arakozai or Kandahar in the south were well developed. The city of Balkh was called the “Mother of All Cities” by the Arabs. Bamyan, Ghazni, Qala-e-bost, Mazar-e-sharif, Jalalabad, and a few other cities also developed over time. Every major city of Afghanistan has been the capital for different empires. In 1747, Kandahar was developed by Ahmad Shah Baba, whereas his son Timor Shah developed Kabul as the capital in 1772. Kabul at that time was considered one of the best cities of the world to live in.

More recently, in the 1960s, an urban management office was formed within the Ministry of Public Works for developing the city of Kabul. This was upgraded to the Ministry of Urban Development and Housing and later became the Ministry of Urban Development in 1967. The ministry was formed to look after the urban development activities of the country. Though the cities in Afghanistan have a strong cultural and historic legacy, the recent conflicts have destroyed their development pattern. The cities are now challenged to accommodate returning populations and are becoming crowded and disorganized. Rapid urbanization is posing serious problems for the municipal administrations in delivering effective and efficient services to city inhabitants in general and to the urban poor in particular.

Conscious urban planning efforts are required in order to overcome the problems of rapid urbanization. Planning of urban areas needs to be inclusive so as to accommodate the needs of various disadvantaged groups. Such planning efforts are part of the strategic goals and long-term development plan of the Ministry of Urban Development and are in agreement with the Millennium Development Goals (MDGs). (See Chapter 3, Good Urban Governance, for an explanation of the MDGs.)

3.0 Introduction to Urban Planning and the Need for Planning Cities Urban planning can be described as a technical and political process concerned with the welfare of people, control of the use of land, design of the urban environment including transportation and communication networks, and protection and enhancement of the natural environment. Modern urban planning emerged as a profession in the early decades of the twentieth century, largely as a response to the crumbling sanitary, social, and economic conditions of rapidly growing industrial cities. Initially, the disciplines of architecture and civil engineering provided the core group of concerned professionals. They were joined by public health specialists, economists, sociologists, lawyers, and geographers as the complexities of managing cities came to be more fully understood. Contemporary urban and regional planning techniques for survey, analysis, design, and implementation developed from an interdisciplinary synthesis of these fields.

3.1 Urbanization The urbanization process in developing countries has been rapid. Urbanization brings with it a large influx of people to the urban areas. Because the process in developing countries has been compressed in the last four to five decades, the sudden increase in the population has created serious problems for municipal administration and management.

The challenges of rapid urbanization are:

Pressure on existing inadequate infrastructure Poor housing conditions



Inadequate social amenities Traffic congestion Environmental pollution Increase in the number of squatter settlements Inadequacy of public transport.

3.2 The Need for Planning Cities Figure 1 shows inequitable development in cities; huge slums that house the growing number of migrants to cities; environmental degradation; lack of adequate urban services (water supply, sanitation, education, sewerage, trash management); and deterioration of services. In this current situation of rapid urban growth, the role of the municipalities in planning and managing the city becomes very important. To overcome the pressures of rapid urbanization, comprehensive planning of the area under the municipality’s jurisdiction is recommended. See the case study of the Town Planning Scheme in Ahmedabad (Annex A) for an example of the approach to city planning used in the state of Gujarat, India.

Figure 1: Inequity in City Development

Municipalities need to provide basic services before new development begins in order to keep pace with the development, control haphazard growth, and make the cities livable. To facilitate and sustain growth, cities have to provide both a high quality of life and an efficient infrastructure for economic activities.

Good planning begins with providing basic infrastructure and services to the citizens at reasonable and equitable prices and quality. But given the present financial and institutional condition of Afghanistan’s municipalities, providing adequate services seems very difficult.

Municipalities are trapped in a vicious cycle of a low-level equilibrium of service provision. The existing services are below expected standards and do not even meet the basic needs of the citizens, the taxation level and fee structure is very low and unrealistic, and there is a lack



of political willingness to charge. The unwillingness to charge adequate fees results in low revenue generation and low investment in service improvements, and thus the cycle continues indefinitely. Planning helps to change from a negative to a positive cycle of service provision (see Figure 2).

Figure 2: Negative and Positive Cycle of Service Provision

4.0 A Brief Overview of Planning in Afghanistan

4.1 Policies and Legislation for Urban Planning In many countries, the concept of a development plan or master plan, as it is commonly referred to, was introduced to help formalize urban planning. The Law on Municipalities of 20001 explicitly vested the municipalities with responsibilities relating to “urban master plans.” The Law on Municipalities stipulates the ability to implement an “urban master plan” as one of the two criteria for the establishment of municipalities. The law also gave the ownership of the master plans to the municipalities, and in Article 5 instructed the Departments of Central Engineering and Urban Planning to consult and cooperate with the municipalities in the implementation of such plans (see Chapter 2, Section 4.0, for more details). Annex B highlights the relevant constitutional articles from an urban planning point of view and the specific roles and responsibilities of municipalities.

Provincial governments function as the “first-line supervisors” of municipalities (apart from Kabul). Provincial councils also have duties related to urban planning and development, as follows:

Participate in determining the development objectives of government such as economic, social, health, education, reconstruction, and contribute to improving other affairs of the province.

Provide consultation on effective usage of the province’s revenues. Provide consultation to design the development plan of the province and anticipated plan

before proposing it to the national government. Evaluate the development plan and annual expenditure process of the provincial

administration, and provide a report to the inhabitants of the province through the media.



4.2 Current State of Urban Planning in Afghanistan Master plans, or development plans, for Afghan municipalities are prepared by the Ministry of Urban Development. These plans, after approval from the head of the Islamic Republic of Afghanistan and the Council of Ministers, are implemented by the municipalities.

The Ministry of Urban Development has divided the entire country into eight regions. The ministry prepares regional plans for balanced regional development and optimum utilization of the country’s resources in the interest of the citizens of Afghanistan. The proposed master plans for these municipalities should be in tune with the proposed regional plans.

Provincial municipalities have responsibility for “planning,” which is based on the master planning methodology. Planning needs to be a comprehensive process incorporating physical planning with social and economic aspects as well.

The city of Kandahar serves as an example. The 1964 master plan for Kandahar was upgraded in 2004 by the Ministry of Urban Development. While it is an improvement on the earlier plan, the new master plan requires detailed sectoral plans for proper implementation. In 2007, only 30 percent of these requirements had been met. Foundational studies for urban development (e.g., on land use and socioeconomic characteristics) have not been undertaken; these are prerequisites for guidance on such matters as urban livelihoods, service delivery improvements, and economic growth. The plans do not devote sufficient regard to the protection of the agricultural lands and orchid cultivation, which are the vital economic bases for the province and the city, and are key to environmental protection. Environmental protection has come under the regulatory authority of National Environment Protection Authority (NEPA) set up under the Environment Law of 2007 (see Chapter 25, Environmental Management). Also, social concerns, such as the need for facilities for leisure and recreation, have not been taken into consideration.

Kandahar has been fortunate to secure the assistance of UN-Habitat to examine in detail, through a participatory process, issues relating to urban development. This activity was directly linked to the goals of ANDS, and has resulted in the production of the Strategic Municipal Action Plan (SMAP), which incorporates the “collective vision for the city” to be achieved by 2010.2

Similarly, ICMA, with technical assistance from the Urban Management Centre (UMC) of India, has prepared the Strategic Municipal Action Plan for Panjshir City (see box). These will be discussed in detail in Chapter 11, Municipal Development Planning.

Urban Planning Work Undertaken under the Afghanistan Municipal Strengthening Program (AMSP)

Creation of Base Maps: ICMA-UMC digitized 1:10000 scale city base maps of eight AMSP municipalities: Panjshir, Charikar, Gardez, Ghazni, Kandahar, Tirin Kot, Asadabad, and Sharana. These up-to-date digitized city maps were produced by interpretation of high resolution satellite images followed by an extensive ground-truthing process. In the absence of any authoritative references for the delineation of municipal boundaries, the mayor/governor in each municipality specified the geographic area that s/he wished to have included in the digitized base map for his/her municipality and the surrounding environs. This initial municipality base mapping project was completed in August 2009. These maps currently exist as ArcGIS shapefiles (x.shp) for eight of the ten original AMSP municipalities.

Preparation of Strategic Municipal Action Plans: ICMA-UMC conducted a detailed SMAP preparation process with Panjshir City. Stakeholder consultations with a varied group of stakeholders including various government line departments, citizens, elders, and NGOs were involved in developing a vision for the city and identifying priority areas for development of the city.



5.0 Elements of a Comprehensive Planning Process This section deals with the elements of a comprehensive planning process and explains the stages of consultations, plan preparation, and plan implementation. Comprehensive planning refers to planning that integrates social, economic, and spatial planning, which requires functional and hierarchical integration of all planning functions. To integrate with existing planning hierarchies, the planning process also needs to encompass all relevant levels of planning (e.g., national, regional, and local) in a well-defined system.3

The traditional master planning process is long, has been confined to the aspects of land use and development control, and does not necessarily respond to the socioeconomic development and investments in the city. Due to these constraints, many countries such as India are advocating the new concept of a city development plan (CDP) based on a city development strategy, which is a participatory and consultative process involving many stakeholders. In this process, medium-term (five to ten years) and long-term (ten to twenty years) strategies for the city are prepared. (See Chapter 11, Municipal Development Planning.)

A CDP is created through a consultative process that empowers stakeholders by elevating them to the level of decision makers (through direct engagement and dialogue between stakeholders and public agencies) to solicit ideas, active involvement, and participation in the community planning process. Active public involvement can help planners achieve better outcomes by making them aware of the public’s needs and preferences and by using local knowledge to inform projects. When properly administered, consultations can result in more meaningful participation and better, more creative outcomes to persistent problems than can traditional participation methods. Consultations enable planners to make decisions that reflect community needs and values, foster faith in the wisdom and utility of the resulting project, and give the community a personal stake in the plan’s success.

As shown in Figure 3, master/development plans are the blueprints of future development, unified by a common vision and mission statement prepared with the consensus of the stakeholders. Along with this CDP, a capital investment plan is also prepared. In preparing the capital investment plan, the resources available in the municipality and the resources required for implementing the projects envisioned in the plan are considered. The gap between the two is to be bridged through financial assistance from financial institutions or multinational organizations or through user charges. The authorities also prepare a financial operating plan to outline the revenue and expenses over a period of time. This plan uses past performances, income, and expenses to forecast what to expect in the following years. It then incorporates past and recent trends into the planning to more accurately forecast what is to come.

The master plan is prepared using techniques such as SWOT analysis, which considers the strengths, weaknesses, opportunities, and threats of the city (see Chapter 11, Municipal Development Planning, for a more detailed discussion of SWOT analysis). Since the consultative process involves all the stakeholders in drafting the proposals, they develop a sense of ownership of the plan.

In implementing the development plan, the general practice is to acquire the land reserved in the development plan for various social amenities and widening of roads or aligning new roles. Once these lands are acquired, the works are executed. Another form of implemen-tation is passive implementation, which consists of zoning and development promotion through development control regulations. However, the latter method is very slow and depends on the pace of development of the city.



Figure 3: Comprehensive Urban Planning Process

Planning essentially involves allocating scarce land resources to various competing land uses. It establishes an appropriate balance among three major land uses—residential, industrial, and commercial—and connects these land uses through an efficient transportation network. In this process of ensuring efficient land use and equitable distribution of land, government intervention is necessary. This intervention is usually in the form of statutes. Many developed and developing countries have city planning laws to allocate land to competing uses.

Currently, there are no city planning laws in Afghanistan. According to current practice in Afghanistan, planning is considered a step-by-step exercise. The area surrounding the existing development is divided into several sectors, and a plan is prepared for this area. This area is then considered as the jurisdiction of the municipality. The future expansion boundary of the municipality is designated after considering the population of the city. In selecting the area for the extension of the municipal boundary, care is taken to avoid selecting land that is under cultivation and also land that is unsuitable due to mountainous terrain.

6.0 Elements of a Master/Development Plan Some of the aspects that a good master/development plan must consider are:

6.1 Urban Aesthetics Planners need to ensure equitable growth within the city, avoid conflict between growth in the core of the city and growth on the outskirts, and ensure appropriate housing density. They also need to mix land uses for the most appropriate development. Apart from these issues, urban planning considers urban character, local identity, heritage, pedestrians, traffic, utilities, and natural hazards. Planners can help manage the growth of cities by applying tools such as zoning and growth management to manage the uses of land.



6.2 Slums and Informal Settlements Due to rapid urbanization, there has been a huge growth of slums and informal settlements in all major cities worldwide, especially in developing countries. Planning resources and strategies are needed to address the problems of slum development. When planners work on slums, they need to be sensitive to the needs of the slum dwellers and the need to integrate these isolated pockets with the main infrastructure of the city while also considering tenure issues (see Chapter 19, Tenure Security and Land Titling).

For example, in India, there has been a shift from slums being considered as eyesores to be demolished to an inclusive process where slum dwellers are considered citizens and contributors to the city economy, leading to in-situ development of slums and provision of basic services. See Chapter 18 for more details on provision of services to informal settlements.

6.3 Reconstruction and Renewal Areas that have been devastated by war or invasion pose a serious challenge to planners. Resources are scarce, and the existing population has many needs. Buildings, roads, services, and basic infrastructure such as power, water, and sewerage are often damaged, but with salvageable parts. Historic, religious, or social centers also need to be preserved and re-integrated into the new city plan. A prime example of this is Afghanistan’s capital city of Kabul, which, after decades of civil war and occupation, has regions of rubble and desolation. Despite this, the indigenous population continues to live in the area, constructing makeshift homes and shops out of salvaged materials. Development plans must be able to respond to these needs to develop workable designs.

6.4 Transportation Transportation within urbanized areas presents serious challenges. The density of an urban environment increases traffic, which can harm businesses and increase pollution unless properly managed. There is a severe lack of public transportation systems. Bad planning leads to long commuting distances and times and severe congestion on roads.

To tackle these issues, many cities are undertaking transit-oriented development, which attempts to place higher densities of jobs or residents near high-volume transportation. For example, some cities permit commerce and multi-story apartment buildings only in proximity to train or bus stations and single-family dwellings and parks farther away.

6.5 Environmental Factors Environmental protection and conservation are of utmost importance to many planning systems across the world (see Chapter 25, Environmental Management). Cities are considered a major contributor to environmental degradation. They impact the environment due to the presence of polluting industries, vehicular pollution, decay and pollution of natural water bodies, and inefficient garbage management. Planning must consider ways to reduce not only the impacts of specific developments, but also the overall impact of development on the local and global environment. An urban planner can use a number of quantitative tools to forecast impacts of development on the environment, including roadway air dispersion models to predict air quality impacts of urban highways and roadway noise models to predict noise pollution effects of urban highways.

7.0 Use of Technology in Urban Planning The need for up-to-date information has been a serious constraint to urban planning and development processes in developing countries. To support planning decisions, city officials need up-to-date, accurate maps and data on land uses, road networks, structures, open spaces, water bodies, and other features. City officials need faster, more advanced



technology to provide information that supports their decisions. The technology must allow these users to easily locate information for inclusion in reports and proposals.

Geographic information systems and remote sensing are the two major technologies available to make the planning process simpler, more effective, and less time consuming:

Geographic Information Systems: A GIS is a digitized system with various layers linked to information or attributes related to a map. Put more technically, a GIS may be defined as a system for the capture, manipulation, and presentation of geo-referenced spatial data for solving complex planning and management problems. A GIS comprises spatial data, which define the location and extent of the features of interest, and attribute data, which describe these features in quantitative or qualitative terms.

Remote Sensing: The term remote sensing means gaining information about an object without coming in direct contact with it; for example, by satellite imaging or aerial photography. Remote sensing makes it possible to collect data on dangerous or inaccessible areas.

These technologies can be helpful to planners and decision makers in all stages of the planning process. Some examples of the use of these technologies in different stages are described below.

7.1 Pre-Plan Preparation Stage: Preparation of a Base Map The development plan is a statutory document that lays down the framework for future growth, determines the infrastructure development proposals and investments, and prescribes the use and development rights for each parcel (piece) of land. Maps of cities in Afghanistan were prepared long ago and require updating to be useful for preparing a development plan. Most of the information needed for preparing a development plan is maintained by multiple departments, needs updating, and is often difficult to procure. Also, there is a need for systemizing the process of collecting, maintaining, and analyzing data that may be relevant for planning purposes.

The most crucial information for preparing a development plan to direct future growth is an accurate and updated base map of the planning area, road networks, and spatial extent of development and information on the use of each land parcel. The base map and land use information are the basis for making rational planning decisions.

Use of satellite images and GIS can fill the gaps in the information needed. City maps must be computerized so that layers of information can be attached and spatially represented to support and aid planning decisions. Further, computerization ensures accuracy, makes regular updating easier, and makes it possible to view and analyze data at various scales.

A geographically accurate base map can be generated by undertaking a detailed topographical survey and by using satellite images along with other sources of information.

Topographical Survey

A comprehensive physical survey of the planning area can be carried out using Global Positioning System (GPS), Total Station, and Auto Level equipment. Details such as built features, roads, natural elements, and levels can be surveyed. This process ensures considerable accuracy; however, stringent controls in taking measurements are necessary. Such a survey can provide crucial inputs in planning and can also be used later for detailed planning of infrastructure. Detailed one-time surveys are required for planning and implementing infrastructure such as roads, drainage, and water supply works. Subsequently, the survey information can be used to generate other applications, such as assessment of property taxes and mapping of other infrastructure networks for the purpose of maintenance, management, or planning.



Use of Satellite Images

Given the resource constraints, availability of satellite images has made the task of correcting and updating the existing city maps much easier and faster. A reasonably accurate base map can be prepared using satellite images (panchromatic images from the IKONOS satellite) as a base and integrating information from various sources such as aerial photographs, revenue maps, government survey department records, and maps from various departments. Appropriate corrections are required to ensure geographical accuracy, such as geo-referencing and registration of satellite images with topographical sheets. Accuracy can be ensured depending on the resolution of the satellite images used. Certainly, the use of such maps is limited as compared to the ones based on topographical surveys.

7.2 Plan Preparation Stage In preparing development plan or master plan proposals, the planners and decision makers need data on the land uses, road network, structures, open spaces, water bodies, ecologically sensitive areas, existing utility network, extent of sprawl, and other characteristics of the area.

Using Satellite Images for Land Use Mapping

An extensive physical survey for this task is usually too time consuming. Hence, planners can prepare the land use map by visual interpretation of satellite images. Using satellite images saves considerable time and results in a fairly accurate land use map. Interpretation should be based on shape, patterns, textures, location, and shades. Ground truthing (the process of gathering field data to confirm data collected via remote sensing) and updating of the land use map should then be performed. The base map should be superimposed on the satellite image so that uses such as open spaces, channels, agricultural areas, and water bodies can be easily marked. Using the knowledge of local officials, planners can also mark certain institutional uses and important areas on the map.

Developing a Land Use Database Using GIS

After preparing the base map and mapping land uses, planners should develop a GIS database to support planning decisions and frame rational proposals. For the built-up area in the municipality, a very detailed and systematic land use survey should be carried out. Various layers of information can be represented, such as major land use, land use by floor, intensity of development for each plot, and building types. A GIS environment is required to reflect and represent such a wide range of information, which is not possible using computer-aided design (CAD) software. By attaching a database of varied information to the map, it is possible to carry out several types of spatial analysis that support land use planning decisions. Moreover, in ArcView (a GIS software program), it is possible to generate areas of major categories and subcategories of uses, which cannot be done in CAD software.

Various thematic layers that can be built are:

Detailed land use maps by plot and floor Intensity of development (height and bulk) Open spaces (with a detailed database, which can help in the estimating the open space

and spatial location) Social infrastructure (e.g., schools (public, private), hospitals (public, private), community

facilities) Ecologically sensitive zones.

This information can provide assistance to planners and decision makers for land use zoning, density zoning, and delineation of heritage areas and proposed heritage walks.



Identifying Potential Areas for Future Development

The most important application of the satellite images is the mapping of development sprawl to indicate the directions of growth, which can have major implications on provision of infrastructure. It is essential to identify an urbanization zone and plan for infrastructure in the zone in the near future to avoid problems of ad hoc and unplanned growth.

Various thematic layers that can be built are:

Urban sprawl, rural settlements, and their expansion

Direction of development and identification of the growth corridors.

This information can provide assistance to planners and decision makers for determining urbanization zones and the release of land for future growth.

Evolving an Implementable Road Network

Road network planning and proposals are a crucial aspect of a development plan. Planners should map all the minor and major networks from the satellite images and should prepare an updated road network. This can form the basis for evolving a logical structure plan for roads to cater to the future growth. Planners should delineate appropriate hierarchies and frame proposals. A road network thus evolved is more implementable.

The satellite images should be used for updating the road network in terms of:

Correcting the existing road and railway alignment

Updating the old map by picking up the new/missing roads Learning the alignment of the roads under construction

The information can provide assistance to planners and decision makers for:

Using natural drains to avoid unnecessary crossings and additional costs. Establishing an efficient road network structure plan along with traffic studies Identifying road links for widening Proposing alignment of the new road links through open areas and avoiding water bodies

and channels.

Integrating Environmental Concerns and Conservation of Natural Resources

Environmental issues are important in planning for urban areas (see Chapter 25, Environmental Management). The natural drains and water bodies, which ensure natural water disposal and groundwater recharge and support agricultural needs, should be captured from satellite images and available survey data.

The satellite images should be used for:

Inventory of functioning tanks or ponds and feeder channels Inventory of dried-up or encroached water bodies and the nature of the encroachment Identification of blocked or vanished feeder channels Establishing connections between water bodies.

The information can provide assistance to planners and decision makers for:

Delineating conservation zones around the water bodies and the feeder channels Removing encroachment of and blockages in the water bodies and channels Developing groups of water bodies as open spaces with recreational activities Upgrading of wastelands and scrub land.



7.3 Plan Implementation and Monitoring Stage The success of any plan lies in its implementation. Technology can be a great help to the municipality in monitoring the implementation of the development plan and improving its efficiency.

GIS should be used for:

Inventory of registered properties Inventory of roads and traffic Inventory of underground as well as aboveground utilities and their capacities

– Water supply lines, manholes, distribution network – Sewerage lines, pumping stations – Street lights – Stormwater network – Solid waste management network

Inventory of utility connections Inventory of land uses Inventory of social amenities Inventory of natural features

– Water bodies – Forests

The monitoring and managing body of the municipality can use the information provided by the GIS to:

Improve tax collection Improve road and traffic management Improve basic service delivery Improve collection of user charges and connection charges Prevent haphazard and unregulated development Improve social amenities. Much training and computer expertise will obviously be required before GIS for development plan preparation becomes a practical possibility for all levels of towns. Only the bare basics are explained here, with the limited objective of creating interest in and awareness of this technology.


The beginning of human settlements

The evolution of urban development in Afghanistan

Urban planning and the need for planning cities

An overview of planning in Afghanistan

Elements of a comprehensive planning process

Elements of a master/development plan

Use of GIS and remote sensing technology in urban planning



8.0 Annex A: Case Study of the Town Planning Scheme in Ahmedabad City, Gujarat, India

8.1 The Context India faces a truly formidable challenge in managing the rapid process of urbanization and the growth of its cities. It is the second most populous country in the world, with a population of 1.028 billion, of whom 285 million (27.8 percent) live in its 5,161 cities and towns. Pressures of rapid growth and years of neglect have severely stressed the condition of India’s cities and towns. This is evident in the innumerable challenges facing them—large areas not serviced by roads, water supply, sewerage and storm water networks, inadequate health and education amenities, traffic congestion, ineffective and inadequate public transportation systems, unregulated and chaotic growth, slums, poor building stock, and destruction of heritage resources, among others.

The demand for serviced urban land on the peripheral areas of cities and towns is very high, and thus a significant number of smaller settlements and agricultural land parcels need to be converted into land fit for “urban” and non-agricultural uses. In the absence of a planned road network, basic infrastructure, and other amenities ahead of anticipated development, land conversion takes place in a haphazard manner and creates pockets of development. In such conditions regulating the growth of these spot-level developments and providing physical and social infrastructure becomes difficult for local authorities. In India, there are two broad methods to ensure supply of planned urban land; namely, land acquisition and town planning schemes. In most Indian cities, urban land is supplied through land acquisition.

8.2 Land Acquisition This method, with some variations, is used in Delhi, Haryana, Rajasthan, Andhra Pradesh, Karnataka, and Maharashtra.

Methodology

In this method, land is acquired in bulk by public planning/development authorities (e.g., Delhi Development Authority) from landholders (e.g., farmers) under the Land Acquisition Act, 1894.

Farmers are compensated based on the prevailing agricultural land prices. In order to minimize opposition to acquisition and litigation, farmers are paid a price that is marginally higher than the prevailing agricultural land prices.

In addition, in some cases, plots amounting to a small percentage of the original land holdings are given to the owners as part of the compensation package.

A master plan of this area is prepared, laying out the roads, plots for social amenities, and plots for sale by the development authority.

Roads and infrastructure are then built using government funds or loans. Serviced plots are then sold for urban uses at market rates.

Advantages

An adequate amount of land for urban uses can be rapidly generated through this method, provided there is little opposition to bulk acquisition from farmers.

To expedite acquisition, some states allow private developers to assemble land. In many cases, developers use extra-legal means to secure farmers’ consent.

There are very few constraints in preparing the master plan. The market rates for which serviced plots are sold are usually much higher than the rate

at which land was acquired.



Disadvantages

The local authority has to invest funds from government loans and grants as a capital cost for the development of infrastructure.

Original owners/farmers do not share the benefits in any manner. This goes against the grain of fairness.

In this method, farmers are essentially thrown off their land. Unable to wisely invest the money received as compensation for their land and deprived

of a means of livelihood, they have to join the pool of urban labor and the informal sector. This process of land assembly adds to familiar urban problems—growth of slums, increase in crime rates, and increased informal sector economic activity.

The development process is slow. Any person who needs land for urban use has to approach the urban development authority. The development authority ends up becoming a bottleneck for development.

Development agencies using the method of bulk land acquisition end up being powerful large-scale land developers, controlling vast urban resources.

This is likely to breed corruption and is antithetical to the emerging paradigm where government plays the role of a facilitator.

8.3 Town Planning Scheme Currently, this method is used only in Gujarat and parts of Maharashtra. In Gujarat this process is carried out under the provision of Gujarat Town Planning and Urban Development Act, 1976 (GTPUDA) and Rules, 1979. Normally, the local authority carries out the work of preparing a Town Planning (TP) Scheme; however, in small towns the state government prepares a TP Scheme. The TP Schemes are micro-plans prepared for about 100 to 200 hectares, typically involving 100 to 250 landowners. The TP Schemes are numbered one, two, three, etc., and are usually named after the “village.”

Methodology

The “macro-level” development plan of the area is prepared, laying out the roads and plots for social amenities.

In the “micro-level” exercise, the area that the authority wants to develop is earmarked in the master plan or development as a proposed TP Scheme area.

The area is surveyed, and the process of reconciliation takes place with the available revenue maps and documents to finalize the boundary and area of the original plot. This ensures a perfect base map for the reconstitution of the final plots, which helps in implementing the TP Scheme accurately.

The land is reconstituted into final plots compared against original plots. The area of the final plots is in proportion to the size of the original plots and as far as possible, the location of the final plot is given corresponding to the original plot. The standard policy for percentage of area deduction is finalized based on the percentage of built-up area in the scheme, area of existing roads in the scheme area, size of the original plots, etc.

The betterment charge is levied on the landowners based on the cost of infrastructure provided in the scheme.

While preparing the TP Scheme, each of the owners is given a chance to voice their suggestions and objections for their plots, making this method more equitable and democratic.

The funds generated by the betterment are used for the provision of physical infrastructure in the area.



The area deducted from the original plots is reserved for social amenities and for sale to generate revenue for the authority to provide and maintain infrastructure in the scheme area.

Thus, the land remains with the original landowners. The original owners of the land share an increment in the land value of the land after

development. The development authority does not have to invest funds taken from state or central

government for the development of the area. The development authority only plays a role of a designer and a facility provider and

controls the development.

A TP Scheme is carried out for land that:

Is in the course of development Is likely to be used for residential, commercial, industrial, or building purposes Is already built upon.

Advantages

All the land, except whatever is needed for infrastructure development and social amenities, remains with the original owner. The development agency plays a limited role in ensuring planned urban growth.

The increase in land value resulting from the development accrues to the original owner whenever the land is sold and developed for urban use. Thus, the benefit of development goes to the original owner instead of the development agency.

The original owner is not displaced in the process of land development and continues to enjoy access to the land resource. Thus, the negative impact of the process of urbanization on farmers (original owners) is minimized.

Disadvantages

This method is time consuming, since the procedure prescribed for preparation and implementation of such land pooling or readjustment schemes is unduly complicated and cumbersome.

Betterment charges are assessed at the beginning of the land pooling or readjustment scheme preparation. Due to the inordinate delays in finalizing schemes, the betterment charges levied on finalization of the scheme do not meet the cost of the infrastructure provided.

8.4 TP Scheme, A Case of Ahmedabad City Most of the city of Ahmedabad has been developed using TP Schemes. TP Schemes have been implemented in Ahmedabad since 1915. This gives the methodology adopted by the city more credibility and acceptance among the people. This model has high applicability, not only to other cities in India but also throughout the world.

The Process

The process of a TP Scheme mainly involves three legal stages:

Draft Town Planning Scheme Preliminary Town Planning Scheme Final Town Planning Scheme.



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Area Selected for the Town Planning Scheme

Draft Town Planning Scheme

An area is selected for planning, and a TP Scheme boundary is demarcated.

A very detailed and accurate “Total Station Survey” is undertaken to record all physical features present on the site (e.g., topography, plot, existing structures).

Data are collected from revenue records to establish land ownership. All the cadastral details (e.g., area, tenures, encumbrance) regarding the parcel are collected and complied in a prescribed format.

A process of reconciliation or matching is carried out, wherein the area obtained from both the maps and the records are compared and finalized.

After this, a base map is prepared, incorporating any Development Plan proposals. The Development Plan is a macro-level strategic plan document that defines the direction of growth and envisions the citywide infrastructure for the entire development area. A comprehensive document looks at all components of development and makes specific proposals with respect to each. These include land development, water supply, sewerage etc.

The base map and final area of each survey/block number is then certified by the District Inspector of Land Records.

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The Chief Town Planner gives advice on the boundary of the TP Scheme and approval to create a TP Scheme for the area.

The intention to prepare the scheme is declared in the government gazette and local newspaper.

To facilitate planning, adjacent plots belonging to the same owner are grouped together as one “original plot,” and a map showing original plots is prepared.

A road network is designed, considering city-level roads and zoning proposed in the development plan and other issues pertinent to the design of urban road networks. The proposed road network must provide access to all final plots and avoid any land locks as much as possible.

The proportion of land to be deducted from each original plot for provision of roads and social infrastructure is decided by the local authority. This proportion is decided based on the percentage of built-up area in the scheme, roads proposed in the Development Plan, and size of the plots in the scheme area. Provision is made for deduction of up to 50 percent. The rationale is as follows: – 15 percent of the land area is to be used for providing roads. – 5 percent of the land area is to be used for playgrounds, gardens, and open spaces.

TP Scheme-Level Road Network

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– 10 percent of the land area is to be used for providing land for housing and other activities for the poor and the informal sector.

– 5 percent is for social infrastructure such as schools, clinics, fire stations, and public utility facilities as earmarked in the Draft TP Scheme.

– 15 percent of the land is to be appropriated and then sold at market rates to recover the cost of the upfront infrastructure provision.

An area and percentage deduction statement showing the area of the “final plot” to be allotted in lieu of each original plot is prepared.

All original plots are then reconstituted as regularly shaped final plots. Final plots are usually located on or very near to their original plots.

At this stage, plots for social infrastructure are also carved out. Financial aspects of the scheme are worked out. First, the “original plot value” is worked

out using recent land transactions in the vicinity as reference. Second, compensation to be paid to the owner for the land deducted from his original plot is worked out. Third, the value of the final plot is worked out, considering that infrastructure proposed in the scheme is not provided (the “semi-final value”). Fourth, the value of the final plot is

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24

117/1

159

82+110

51

52

5

58/2

4/2

125/1

172

49/1

4/3

153

74/1

104

9.00m162

163

58/3

48

17/2

81/2

81/381/4

114112

17/1

13/113/2

151

18/2

173

174

125/3

60/4

59/6

59/460/2

126

131/2

13/3

161

175

164

160

75

143

132157

+

155

127

59/5

9.00m

7.50

mFinal Plot Plan

372P371P

343/1

343/2

344P

363P

283P

367P

282P

281P

277

369P 370/1+2P

370/3P

278

364P

374P

375P

338P

368P

280P

362P

12.00 m

12.00 m

12.0

0 m

12.00 m

12.00 m

12.0

0 m

12.0

0 m

6.00 m

30.00 m

12.0

0 m

12

10 11

14/1

61/2/2

60/2

68

50

6+47/1

64

101

102

52

2

58/1

58/2

47/2

48

61/1

7/1134 10

11

49/1

60/3

96

132

45/4

46

45/1

41

42

62

63

94

97

39

38

40/1

15

14

3635

34

32

37

103

105/1

91

156

160

28

161

87/2

109

108

119+120

11182+110

79

80

25

1922

2423

27

1

54

57/2

56

3

4/2

30

71

72 73

88/2

107

92/2

66

77

81/1

81/2

114

113116/1

99

5

40/2

9089

157

88/1

67 76

115

117/1

118

43

128

49/2

131/2

53/3

53/2

83/2

78

16275

13

29

9+18+20+21

155

154

143

158

159

112

4/1/1

12

55

123

147

145

169

171

65

4445/2

136

137

98

165

164

166

130

149

153

105/2

31

100

104

83/1

84

4/1/2

122A

122B

124

58/3

4/3

125/1

51

138

141

140

139

9395/1

7/2

8

146

150

17

16

135

74

106

87/1

85+86+

70

116/2117/2

170

168

151

152

144

45/3

133

69

59/1 59/2

59/4

59/3

53/157/1

59/5

129

167

95/2

49/3

126

127

59/6

121

131/1

92/1

26

131/3

125/2

163

303

296

357/3

357/2

355/1

289

331/1

331/2

335

334

332

286

366P

333

336

337

338P

325

326

327

328

340

339

342

345/4

345/1

345/2

345/3

347350

351

348

368P

279

280P

362P

361360

358

357/1

308

304

306

309

310

311

305 312

313

314

321

319

317

294

292

291

288

287

356/1

356/2355/2

365P

359

295

315

316

278

279

281

280

302

299

298

293

300

301

66

322

323

324

329

318

290

320

346

341

330

349

352

353

354

373

275

276

285

284

367P

03

08

02

377

01

09

06

05

07

04

376

364P

344P

363P

283P

281P

369P

370/1+2P 370/3P371P

372P

375P

374P

307/A

307/B

271P270P

142

148

33

93

52

6871

72

65

114

81/1

117/1

59/1 to 59/13

93

67

40

10

11

12

13

49

4/3

5

62

96

97

88

60

48

1

58

7

44

99

102

89

95

14

20

18

22

2423

27

26

25

115

116

112

111/1

79

28

29

78

30

77

76

31

75

36

73

70

87

107

120

119

83/2

86

85

110

118

4/2

61/2

51

4/1

1921

80/2/1

83/184

121/2

111/2

117/3

117/4121/1

80/2/281/2

52

71

72

43

117/1

59/1 to 59/13

93

42

66

40

98

90

92

38

37

49

4/3

5 6

8

46

62

97

471

2

3

54

57

56

55

7

9

64

99

105

61/1

39

41

101

91

89

10094

63

95

15

16

17

20

22

2423

27

80/1

116

113111/1

74

35

34

33

32

73

70

108

109107

106

82

4/2

69

61/2

50

51

53

4/1

1921

4580/2/1

121/2

111/2

117/2

117/3

117/4121/1

80/2/281/2

+103104

12.00 m

60/161/2/1

6867

266

267

265

269

270

263 264

271

65

272

268

273

274

66

Plots for Social Amenities



Plots for Social Amenities

worked out, considering that infrastructure proposed in the scheme is provided (the “final plot value”).

The difference between the semi-final plot value and the final plot value is considered the increment in value resulting from implementation of the TP Scheme.

Half of the “increment in value” is adjusted against the compensation and the net demand/contribution of the owner is worked out. Infrastructure and other costs of implementing the scheme are worked out. At this stage, the TP Scheme proposal is made public by calling a public “owners’ meeting.” The TP Scheme is explained to the owners. The scheme is marginally modified or corrected to take account of interactions during the owners’ meeting.

The TP Scheme is officially published in the Gazette, and official objections and suggestions are accepted for a period of one month after publication.

The TP Scheme is then modified and is sent to the state government for approval. After the government sanctions the TP Scheme, it is called a “Draft Scheme.” After the government sanctions the draft scheme, the land under roads and authority

plots is vested to the local authority, and the authority can start developing the basic infrastructure.

Preliminary Scheme

After the government approves the draft scheme, it is referred to as the “Preliminary Scheme.”

The state government appoints an officer who acts as a quasi-judicial officer or arbitrator to finalize the TP Scheme. This person is referred to as the Town Planning Officer (TPO) for the scheme.

The TPO verifies all documents submitted along with the draft scheme; collects additional records, if required; and serves notice to each owner to make a representation before him or her, if the owner desires to.

Based on findings and consultations with the development authority, he makes appropriate changes to the physical proposals of the scheme. Owners are once again invited to present their grievances, if any.

Physical proposals of the scheme are submitted to government for approval.

Basic Infrastructure Development



Following government’s approval, the development authority can commence implementation of the TP Scheme.

The demarcation of final plots can be done only after Government sanctions the Preliminary Scheme.

All owners are shown their final plot on site. Based on their acceptance, they receive a Possession Letter. A plot book indicating the shape of the plot with dimensions is provided to each plot

owner.

Final Scheme

The TPO verifies the financial details worked out by the development authority. Objections pertaining to financial aspects of the scheme—original plot value, semi-final

plot value, final plot value, compensation, net contribution, demand—are invited. Financial aspects of the scheme are then finalized and sent to the government for

approval. Following approval, the TP Scheme is referred to as the Final TP Scheme. The

development authority can then implement financial aspects of the scheme (i.e., pay or collect money from plot owners).

Final Plot Demarcation



9.0 Annex B: Relevant Legislation The following articles from the Constitution of Afghanistan4 are relevant to urban planning:

Article 5 states that: (1) Within the scope of their operations, the municipalities shall be in possession of their respective urban master plans. (2) The Departments of Central Engineering and Urban Planning as well as their relevant branches shall prepare and modify master plans in cooperation and consultation with the municipalities and [these master plans] shall be implemented by the municipality after being confirmed by the Council of Ministers and approved by the head of the Islamic Emirate of Afghanistan. (3) Responsibility to supervise implementation of the master plan shall rest with the master plan designing department as well as with the concerned municipality.

Article 6 of the Constitution states that the state shall be obligated to create a prosperous and progressive society based on social justice, preservation of human dignity, protection of human rights, realization of democracy, attainment of national unity as well as equality between all people and tribes, and balanced development of all areas of the country.

Article 13 of the Constitution states that the state shall design and implement effective programs for developing industries, expanding production as well as protecting activities of artisans to raise the standard of living of the people.

Article 14 of the Constitution states that the state shall adopt necessary measures for provision of housing and distribution of public estates to deserving citizens in accordance with the provisions of law and within financial possibilities.

Article 141 of the Constitution states that to administer city affairs, municipalities shall be established. The mayor and members of municipal councils shall be elected through free, general, secret, and direct elections. Matters related to municipalities shall be regulated by law.

Article 34 of the Constitution states that freedom of expression shall be inviolable. Every Afghan shall have the right to express thoughts through speech, writing, and illustrations as well as other means in accordance with provisions of this Constitution. Every Afghan shall have the right, according to provisions of law, to print and publish on subjects without prior submission to state authorities. Directives related to the press, radio, and television as well as publications and other mass media shall be regulated by law.

Article 40 of the Constitution states that property shall be safe from violation: – No one shall be forbidden from owning property and acquiring it, unless limited by the

provisions of law. – No one’s property shall be confiscated without the order of the law and decision of an

authoritative court. – Acquisition of private property shall be legally permitted only for the sake of public

interests, and in exchange for prior and just compensation. – Search and disclosure of private property shall be carried out in accordance with

provisions of the law. Article 51 of the Constitution further states that any individual suffering damage without

due cause from the administration shall deserve compensation, and shall appeal to a court for acquisition. Except in conditions stipulated by law, the state shall not, without the order of an authoritative court, claim its rights.



The following sub-clauses on the obligations and powers of municipalities are important from the perspective of urban planning:

2- Adopt measures for construction and maintenance of wells, kariz (subterranean irrigation canals, ponds), and potable water reservoirs by the relevant sources.

3- Adopt measures for the protection and creation of urban green spaces and to ensure cleanliness and sanitation in the relevant areas, as well as for the protection of the environment.

4- Adopt measures for construction of roads, playgrounds, public bathhouses, emporiums, markets, and cultural and civic centers through the engagement of private investment in areas under planning to the extent possible.

9- Adopt measures for allotment of land plots for the construction of residential houses and commercial sites in accordance with the relevant law provision.

10- Expropriate land in accordance with the provisions of the land expropriation law. 18- Adopt measures for providing assistance in collecting data on demographic statistics. 19- Collect municipal charges in accordance with the provisions of law. 23- Call and hold sessions in connection with utilities of the relevant town. 27- Determine the location of slaughterhouses, and regulate and supervise butchery-related

sanitation affairs. 32- Provide assistance in meeting primary and emergency social and economic needs of the

local residents in cooperation with the respective bodies. 33- Allocate burial grounds for interment of the dead (graveyards).



10.0 Bibliography Balachandran, B. R., “Town Planning Schemes – a more fair, equitable and democratic

method for planned urban growth,” Environmental Planning Collaborative.

Ballaney, Shirley, “The Town Planning Mechanism in Gujarat, India,” Environmental Planning Collaborative.

The Constitution of Afghanistan, January 3, 2004, www.moj.gov.af. For the original authoritative text, see Official Gazette, Issue No. 818, 1382 08 Dalw/January 28, 2004.

Environmental Planning Collaborative and Ahmedabad Municipal Corporation, Town Planning Scheme reports and maps.

Islamic Emirate State of Afghanistan, “Law on Municipalities, 2000,” published in the Official Gazette, Issue No. 343, 10th Rajab Al-Murajjab, 1421 L.H./October 7, 2000.

Patel, Utkarsh, and Environmental Planning Collaborative, “Town Planning Scheme - Land readjustment system for transformation of agricultural land to urban land on the periphery of urban areas.”

State Government of Gujarat, India, “Gujarat Town Planning and Urban Development Act, 1976.”

UMC/ICMA, “Mega Cities (India) Poised for Change: Leading Practices catalogue,” 2007.

United Nations (UN) Asian and Pacific Development Institute, A Glossary of Terms in Regional Planning and Development, Bangkok, 1980.

UN-Habitat, “Kandahar City: Urban Sector Profile & Strategic Municipal Action Plan,” Kabul, 2007, 44-94.

11.0 Endnotes 1 Islamic Emirate State of Afghanistan, “Law on Municipalities, 2000,” published in the Official Gazette, Issue No. 343, 10th Rajab Al-Murajjab, 1421 L.H./October 7, 2000. 2 The Action Plan is reproduced in UN-Habitat, “Kandahar City: Urban Sector Profile & Strategic Municipal Action Plan,” Kabul, 2007, 44-94. 3 UN Asian and Pacific Development Institute, A Glossary of Terms in Regional Planning and Development, Bangkok, 1980. 4 The Constitution of Afghanistan, January 3, 2004, www.moj.gov.af. For the original authoritative text, see Official Gazette, Issue No. 818, 1382 08 Dalw/January 28, 2004.

Chapter 11: Municipal Development Planning



Summary: This chapter discusses discusses in depth the process of preparing Municipal/City Development Plans

Objectives: The objectives of the chapter are to understand:

The process of preparing City Development Plans Various surveys and databases to be prepared Consultative processes in urban planning Preparing proposals.

1.0 Introduction

A Municipal Development Plan, also known as a City Development Plan (CDP), sets out an overall strategy for the proper planning and sustainable development of the city.1 It is different from the master plan, which describes in narrative and with maps an overall development concept, including both present and future land uses. The CDP sets out a vision and guiding policy for the development of the city in terms of land use planning, economic development, social and cultural activity, and environmental protection and enhancement. The City Development Plan must take account of various national and regional strategies and guidelines and should reflect consultation with the general public and other interested bodies.

Contents of a City Development Plan broadly include:

Land use zoning Proposals for infrastructure development, such as new roads, road-widening, junction

improvements, and the like, and proposals for water supply and drainage which affect land use

Proposals for land conservation/enhancement which improve environmental quality Reservation of lands for various public purposes for correcting current deficiencies and

meeting future needs, such as for schools, hospitals, gardens, and playgrounds, and which may include land required by government or semi-government agencies

Provisions for a “development control” to ensure that all future development is orderly and healthy.

2.0 Goals and Objectives of a City Development Plan

Why indeed prepare a long-term plan for a city‟s growth? The answer seems obvious, but a city planner must start the planning exercise with a specific enumeration of the broad goals and objectives to be achieved through planning.

Examples of such broad goals could include:

To make the city a better place for living and working by improving deficiencies and adding needed facilities

To improve the economic health of the city To create a new image of the city that will inspire its occupants.

Surveys and inventories can identify a lack or insufficiency of services, amenities, and facilities needed by the general public for their well being. By analyzing the data collected, a planner can determine the problems facing the city or likely to face the city in the future. Using this information, a planner can set goals to translate identified needs into planning proposals and subsequent action programs.



The larger goal of the plan needs to be clear even for making lower-level decisions. For example, it is often found that a particular proposal such as rebuilding of a row of older shops and houses cannot be resolved without consideration of the future width and alignment of the street. Decisions about that local street cannot be made until the larger circulation and access system for that part of the city is decided upon. This in turns forces attention onto the overall land use patterns, which the transport system must be designed to serve.

Broad and general goals must be supported by more specific objectives to be attained. There are two reasons for this.

First, by their very nature, goal statements are somewhat vague and general, and therefore it is very difficult to form a clear picture of what is involved in reaching each goal. However when a broad goal is translated into more detailed objectives or actions, the picture becomes clearer.

Second, when a plan is prepared on the basis of any particular goal, there must be methods of measuring the rate of progress towards the goal.

A goal may give rise to quite different objectives when applied to different areas. Different objectives or sets of objectives may lead to the same goal but with varying costs and benefits. The objectives would be based on sub-objectives or specific programs of action, such as investment in utilities, land reclamation, or construction of buildings and highways. Each objective or program of action may involve different capital and operating costs.

There are many types of goals in physical planning. Some date from the earliest days of planning and others are more recent. Some are common in growing and developing countries, others in older, more mature societies:

Promotion of aesthetic qualities, and especially visual qualities, of the urban environment is one of the oldest goals of planning. Its influence can be traced to classical Greek towns, which in turn influenced renaissance towns in Italy, France, Spain, and Northern Europe. The modern city planning movement in Europe and North America was strongly influenced by the goals of visual aesthetics.

Another goal that can be traced, to the origins of the modern planning movement is a concern for healthy and sanitary living conditions, especially as applied to residential areas.

The economic health of cities has come to the fore as one of planning‟s principal aims in more recent times. This is because economic activities not only occupy land areas but also are dependent on their locations.

Goal setting in planning requires the establishment of performance criteria for being able to measure progress. Some examples, which indicate the sort of measurable objectives that might be adopted to serve the goal, are as follows:

Goal: Enhance economic development activities

Objectives in terms of Industrial growth:

High growth rate of gross urban product or comparable with that of the nation Growth in total employment or growth in net income of citizens Growth in the output of manufacturing industries.

Objectives in terms of residential activity and space

Increased rentals per household (rental value reflects a host of other variables (convenience, quality of the buildings themselves, and so on)

Elimination or reduction of overcrowding



Goal: Enhanced recreational opportunities for citizens

Objectives:

Reduce congestion and monotony in living and working environments Provide green space Provide facilities for outdoor recreation, particularly for “organized” sports and games.

Goal: Enhance tourism

Objectives:

Develop properties and facilities with exceptional architectural character and areas with highly attractive landscapes

Encourage preservation and conservation.

Goal: Improve environmental quality

Objectives:

Reduce air pollution Reduce noise pollution Improve river/lake water quality.

3.0 Components of the CDP

Concept of the City Development Plan Goals and objectives Surveys and their analysis Demographic projections Economic base studies Zoning and reservations Environmental protection and enhancement Proposed land use plan Presentation of the City Development Plan.

4.0 Required Surveys for the CDP Process

In countries where there are Town Planning Acts, these acts make a specific mention of existing land use surveys apart from other required surveys. As there is no specific Town Planning Act in Afghanistan, practices and laws of other Asian countries are referenced here. The important surveys that may be necessary (of course depending upon their importance in a particular location) would be

A survey of housing and housing quality, including a survey of the slums or informal settlements, or slum-type developments

A survey of industries to identify problems faced by them as well as to identify problems caused by them

Surveys necessary for the purpose of streamlining existing and anticipated traffic flows Surveys of areas and facilities that need to be protected for environmental or heritage

reasons.

Larger cities may also require other surveys and studies depending upon particular issues and circumstances.



4.1 Preparing the Base Map

Where Geographic Information System (GIS) capabilities facilities are fully developed, this resource can provide detailed information about existing land uses in the city. However, in the absence of GIS capabilities, the following methodology could be adopted to begin land use planning in different areas.

1. Procure available survey sheets (such as city survey sheets, which are usually on a scale of 1:500, and the combined map of the entire city area, which is–usually on a scale of 1:2500).

2. Procure the maps showing villages/portions of villages included in the municipal limits. Prepare a combined map for the entire area, highlighting the surveyed portion of the city. Note: In Afghanistan maps are not available, but efforts need be made to carry out this survey through the land records department of the municipality.

3. With the aid of records in the municipal office, update the details shown on the maps by showing all sanctioned layouts (committed development) and sanctioned buildings. (In Afghanistan this record is poor or rather absent. Efforts must be made to build up this record in future). Show also the sanctioned building uses, whether residential, commercial, industrial, warehousing, public use, etc. The usual color code for this purpose is residential-yellow; industrial-purple; open/recreational-green; public/semi-public-red; and commercial-blue. In Afghanistan, the color code for various land uses is yet not finalized. Therefore, decisions need to be made on a system that is uniform.

4. Walk through unsurveyed areas and mark lands occupied by unauthorized structures and informal settlements. Also record low-lying areas, swamps, wooded areas, irrigated agricultural lands, orchards, hilly areas, etc. Use appropriate colors for showing these areas on the maps.

5. In surveyed areas, a visual survey of existing land/building users may be similarly made by walking across the town–if the town is small–or by visiting properties listed in a “sample”. Note: A sample is used for surveys when it is impractical to visit every property. A sample can be one of two types:

A systematic sample, in which every ”nth” property is selected from a list of all properties

A random sample, in which the properties are selected randomly from the entire list of properties.

In addition to the sample survey of existing buildings, full information should also be collected about all public uses and about sanctioned uses(committed development) of lands This information should be superimposed on the ELU (existing land use) map by referring to municipal records.

When all the information about existing land use is collected as above and mapping is completed, the „”base map” is ready. It will show on a single map the broad backdrop of the entire municipality. The map can then be analyzed and percentages of the space occupied by the different broad categories of land uses identified.

The completed map of land uses will help highlight areas of concern, such as areas of mixed (non-compatible) uses, areas to be protected and preserved, and the like

The base map should also show the following particulars apart from the broad land uses:

Public and Semi-Public Buildings and Places of Assembly

Educational institutions: Schools, colleges, technical research, and other specialized educational institutions

Religious buildings: Mosques, churches, and other religious institutions



Government or municipal hospitals, dispensaries, family planning centers, and clinics Places of entertainment: Public halls, cinema theatres Central and state, quasi-government, and municipal buildings Police stations Fire stations.

Historical Buildings and Monuments

Palaces Forts Mosques, tombs with heritage value Areas and precincts with historic importance Natural/environmental areas with historic importance.

Public Utilities

Pumping stations and reservoirs Sewage treatment plants and farms Dumping grounds Telephone exchanges.

Burial and Cremation Grounds

Traffic-Generating Commercial Users

Banks and other commercial offices Hotels, hostels, motels, and restaurants Movies, cinema and drama theatres, and other places of commercial entertainment Petrol pumps, large auto repair and servicing stations for two, three, and four wheelers Wholesale commercial areas: Wholesale markets for vegetables, fruits, grains, cloth, iron

and steel Warehouses and storage facilities.

Industrial Buildings of All Types

Land Used for Recreational Purposes

Parks and gardens, playgrounds, and the like.

Transportation

Roads and streets Permanent ways for railways, and other railway property, such as stations, yards, and

sheds Truck terminals Local and intercity bus terminals (both private and public) Taxi and other public vehicles (such as taxi stands) Airports and seaports.

Cultural and Historical Heritage Areas

Information regarding sites and buildings of archeological importance, as well as those relating to the history of the town, should be collected and marked on the land use map



Sites of archeological importance need to be preserved for future generations and historical sites need to be protected to preserve cultural heritage.

Protection and Preservation Areas

Areas of exceptional scenic beauty or areas of historical importance (both national and local), need to be located and marked on the base map. These areas need to be identified and preserved for the enjoyment and benefit of the general public.

Areas Unsuitable for Development

Areas unsuitable for development, because of excessive slope, risk of being flooded or becoming waterlogged, or because of any other inherent site features, should be identified though visual inspection, historical record of floods, or special surveys, and marked.

Land prone to flooding or becoming waterlogged: These lands have the disadvantages of physical inconvenience, costly construction, and unhealthiness

Large excavated areas, land liable to subsidence, and land near sewage or refuse disposal areas also have severe limitations to development.

Areas that can be naturally drained by gravity into the existing sewerage system are more economical to develop than the areas that require pumping of sewage and sullage.

All these locations should be shown on the existing land use maps with appropriate color codes/symbols.

4.2 Housing Survey

The objective of a housing survey is to gain an understanding of the quality and adequacy of housing stock available for current and projected population. This survey would by necessity be a sample survey. The minimum sample size should be between 4 and 5 percent of the housing stock in towns of up to 100,000 population, and between 1 and 4 percent of the housing stock in larger towns. Selection should be by random sample.

The survey format should be designed in the context of the information needed. In a small- or medium-sized municipality, the survey format could be simple. In large town, survey questions on housing quality may have to be more detailed. The housing survey should also identify slums and bad quality housing.

Try to identify factors that point to unsatisfactory conditions, such as:

Bad structural condition Inadequate lighting and ventilation Inadequate bathroom and or toilet facilities, Inadequate or no water supply, sewerage,

and electrical service.

These factors can be given different weightings, depending upon the gravity of a factor contributing to a building‟s condition. On the basis of the weightings, a planner can then determine the areas in which the average building is in bad condition (a preponderance of bad factors), moderate condition (few bad factors) or fair condition (no bad factors).

4.3 Survey of Industries

The objective of this survey is twofold: to identify the problems industries face and which may affect their operation, and to develop an understanding of the problems industries may create. These problems could be in the form of noise/air/water pollution or increased vehicular traffic.

If the number of industrial locations is small, the survey could cover all locations. Otherwise this should be a sample survey. Industries should be surveyed according to their-sizes and



types (small-scale, large-scale, house-based cottage industries, etc) or the nature of their operation.

4.4 Trade and Commerce

While the land use survey provides information about the location of existing commercial activities, the aim of a trade and commerce survey is to develop information on past, present, and future trends of a municipality‟s commercial activities.

The survey should result in a breakdown of shops and establishments by type (wholesale, retail, products on sale, floor space occupied, workers, frontage etc). In towns that are trade centers or have a population above 20,000, the study should also indicate current shopping trends at the town and provincial levels. The study should also include information on such commercial establishments as warehouses, cinema theaters, and fueling stations.

The study will guide the planner in suggesting areas and locations suitable for commercial development in the development plan.

4.5 Demographic Studies

Demographic studies look at trends in population growth, the makeup of population in terms of age and sex, and trends in occupations. Studying demographic information over time provides information about patterns and changes in patterns in population trends.

Demographic studies also include occupational classification of the population into primary (agriculture and other land-related occupations like fishing, mining, and quarrying), secondary (manufacturing), and tertiary (trades and services). This information describes the nature of the town economy.

Jobs are classified as basic and non-basic. Jobs that earn an export income for the town are classified as basic. Those that provide services and the basic needs for living to the town‟s citizens are classified as non-basic.

Planning should help promote the growth of basic jobs. Identification of the export-oriented jobs for any town is important because it is these jobs that enrich a town‟s economy. Usually all industrial jobs are classified as basic jobs. Export-oriented jobs are found in the services sector also, as, for example, when a town “sells” its “services” (specialized medical care, for example) to a wider region. Basic jobs can likewise exist in the commercial sector, as when the town functions as a regional distribution center for goods of various kinds.

A “rough and ready” method for calculating the export sector is to calculate the percentages of basic and non-basic employment at the state level and at the town level. Those sectors in which the town-level percentages are more than the state-level percentages are the export sectors. The municipal development plan should pay close attention to the promotion and provision of facilities for the export-based sectors, which are the mainstay of the town economy.

4.6 Population Projections

Knowledge concerning the area‟s future population is essential to produce a plan that meets the needs of that population. An exercise in projecting the population enables the planner to arrive at the future population the area is expected to house at the end of the plan period. This figure becomes the basis on which all amenities, facilities, and necessary services will be proposed in the development plan.

There are various methods for making population projections. The principal ones are described in Annex A.

The population projections for towns of less than 100,000 in population may be made by the curve-fitting method. For larger towns, projections should be made using the ratio method or the component method.



5.0 Consultative Processes in Urban Planning and SMAPs

Apart from the basic surveys and data collection processes, during the preparation of a development plan, planners also need to consult with citizens. These consultations help lead to the preparation of a Strategic Municipal Action Plan (SMAP). Strategic Municipal Action Plans help identify local needs, and are critical to the decision-making process and implementation of plans and project proposals. It is an action-plan for fair and equitable growth in cities, developed and sustained through participation, to improve the quality of life for all citizens. SMAPs provide input to the city development planning process as well.

SMAPs are not statutory processes like that of preparation of a development plan. But SMAPs are very valuable when it is likely to take time to complete all surveys and studies before the formal planning process can begin.

A Strategic Municipal Action Plan includes a collective vision of a municipality‟s leaders and citizens, as well as a strategic action plan. It contains mission statements on how the municipality and provincial government, together with other stakeholders, intend to work toward achieving this long-term vision. The Strategic Municipal Action Plan leads the translation of mission into action and action into outcomes.

Developing a Strategic Municipal Action Plan is a dynamic exercise involving broad public consensus to guide the design and implementation of a comprehensive municipal development program.

Kandahar, with assistance of UN-Habitat, undertook a SMAP exercise through a participatory process to identify issues relating to urban development. This activity was directly linked to the goals of Afghanistan National Development Strategy (ANDS), and has resulted in the production of a Strategic Municipal Action Plan which incorporates the “collective vision for the city” to be achieved by 20102.

As part of the Afghanistan Municipal Strengthening Program (AMSP), ICMA and its affiliate, the Urban Management Centre of Ahmedabad, India, supported the Ministry of Urban Development (MoUD, now the Ministry of Urban Development Affairs) and six municipalities (Panjshir City, Ghazni, Gardez, Tirin Kot, Sharana, Asad Abad) as each city undertook a participatory process to develop a strategic municipal action plan (SMAP). The purpose of the SMAP process was to identify, prioritize, and plan for future infrastructure investments. An Urban Planning Manual was developed by UMC for use by local trainers and was used successfully to train municipal staff and community participants. As part of the planning process, digitized city base maps were prepared for nine municipalities. MoUD and the Independent Directorate for Local Governance (IDLG) of Afghanistan jointly approved and issued on May 3, 2010, with ICMA, a description of the AMSP urban planning activity and the terms of reference and scope of work for preparation of digitized city base maps and preparation of municipal level strategic action plans for use elsewhere in Afghanistan.3

5.1 Objectives of the Strategic Municipal Action Plan

To review the existing status of the city To involve stakeholders in identifying needs, consensus, and trust building To assist in developing a long-term vision for development To identify the most critical issues for the development of the city To evolve strategies to achieve more competitiveness, efficient management, and

sustainability.

5.2 Purposes of the Strategic Municipal Action Plan Process

To identify problems and analyze causes To find solutions for problems



To identify new opportunities To create a vision for the municipality To list out actions required to realize the vision.

5.3 The Strategic Municipal Action Plan Process

The process to develop a city profile and a Strategic Municipal Action Plan is a democratic process and involves consultations with key stakeholders.

Figure: City Profiling and Strategic Municipal Action Plan Process

Phase One: Phase one is a systematic assessment of current needs by rapid urban sector profiling. All representative stakeholders co-develop profiles for the city.

City assessment Stakeholder identification, mapping, and consultation SWOT analysis (strengths, weaknesses, opportunities, and threats.

The City Assessment

Future Perspective and Vision

Strategies for Development

Multi-

stakeholder

consultations

Parameter

Governance

Informal

settlements and

land management

Infrastructure

services & urban

environment

Social inclusion &

social

development

Local Economic

Development.

Direction of change and

expectations

Opportunities, strengths,

risks, and weaknesses

Unmet demand/gap

Criteria for prioritization

Detailed proposals for

Implementation

Phase 1

Phase 2

Phase 3



Phase Two: Phase two builds on the priorities identified in SMAP workshop involving all stakeholders represented in the city. The stakeholders help develop and agree upon a collective vision for the city to be achieved during the next five years.

Vision building Phase Three: Phase three involves detailed proposal development for implementation of priorities.

Project proposals Objective and strategy development.

6.0 The Proposed Land Use Plan in the Municipal Development Plan

As mentioned earlier, the development plan has to:

Allocate land areas for residential, commercial, industrial, and other purposes, which in town planning jargon is called “zoning” of lands

Earmark land parcels that may have to be preserved for amenities, facilities, and future needs as identified in surveys, or for future needs as dictated by population forecasts, which in town planning jargon is called “reservations”

Propose improvements/augmentation of facilities for the movement‟ of goods and people, Preserve/protect that which is worth preservation or protection Suggest regulations for streamlining all future developments.

The following sections discuss each of these areas in detail:

SWOT Analysis

SWOT analysis is a tool to identify strengths, weaknesses, possible opportunities, and anticipated threats for any proposals or projects. SWOT analysis is carried out for each sector or areas by consulting various stakeholders. Strengths can be built on and are identified based on data and details from past experience. Weaknesses are those things that need to be overcome and are identified based on future perceptions and need. Opportunities are those areas that are identified as something that can be utilized or exploited. Threats are issues or developments that the municipality must guard against.

For each broadly defined projects, list out

Strengths

To build on Based on Past

Weaknesses

To overcome

Opportunities

To utilize or exploit Based on Future

Threats

To guard against



6.1 Land Use Zoning

Zoning in town planning jargon means division of the space in the municipality into separate compartments or “zones” so that there is a certain degree of homogeneity with respect to each zone. Zoning can include provisions for density zones or Floor Space Index (FSI)/Floor Area Ratio (FAR) zones, building height zones, and land use zones.

The word “zoning” is normally however understood as meaning land use zoning. In this sense, it means the allocation of separate areas or blocks of space for distinctly separate categories of land uses, such as residential, commercial, and industrial. Zoning defines the geographic areas within which various sets of limitations on land use are enforced.

The broad objectives of zoning are to:

Increase the amenity level for the zoned land use, Reduce disturbance to the zoned land use by incompatible land uses Increase the efficiency of servicing the zoned land use.

Land use zoning is sometimes looked upon as a tool for preventing a mixture of land uses that would harm “market values” It is a tool under the common law of nuisance to prevent one property owner from harming the market value of another property. The usual land use zones are:

Industrial zone Commercial zone (wholesale) No development zone or agricultural zone Residential zone.

This is not by any means an exhaustive list. There are other land use zones, such as a warehousing zone. Primary zones can also be segmented, such as the division of an industrial zone into a zone for heavy industries and a zone for light industries.

Industrial Zone

A zoned area for industrial use is advisable for two reasons: to reduce the nuisance to other uses of space, mainly residential; and to facilitate the provision of special services required by the industries. The location of industries, especially those that emit smoke and smells, should also be based on prevailing wind direction. This environmental consideration does not apply with equal force to the mechanical or engineering industries. However, the second requirement, zoning for the ease of servicing industrial areas, calls for a grouping of all industries in the same zone or other similarly located zone.

Another aspect of industrial zoning is about how to determine the extent of land area that should be so earmarked. Our economic base studies are expected to provide an answer to this question. If the projected industrial employment is “x” in industry type A, “y” in industry type B, and so on, then these employment projections need to be converted into their land-area-equivalents based on usual “worker densities” in different industries. There is very little data available in Afghanistan on this. Many years ago in India, a study recommended optimum worker densities in engineering industries to be 40 workers per acre of industrial area for engineering industries and 10 workers per acre in chemical industries (which by their nature of operations are space-extensive). This does seem to be a good guideline even today. A 10-15 percent over-zoning to provide for growth may also be considered reasonable. The export studies mentioned in a previous section should indicate which industry types are likely to grow in a given municipality.

Commercial Zone

The mixing up of retail shopping along streets in residential zones is a common feature of all our towns. There seems nothing wrong with it. Retail shops, which meet the day-to-day



needs of people, should in fact be in the vicinity of residences so that unnecessary journeys are avoided. It is only wholesale shopping and special commodity trades – such as timber, building materials, steel, and the like – which should have a segregated location.

For example, the timber trade should be confined to areas that will help prevent the spread of fires. Other wholesale materials trades should be located near the entry/exit points of highways and railways so that bulk transportation is both facilitated and causes minimum disturbances to other areas.

An agricultural or produce market yard would call for a location near a highway so that agricultural produce can be received.

In large cities that have a large number of firms providing services to a variety of clients from all over the city and from outside the city, commercial zones should be located so as to facilitate the flow of traffic. These central commercial areas could be developed by the municipality itself or allowed to be developed through private initiative subject to approval of the overall layout by the planning authority.

Environmental Protection Zone

Areas of fragile environments, such as hills and slopes, green belts, and low-lying areas along waterways that act as holding ponds in floods, need to be preserved from development and should be included in an environmental protection zone.

Residential Zone

The majority of the land area in a town is typically included in a residential zone.

There was a practice in the past, in some countries such as India, of limiting the residential zone to a mathematically calculated area. This area was based on the area thought sufficient to meet the needs of the projected population at expected practical densities likely to be reached, with some land included in a No Development Zone. There was also a practice of trying to preserve good agricultural lands by including them in an agricultural zone. In practice, both of these zoning concepts have failed. Due to the suppression of land values in the No Development Zones by an artificial restriction of their potential, they are withdrawn from the land market. These areas then become the target for unauthorized development by the poor and even the lower middle class population of the community.

There also seems to be no place for an agricultural zone in a growing urban area. The value of land for nonagricultural uses in a growing town very soon overtake the value for agricultural uses, and economic pressure mounts for conversion to the more profitable nonagricultural uses.

It is wise, therefore, to provide for residential zones that include all the town lands except those required for industrial and commercial use, along with environmental protection areas.

6.2 Planning for Transportation and Traffic

The next aspect in the order of importance is planning for the smooth flow of traffic between different parts of the town. This may require a study or survey (or surveys) on both (a) roads and highways and (b) transportation. The objective of a survey is to determine the current means of traffic and transportation, the extent of facilities available, and also the significant factors affecting the mode, frequency, and purpose of traffic. This includes the movement of people and goods within and through the municipality. The main aim of this survey is to determine how to increase the mobility of human beings rather than the mobility of vehicles.

In case of towns with a population above 100,000, following procedure would be applicable.

General procedure

Determine the area or units to be surveyed, so that the data collected for transportation coincides as far as possible with data for other aspects of planning.



Data collection. This includes: Secondary data from various agencies such as traffic police department, road transport agencies, railways, airlines, airport authorities, state government departments of roads and transport, shipping companies, and port authorities.

Primary data from field surveys, such as an inventory of existing road system and the volume of traffic, origin and destination studies, corridor counts, accident studies, speed and delay studies, parking studies, and a mass transportation survey.

Roads and Highways

A. Inventory of Roads and Functional Classification of Street System

An inventory is a wide-ranging look at roads and vehicular movement on those roads. It includes information about location and topography, grades, width and surfacing, location of signaling system, classification of roads by function, existing highway pattern, classification of the types of local and through traffic, one-way streets, bus stops on public transport routes, railway grade crossings, and more.

This information, when related to projections of population, will help identify if existing roads will be adequate for future needs.

B. Volume Survey

A volume survey is carried out to ascertain the volume of traffic on major arteries. This type of survey tries to determine the average volume of traffic per hour at a particular point per hour, especially at peak hours, and its composition by type of vehicle.

C. Origin and Destination Survey

The study helps planners understand traffic patterns between different parts of the town. From this survey, line diagrams showing travel characteristics are prepared. The survey may not be necessary in case of small- and medium-size towns.

D. Accident Studies

Information about accidents should be available from police records. This information gives the time and place of an accident, type of accident (fatal, serious, minor, etc.), and the cause of the accident. The objective of collecting and compiling accident data is to identify unsafe locations or conditions and plan for improvements.

E. Speed and Delay Studies

By carrying out this survey, the average running speed of vehicles on the roads can be ascertained. The data collected will help determine causes for delays in traffic movement. The information will help the municipality manage future development. This survey is not necessary for small- and medium-size towns.

F. Parking Studies

Street parking: Space available per day, the demand and enforcement of parking restrictions, if any.

Off street parking: Number of vehicles, number of spaces, potential space.

Financial aspects of parking facilities, ratio of use to potential.

The objective of a parking study is to determine the distribution and need for on-street and off-street parking. The parking demand ascertained by the study will form the basis for making suitable provisions for parking in the development plan.

A study conducted in the United States revealed that out of 8,760 hours in a year, a vehicle actually moves only for 497 hours. The remainder of the time it is parked somewhere, either at a place of residence, a place of work, in a parking lot, or on the road. Adequate and well-designed parking affects the efficiency of the roads.



Transportation

A transportation survey covers

Train passenger and freight movements, intracity and intercity Location of marshalling yards and loading and unloading facilities Passenger and freight terminal facilities Grade separation at level crossings Railway to highway and other transport and traffic facilities Relation to industrial areas.

The objective of a transportation survey is to obtain information about the adequacy of present facilities of operational areas and ascertain the potential needs for such facilities. Generally, for the purpose of the development plan, unless a separate survey in this respect is carried out independently, the information can be obtained from the railway authority.

A. Water Transport (where applicable)

Transport dockage, storage facilities, ports in relation to industrial sites and in relation to other modes of transport.

B. Air Transport (wherever applicable)

Aircraft, passenger, and freight movements, air transport capacity and space needs relative to other types of traffic.

C. Road Transport

Movement of passenger and goods - local and regional Passenger and freight terminal facilities Mass transportation studies.

The purpose of a local transit study will be to understand travel patterns on public transport services, mainly local buses, and to determine the future demand for services and facilities. The study will help with planning as well as for utilizing present capacity for maximum efficiency.

The data collected from the various transportation studies should be analyzed to determine the factors that affect modal distribution, the effects of different land uses on traffic generation, and other characteristics of travel All of this information helps in forecasting future traffic and transportation demands.

6.3 Public Utilities

Information about existing public utilities, such as water supply, sewers, and electricity, in the municipality need to be collected from the local authority or authorities responsible for administering these utilities. Information about the water supply would include

The present source of water supply and its capacity, indicating adequacy for the current population

The quality of water available Future demand for the projected population How to augment the water supply to meet future requirements will have to be planned

and implemented as an integral part of the development plan. This planning will help determine sites which should be reserved for locating head-works, purification works, and reservoirs.



Similar studies should be made regarding drainage and sewerage schemes for the town as a whole.

Information about the present source of electric supply and consumption for domestic and non-domestic purposes should be obtained from the electric supplier.

The survey of public utilities should indicate to the planner the areas that are supplied by existing water supply, drainage/sewerage, electricity, and gas (where available), systems.

When combined with the land use survey this information will help in determining the general directions in which future development can take place in a municipality from the point of view of providing these utilities.

6.4 Social Services

Social services imply all the amenities or facilities like schools, hospitals, parks, playgrounds, recreational centers, community buildings, shopping, entertainment centers, post, telegraph and telephone facilities, and so on. Information about the coverage of these services needs to be ascertained with this survey. The information can be collected in the format necessary for use in the development plan. When analyzed the information will enable the planner to estimate the requirements of various community facilities for the projected population. The land use survey will help with selecting the location of various facilities.

6.5 Current Projects and Pending Projects Survey

Planning should also involve the collection of data on current and planned projects affecting development, such as water supply, drainage, waterway improvements, flood control, by-pass roads, and other improvement schemes. The information could be obtained from various departments of the planning authority or the government and will be useful in formulating the development plan. The survey can also include information about the requirements of various government and semi government authorities.

6.6 Reservation of Land for Public Purposes

A good town plan is expected among other things to ensure that the right land is used for the right purpose and the availability of land for all future needs is safeguarded. This includes not only the provision of land for residential, industrial, and commercial purposes but also for various kinds of public purposes such as education, health, and recreation.

Safeguarding availability of lands for these public needs is done in a development plan by reserving appropriately located land parcels for the various purposes.

Planning essentially operates through intervention in private persons‟ rights to do what they like with their lands. The objective of planning in this regard is to safeguard a community‟s requirements for a satisfactory quality of life, which can only be ensured with the availability of land for identified needs and facilities. This availability of lands for private uses is safeguarded through land use zoning, while that for public purposes is met through reservations of land parcels. The difference between zoning and “reservations” is that the former does not result in expropriation of private lands while the latter does. Expropriation will create a liability for compensation if and when the reserved land is acquired for the designated public purpose. Thus, reservations must be made cautiously.

Care must be taken to ensure that reserved lands are not inadequate for meeting the needs, and at the same time any reservations are restricted to the minimum required area.

Over time, the underlying philosophy with respect to reserving land for the future needs of public purposes has moved from

“Not adequate” to “Not excessive” to



“Just sufficient” approaches.

Changing patterns in society need to be taken into account when making land reservations for public purposes:

Changes in demographic composition, particularly changes in the age group distribution of the population

Skyrocketing land values, which make it unwise to make liberal reservations of land The changing tastes of the society The increasing role that the private sector can play in providing many amenities on the

“pay and use” basis The changing distribution of the population into different income groups Nature of statutory responsibilities of the municipality with respect to education and public

health The minimum built/open space required for the efficient operation of the public purpose in

question.

For the guidance of urban planners, the Urban Development Department of Government of India has prepared planning norms for cities of different size and also for hilly areas. These can provide guidelines for developing planning norms for Afghanistan.

7.0 Environmental Protection and Development Planning

Everything that humans do (or neglects to do) creates an impact on the environment. This includes water, air, and land and the interrelationship that exists among and between water, air, and land, and human beings, other living creatures, plants, microorganisms, and property.

Attention therefore needs to be given to ensure that human action does not result in an adverse impact on the environment or does not create significant adverse effects on the quality of life available in the city.

The alteration of any part of the environment to the extent that it becomes hazardous or potentially hazardous to human, plant, or animal life, or to the extent that the environment becomes impaired or is made less desirable, is termed pollution. There are various types of pollution depending upon the pollutants.

Air pollution is the introduction into the atmosphere of contaminants (such as smoke, fumes, and odors) that are of sufficient quantity, concentration, or duration so as to have a negative effect on human, animal, or plant life or human activities. Air pollution results from diverse sources such as motor vehicle exhausts and industrial and power plant emissions.

Smog means stagnant, pollution-laden air masses. Smog is produced when automobile exhausts build up when weather conditions produce stagnant air masses that do not allow exhaust to disperse. Cars are the basic cause of smog. Nitrous oxides and hydrocarbons are given off by combustion of petroleum. Harmless at first, exposure to sunlight for an hour or so creates an interaction between the two that produces the photochemical oxides, that is, the smog.

Noise pollution is unwanted sounds that have an adverse physiological and psychological effect on humans. The major sources of noise pollution are ground vehicular traffic, aircraft operations, and construction and heavy equipment. Noise may be controlled at its source, at the path of transmission, and at the receiver‟s or user‟s end.

Water pollution means such contamination of water or such alteration of the physical, chemical, or biological properties of water or such discharge of any sewage or industrial effluent or of any other liquid, gaseous, or solid substance into water, whether directly or



indirectly which creates a nuisance or renders such water harmful or injurious to public health or safety, or to domestic, commercial, industrial, agricultural, or other legitimate uses or to the life and health of animals or plants or of aquatic organisms.

Adequate roads with sufficient widths and planned intersections prevent traffic jams and helps curb air and noise pollution along roads, particularly at road junctions Provision of sewage treatment plants and proper control over effluent discharged by industries into waterways will reduce water pollution.

In the process of preparing a development plan, strategies need to be devised for reshaping or protecting both the built and natural environment. It is necessary to understand that even in the process of projects in the interest of the community, we interfere with nature and disturb the balance of nature and the environment. There is therefore a need to carry out environmental impact studies before undertaking or permitting major development projects. Sometimes, it is possible that the consequences of certain actions cannot be accurately predicted scientifically. In such cases, taking adequate precautions to guard against adverse consequences is a correct and proper approach.

8.0 Presentation of the Development Plan

The proposed plan needs to be presented to citizens and officials so as to avoid any ambiguity and friction in the implementation of the plan. Presentation of the plan involves two things:

Presentation of plan (map) Presentation of the report of the development plan.

After the plan‟s proposals are formulated, the development plan needs to be publicized to the citizens of the city. This includes publication of base maps, all surveys, proposed land use maps and implementation of the proposals, and development control regulations (DCR). In India, after publicizing the map, suggestions and objections are invited from citizens within a stipulated period of time. All suggestions and objections received during the stipulated time are referred to a planning committee consisting of elected representatives and experts in the field of planning, environment, finance, and engineering. The planning committee considers the suggestions and objections made by citizens and recommends appropriate changes to the municipality. The municipality modifies the plan as per the recommendations of the planning committee and submits the modified plan to the ministry of urban development for approval.

The ministry then reviews the plan and ensures it is in accord with regional and national laws. This sanctioned plan is handed over to the municipality for implementation.


The components of a City Development Plan The goals and objectives of a City Development Plan The process for conducting surveys of housing, industries, traffic, open space, and other

elements that must be considered in the plan Techniques gathering demographic information and making projections The importance of citizen consultation in the Strategic Municipal Action Plan process.



9.0 Annex A: Methods of Population Projection

9.1 Cohort Survival Method

The cohort survival method is a population projection technique that takes into account the age and sex distribution of the population as well as the influence of mortality, fertility, natality, and migration.

Population[t+1] = Population[t] + Natural Increase + Net Migration This equation states that the population at the next time interval (interval "t + 1") is the population at the beginning time interval ("t") plus the net natural increase (or decrease) plus the net migration. This is calculated for men and women for each age-group.

Natural increase is the difference between the number of children born and the number of people who die during one time interval. Net migration is the difference between the number of people moving in and the number of people moving out. People may "move in" or "move out" by a variety of means.4

The cohort technique traces what happens to each five-year age group of the population over a period of time broken up in five-year intervals. As the cohort progresses, it becomes subjected to different mortality, fertility, and marriage risks/incidences at different periods of time. The changes that may take place in the composition of each cohort in the time span of five years are calculated and applied to each cohort. Changes in the composition of the cohort due to migration are also taken note of. As a result, the cohort which survives at the end of the five-year period, is substantially different than the cohort at the beginning of it. The procedure is repeated for the surviving cohort for the next five-year interval until the population figure for the targeted projection year is reached. The method is complicated; it requires knowledge of age specific mortality and fertility rates which themselves are different in different parts of the country. The method also requires knowledge of in-migration and out-migration. The method is mentioned here more by way of information than for actual use.

Example from US Census Bureau, 1996

9.2 Component Method

The two components in the change of population of any area are

Natural increase through excess of births over deaths or natural decrease through excess of deaths over births and

Net in-migration or net out-migration. In Afghanistan we will have to consider returnees and deportees.



The two components are separately worked out and added or subtracted, as the case may be, to the base year population. Every city keeps a record of births and deaths every year. The average annual birth rate is calculated from this existing database and projected for the projection period years. The annual death rate is also similarly calculated. The net change due to excess of births over deaths constitutes the first component of the population increase. The net in-migration in previous decades is calculated from the analysis of census figures for previous decades and is projected.

As the birth rate, death rates, and net in-migration are likely to fluctuate, three projections are usually made – the high, medium and low - based on different assumptions about the likely fluctuations. This is a good method and should be used by cities above 100,000 in population.

9.3 Growth Rate Extrapolation Method

Decennial or annual exponential growth rates of the previous decades as calculated from the recorded populations in the past decades are extrapolated for the projection period by the curve fitting method. This is a refinement of the so-called “geometrical progression” method in which the exponential growth rate is continued without change. This is a simple method but not entirely satisfactory because population changes of any area do not merely follow past trends, but also depend on what is likely to happen in the future in both the city and the region that surrounds it. Improvement can be achieved if the extension of the curve is not merely on the basis of the “curve-fitting technique” but calculated with due regard to likely future changes.

9.4 Ratio Method

The ratio method for population projection is a step-down process in which the population of a smaller unit is calculated from the population of a larger unit, of which it forms a part, as having a certain ratio with the population of the larger unit. The Registrar General of Census Operations (RGCO) makes population projections for the country. In this method changes in fertility rates and mortality rates as well as effects of inter-province migrations are taken note of. For arriving at the population of any town, further step-down analysis for the district level and town level is required. For this method, the ratio of the population of the successively smaller units (the district and the town) as observed from the previous census figure is projected. This projection is made by plotting the past ratios and projecting them in future by using personal judgment. Accurate data is required for this method. Refer to the case study in Annex B for an example of applying the population projection method.



10.0 Annex B: Population Projection by Ratio Method5

This annex shows a sample population projection by the ratio method for Pune, one of the leading cities of India having population of about 3 million.

In the ratio method we start from the largest unit for which reliable estimates are available and descend to the smaller units in successive steps, i.e. in a step-down process.

The Registrar General of Census, India has furnished three estimates for the population of India and (major) States – high, medium and low. These are based on different assumptions about mortality and fertility. It has been recommended that the medium estimate may generally be followed for official purposes. The same is being followed in the case study. Medium estimates for 1996 population are: India: 935,863,000 Maharashtra State: 88,031,000

The ratio of Maharashtra‟s population to that of India was about 9% in the previous decades and for 1996 it has been estimated at 9.4%.

The next step is to arrive at the population of Pune district. The past ratios of Pune district population to Maharashtra population are shown in Table 1.

Table 1

Census Year 1961 1971 1981 1991

Population of Maharashtra

39553718 50412235 62784171 78937187

Population of Pune District

2466839 3178029 4164470 5511457

Ratio of Pune District to State

6.24% 6.30% 6.63% 6.98%

The ratio of Pune district population to Maharashtra population is progressively increasing, which is according to expectations. Apart from the Mumbai region, the Pune district plays a pivotal role in the industrialization scenario of Maharashtra.

The rate of change in the ratio during the decade from 1961-71 was only 0.96 percent. The rate of change in the ratio during the 1971-81 decade was, however, 5.23 percent and in 1981-91 decade it was 5.28 percent. The ratio is progressively rising and the rate of change is also increasing every decade. This situation will not change in the decade immediately after 1991. The rate of change of the ratio may be much higher due to the recent launching of an industrial area in neighboring districts, and the growth of industries at other locations around Pune. It is estimated that the rate of change of ratio in the quinquennium (a period of five years) 1991-96 will be 7.5 percent (7.5035 to be exact), which will further rise to 8 percent in the subsequent quinquennium. The ratio of Pune district population to that of Maharashtra in 1996 would be 7.5035 percent. The population of Maharashtra has been projected by the Registrar General as 88031000. The estimated population of Pune District in 1996 on the basis of the ratio of 7.5035 percent to the population of Maharashtra would be 6605406.



The populations in previous decades of the Pune district and the study area are shown in Table 2.

Table 2

1961 1971 1981 1991

Population of Pune District

2466839 3178029 4164478 5511457

Population of Study Area

867926 1218630 1826035 2647986

Ratio Study Area to District 35.18% 38.34% 43.84% 48.04% The rate of change in the ratio from 1961-1971 increased by 9 percent; from 1971-1981 it increased by 14.3 percent and from 1981-1991 it increased by 9.5 percent.

The ratio would be expected to rise by a greater amount in the 981-91 period than in the 1971-1981 period. The rate of change in ratio is progressively rising (except in 1981-91). Disregarding the lower rate of change in the 1981-1991 decade, it is estimated that in 1996 the ratio of Pune to Pune District would be about 55 percent. The 1996 population of Pune district having been estimated at 6,605,406, the estimated population of the study area at a ratio of 55 percent as in 1996 would be 3,632,973. Population of Pune in 1996

Table 3 shows the population of Pune and that of the study area in previous decades. Table 3

1961 1971 1981 1991

Population of Study Area

867926 1218638 1826035 2647906

Population of Pune 595762 856105 1203351 1566651 Ratio Pune to Study Area

68.64% 70.25% 65.90% 59.17%

Rate of Change 2.3% -6.19% -10.33% The ratio of Pune to the study area rose marginally in the 1961-71 decade, which was prior to the establishment of a satellite industrial town. After the establishment of the new town, it attracted a greater proportion of population than did Pune. Based on the fall in the ratio during the 1981-91 decade, it is estimated that rate of fall in ratio in the decade 1991-2001



will be 12 percent. Of this a little less than half (5.75 percent) will occur in the quinquennium 1991-96. On this basis the ratio of Pune‟s population to the study area will be 55.77 percent in 1996.

The population in the study area in 1996 is estimated to be 3,632,973. The estimated population of Pune in 1996 will therefore be 3,632,973 multiplied by 0.5577, or 2,026,109.

11.0 Endnotes

1 The term City Development Plan is commonly used in this chapter, because it is an internationally known term. We have used the same for the convenience of the reader. One can also refer it as Municipal Development Plan. 2 UN-Habitat, Kandahar City: Urban Sector Profile & Strategic Municipal Action Plan, Kabul, 2007, 44-94. 3 http://icma.org/Documents/Document/Document/301924 4 Refer to http://72.14.235.132/search?q=cache:djWYTI3YhDgJ:www.demographic-research.org/Volumes/vol4/8/4-8.pdf+population+projection+methods&hl=en&ct=clnk&cd=4&gl=in&client=firefox-a for more details © 2001 Max-Planck-Gesellschaft. 5 Development Plan, Pune Municipal Corporation, 2001-02.

http://icma.org/Documents/Document/Document/301924

http://72.14.235.132/search?q=cache:djWYTI3YhDgJ:www.demographic-research.org/Volumes/vol4/8/4-8.pdf+population+projection+methods&hl=en&ct=clnk&cd=4&gl=in&client=firefox-a



Chapter 12: Implementing the Municipal Development Plan



Summary: This chapter deals with the various tools and mechanisms for controlling and guiding the city’s growth based on the development plan.

Objectives:

To understand the specific tools available for enforcement and implementation of the development plan

To understand other innovative land management techniques being adopted around the world.

1.0 Introduction

Once a city development plan is sanctioned and formally notified, it becomes effective for controlling, promoting, and guiding the city’s growth. Both “enforcement” of the plan and its “implementation” are necessary for it to be effective. These are not mutually exclusive actions and are to be undertaken simultaneously if the objectives of city planning are to be fully realized.

Enforcement is a passive action. It consists of ensuring that private development follows the plan’s provisions in terms of proposed land uses and the building code requirements. The objectives of enforcement are to ensure that future development conforms to the planning objectives of orderly development, that it promotes health, and that it prevents further environmental deterioration. Enforcement of the plan mainly involves “controlling” future developments through development control rules and the land use zoning provisions of the plan. Development control is thus a passive tool for securing the plan objectives.

Implementation involves positive action to translate paper proposals into promotion of orderly growth. Implementation includes construction of new roads, widening of existing roads, installling water mains and drains, acquiring land for various social amenities and other purposes and using them for the said purposes, and so on. Implementation is a direct and active tool for securing the plan’s objectives. (Note that in Afghanistan, acquisition of land for social amenities is not a major problem; this technique can be used only where private land is involved in implementation of the development plan.)

An important difference between “enforcement” and “implementation” is that while “enforcement” involves limited costs, “implementation” requires, more often than not, sizable expenditures of money and effort for implementing the programs envisaged. Experience has shown that implementation almost always suffers because a municipality does not have the financial resources to undertake the capital works envisaged in the development plan.

Implementation of the plan proposals often requires “acquisition” of land reserved for public purposes as the first step. Adequate finances are required for this purpose. Alternatively, implementation can be achieved by undertaking a land pooling technique which is called a town planning scheme in many countries like India and England. The town planning scheme, wherever it is feasible, is by far the most suitable mode of implementing the development plan as it enables a municipality to recover improvement” charges” from the beneficiaries of the development in order to offset municipal costs.

2.0 Development Control Regulations (DCRs)

Development control regulations (DCRs) are part and parcel of the development plan and help guide future development. It is obligatory to take the provisions of the Development Control Rules into consideration before approving any development.



As explained above, there are two types of procedures to bring the plan on paper into reality. Application of development control regulations when granting planning permission for private development is the passive method. The other is the land pooling technique.

2.1 Why Development Control Regulations?

Development control is a crucial component of an urban planning system. It provides for and regulates the use of land and built space through permits for layouts, subdivisions, and buildings.

Development control is of greatest concern to the providers and users of land and built space – the majority of whom are in the private sector, mainly individuals. Due to ambiguity in regulations and long bureaucratic processes, unauthorized activities have been rampant in cities; thus clear rules are needed to alleviate the situation.

Transparency in understanding and applying these controls is, therefore, essential. Ambiguity in the interpretation and application of regulations and long procedures involved in the scrutiny of planning permits by public agencies create considerable delays in approval. The private sector cannot afford such delays, as large developments may depend on borrowing funds at high interest rates to finance the development. Individuals who invest a large portion of their savings in land and housing can also not afford such a slow permission process.

The rationale for the development control mechanism of urban plan implementation originally emanated from public health considerations. Ancient Indian civilization has numerous examples on planned settlements from the Vedic era. Existence of distinct areas for religious, citadel, markets, gardens, grazing grounds, etc., indicate the concept of zoning was employed in the planning of settlements in ancient India.

In the western world, development control as a concept of urban planning had its origin with zoning regulations formulated by pioneers like Alfred Betmanns and Edward Bassets. These regulations evolved to respond to the changing needs of urban areas to accommodate a growing population and to address the emerging issues of public health and environment. Thus, to address health problems during pre- and post-world war periods, many cities in industrialized countries imposed guidelines to regulate building size, shape, light, and ventilation.

The foundation of development control also rests on the assumption that land is a scarce resource. Its use, therefore, requires regulation. Meaningful planning of built-space and its environment cannot be undertaken without considering city-level ground conditions in general, and habitation and workplace conditions of disadvantaged segments in particular. A majority of middle- and low-income countries of the Asian Region are in effect mixed-economies, where a substantial section of the urban land is privately owned and developed with a goal of gaining maximum returns. Therefore, to promote regulated urban development and efficient land use, governments need to have statutory control of urban land development and use regulations such as zoning, subdivision, layout, and building by-laws.

2.2 Tools for Development Control

Development controls are usually found in the form of restrictions on land use, layouts, subdivisions, and buildings. The following elements are required to effectively implement the DCRs within the given legal/institutional framework and urban structure:

An efficient development control system with clear and unambiguous regulations. Police powers and powers of eminent domain for urban planning. An appropriate enforcement authority empowered to enforce development controls and

make appropriate decisions. The implementation of the development plan of a city depends more upon the

cooperation and understanding between government departments and private and public



developers of built environment than on controls. The principal agents of action in this partnership include:

o Investors/ developers – whether individual or corporate, private or government, o Professionals – town planner, architect, engineer, or surveyor acting on behalf of

a client o Government agencies providing physical and social infrastructural facilities o Government authorities empowered under law to enforce development controls.

The tools of development control, as stated earlier, include land use zoning, land sub-division controls, and building controls.

Land using zoning is used at the macro level to broadly specify the configurations of different types of land use. Subdivision and building controls are used to plan and regulate development at the micro level, so as to secure socially acceptable spatial standards.

In Afghanistan, the Ministry of Urban Development is in the process of issuing zoning ordinances which will regulate zoning and density of development in urban areas. The ministry has already finalized engineering and architectural control regulations for buildings, along with regulations for barrier-free design for physically challenged persons. These regulations should be part the development control regulations incorporated in the development plan/master plan.

The various controls provided under town planning and building laws and regulations in India include the following:

Land Use Control: Land use control regulates development through suitable locations for various uses and grouping of related activities. Through this control, the uses are grouped and related to one another, so as to avoid inharmonious or incompatible uses. A zoning ordinance may subdivide a city into districts or zones in which only specified uses are permissible and restrictions apply regarding height, bulk, density, open space requirements, and setbacks of buildings. Ideally, zoning regulations comprise:

1. Well publicized and clear maps showing broad land use configurations,

2. Simplified zoning regulations primarily in terms of floor area ratio/floor space index (FAR/FSI), building height; front, back, and side setbacks; and parking requirement

3. Specification of permissible and nonpermissible uses in each land use zone.

Subdivision Control: Subdivision regulations give urban local bodies the power to exercise control over land subdivision. The basic philosophy underlying subdivision control is that the owner of the land being sub-divided as houses or sites and streets should bear the responsibility for providing for streets in the prescribed manner and for setting apart sites for community facilities. This is especially important for plotted developments by private developers.

Height Control: Height control helps to check the size of buildings in relation to the size of plot. It is designed as per public safety and landing requirements for planes as prescribed by airport authorities. Height control is necessary at zonal and even city levels for fire control, building costs (including maintenance), and urban form.

Plot Coverage Control: This control helps to check the size and bulk of buildings. Such control helps preserve open space so as to secure sufficient light and ventilation. Generally, plot coverage is specified by the percentage of total area that may be built upon. Maximum plot coverage is also prescribed so as to have a correct mix of built space and open space.

Setback Control: Building setbacks are prescribed to ensure the provision of in-plot services and fire control. These regulations vary for different uses and areas. These



controls provide for space between buildings, and between buildings and roads, which can be used for lawns, trees, service conduits, and the like. The objectives are to keep dwellings away from dust and noise, reduce the spread of fire hazards, and provide for service lines.

Floor Area Ratio (FAR)/Floor Space Index (FSI) Control: Floor area ratio (FAR) control is usually used in central business districts, as land values are high in these areas. FAR control can be applied to all types of buildings. Additions and alterations to existing buildings can be controlled through FAR stipulations. The floor area ratio is the total building square footage (building area) divided by the site size square footage (site area).

As a formula: floor area ratio = (Total covered area on all floors of all buildings on a certain plot)/(Area of the plot). Thus, an FAR/FSI of 2.0 would indicate that the total floor area of a building is two times the gross area of the plot on which it is constructed, as would be found in a multiple-story building.

There are divergent views regarding the density in the central business districts of cities. Some planners advocate a high FAR or FSI in developed areas because of high land values and the goal of encouraging a compact city. Others are of the view that such policies tend to increase the volumes of traffic enormously, resulting in traffic congestion and bottlenecks. Notwithstanding these views, it is essential that the costs and benefits of high FAR in particular areas needs to be studied. FAR should be based on:

o Carrying capacity of infrastructure systems o Open space available for community purposes such as parking, play areas, parks,

and open spaces between building blocks.

In addition to FAR, zoning regulations establish a maximum plot coverage or maximum footprint, measured as the percentage of the built-up area on the ground over the total plot area. The maximum number of floors resulting from the combination of these two regulatory constraints is given by the formula:

Number of Floors = Floor Area Ratio / Plot Coverage

For instance, an FAR of 1 combined with 50 percent plot coverage would correspond to a building of 2 floors. It is necessary to distinguish between residential and commercial FAR. Usually, in residential areas, the permitted maximum plot coverage decreases when the FAR increases in order to allow natural light and ventilation. Thus, in residential areas, the number of floors is implicitly allowed to increase faster than the increase in FAR. For this reason, residential FAR seldom goes above 10, which would correspond to 40 floors with a plot coverage of 25 percent. Commercial FAR is usually associated with much larger plot coverage, because artificial light and ventilation are much more acceptable in an office building or a supermarket than in an apartment. So in commercial and business areas, FAR is often roughly equivalent to the number of floors.

A study by the Town and Country Planning Organization (TCPO) in India reveals that the minimum prescribed FAR ranges from 0.50 in Mumbai to 1.50 in Chennai among large cities. Similarly, the maximum varies from 1.00 in Delhi to 3.00 in Kolkata. It has been observed that FAR varies from location to location within a city. For example, in Mumbai, Chennai, and to some extent, in Delhi, a higher FAR is allowed in the central areas against a relatively lower FAR in suburbs. On the other hand, in Bangalore and Hyderabad, a higher FAR in the suburbs and lower FAR in the central areas is prescribed. Allowing a higher FAR in the suburban and peripheral areas reflects a policy of decongesting the central areas of a metropolitan city. A central area with a FAR above 1.50 results in sizeable traffic since new parking areas may not be available in the vicinity. In Mumbai, the prescribed FAR is 1.33 in the island city and 1.00 elsewhere. In Delhi, it is 1.33 for plotted residential development with one dwelling unit per floor for every 400 sq. mt. plot.



Density Control: This directly controls the number of persons in an area or city and therefore overcrowding, congestion in streets, fire hazards, and overloading of civic services beyond their design capacities. Densities have to be maintained at optimum levels to avoid both overloading of utilities as well as to reduce travel time and trip length.

Parking Control: Parking control provides norms for the parking of cars, both off-street and on-street. Off-street parking provisions are generally prescribed for commercial and residential complexes so as to minimize their impact on the consumption of public streets for parking. One principle states that on-street parking generated by a plot has to be paid for by that plot, due to the usage of scarce public lands. However, it is difficult to implement this principle in reality.

Building Line Control: Building lines are established along one or both sides of a street to prevent the creation of new structures between the building line and the street.

Architectural Control: The primary object of architectural control is to prevent excessive uniformity/dissimilarity in appearance and poor quality of design. It generally includes facade control and sometimes frame control. These types of controls are important for conserving areas in heritage precincts.

Advertisement Control: This helps maintain both public safety and aesthetic values. Other Controls: Other development control mechanisms include

o Tree preservation control o Right-of-way/access control o Environmental control.

3.0 Other Land Management Techniques

Some other recently introduced land management techniques include innovative concepts such as transfer of development rights (TDR), and accommodation reservations.

The traditional method of “acquiring” land is by monetary compensation constituting “a just equivalent” for the land acquired. Transfer of development rights from the land taken for a public purpose, however, enables acquisition without cash compensation.

Transfer of development rights means severing development rights from the area relinquished or surrendered, and transferring or selling those rights to another area so as to allow higher density development. For example, a city development plan could award transferable development rights to the owner of any land required for road widening, new roads, or development of parks, play grounds, or civic amenities. These rights would entitle the owner of the to development rights that he could use for himself or sell.

An accommodation reservation refers to the condition where the owner of the land builds and provides appropriate areas for the purpose for which the land was originally reserved in the development plan, in lieu of using the rest of the area for his own purposes in line with the development plan provisions.


The tools and mechanisms for controlling and guiding the city’s growth Other innovative land management techniques being adopted worldwide.



4.0 Annex A

4.1 Case Study: Montgomery County, Maryland1

Montgomery County abuts Washington, D.C. The southern half of the county has absorbed much of the growth spreading from the nation’s capitol. But the northern half of Montgomery County is still primarily rural. In an effort to preserve its character, and prime farmland, the county adopted a rural preservation plan and changed its agricultural zoning from one unit per two acres to one unit per five acres. Despite that downzoning, the county still lost 18 percent of its agricultural land to development in the 1970s.

To stem these losses, a task force concluded that it would be far too costly for the county to try to buy agricultural easements with tax revenues. It also rejected the option of simply downzoning all farmland to a density of one unit per twenty-five acres without providing compensation. This alternative was considered unfair to the owners of farmland and also might have the unintended result of encouraging the development of large country estates.

So, the county turned to TDR-based zoning. A 110,000-acre area, called the Agricultural Reserve, was designated as the sending area; this is more than one third of the County’s total land area. More than 90,000 acres in this reserve were rezoned to a Rural Density Transfer Zone. Prior to the rezoning, development could occur on-site at a density of one unit per five acres. After the rezoning, density was limited to one unit per twenty-five acres for development on the sending site itself. This rezoning alone provided a disincentive to build on sending sites. But in addition, the county added an incentive for farmers to deed-restrict their land through agricultural easements and sell their development rights for off-site use. The incentive is that the farmers can sell TDRs at the rate of one development right per five acres. In other words, the permitted density of sending site properties increases five-fold when development rights are used to allow development on receiving sites rather than on sending sites.

1 Source: Article by Rick Pruetz, American Institute of Certified Planners http://www.beyondtakingsandgivings.com/tdr.htm (©Copyright 2003 by Rick Pruetz) (accessed November 2008).

http://www.beyondtakingsandgivings.com/tdr.htm

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