UNIVERSITY OF VENDAURP 2543:

Introduction to Urban Planning

Introduction and Conceptual Clarification

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Why Urban Planning?

• ‘We cannot talk about city planning until we know what type of city we want to leave in.’

- At a more general level, urban planning is that field of study that allows us to determine what city we want to live in and how we want to leave in it.

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Why Urban planning???

1. To ensure orderly arrangement of land uses so as to provide an environment that is conducive for living, working, shopping, recreation, movement of people and goods etc. In other words urban planning ensures orderly arrangement of land uses and provides a descent forum for the efficient performance of all human activities.

2. Urban planning is essential to harmonize the conflicting interest between individual use of space and societal or community land use requirements or benefits.

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Why Urban Planning???3. Planning is required for adequate provision of facilities and public utilities

in urban and regional areas so as to meet the needs and aspirations of both the current and future generations.

4. It is a well known fact that natural resources are not only limited in quantities, but are also not evenly distributed across geographic space. Planning provides an efficient way of distributing and utilization of resources among the various components of a multilinguistic and culturally diverse nation like South Africa. It is a way of ensuring balanced spatial development.

5. Planning ensures rational distribution of public investment funds among competing sectors of the national or regional economy for balanced sectoral development, increase in Gross Domestic Product (GDP) and incomes, arresting unemployment, poverty as well as effective control of inflation.

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Urban form vs Function

• What is the ideal relationship in urban planning?- Which one comes first ‘Form’ or ‘function’- Compare the SA urban planning style with that of other countries eg UK and USA.

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Urbanization and its challenges• We should note that urban populations across the

developing world are increasing. This is consequential upon natural population increase and in particular migration from rural to urban areas.

• Urban planners must therefore deal with urbanization and its related challenges. Emerging issues include;- Supply and management of urban infrastructure / facilities and services to ensure livability of cities.- Management and use of natural resources- Urban expansion and incursion into agricultural hinterlands- Urban environmental protection- How to make cities governable.

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Urban Infrastructure and Services

Complexities Associated with the Planning and Management of Urban Infrastructure and Services:

Objectives of the Sessions• Appreciate the complexities associated with

provision of infra & services

• Understand challenges/constraints faced by ULGs in the provision of infra and services

• Familiarize ourselves with challenges of financing and providing infrastructure;

• Understand the types of risks involved in infra & service investments;

• Understand the key principles affecting infra & services finance

• Discuss some of the policy responses to challenges;

Infra & Service Provision… Complexities For cities to remain efficient & attractive places for dev’t,

problems of infra & service provision have to be addressed (Gunilla et-al, 2005)

Question raised is: How does one cope up with the complexities of urban infra and service dev’t?

Ordinarily Complexity refers to difficult to understand or intricate issue

In the context of infra provision, complexity is used to reflect the different interacting elements whose effects can not easily be predicted in case of any changes

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Infra & Service Provision… Complexities Con’t. Procedure to cope with complexity is associated with many

different actors, structures & processes, (Gunilla et-al, 2005)

The 1st basic condition to cope with urban infra dev't is to have an idea of what the problems look like in different cities

Complexity of infra dev’t varies from city to city & from country to country

Several Qns have to be answered e.g.Who are the important actors in reducing infra & service

problems significantly?Are the actors able to cooperate?Will they be hampered by the existing structure Are they able to initiate & successfully implement their ideas

etc…………….…

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Infra & Service Provision… Complexities Con’t. LDCs are faced with unprecedented growth that places

great pressure on infra & services.

Impairments of infra & service provision in LDCs include:

Rapid urbanization: Pop in African cities expected to grow from about 200m in 1990 to more than 450m in 210

Urban sprawl vs. compact cities:Dispersed cities, most dwellings are one-family homes

Increased need to move around to work, school, hospitals etc…

Deteriorating services to the public (DD vs. SS)

Traffic congestion, increased accidents, pollution etc…

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Infra & Service Provision… Complexities Con’t. Inadequate finance from main financiers:

Usually Central Gov'ts are overburdened with responsibilities regarding infra & service provision yet with limited tax/revenue base

Low fare rates that don’t reflect the real market prices of infra/services provided are charged

Inability of institutions to manage physical infra e.g. narrow roads in CBD can hardly be expanded due to compensation cost

Limited qualified personnel (technicians, engineers, planners etc) to carry out monitoring and maintenance of the provided infra & services

Poor coordination mechanism between C gov'ts, R gov’ts & sectors:Lack of clear policy as well as lack of accountability from concerned

officers

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Infra & Service Provision… Complexities Con’t. Inadequate Infra capacity:

Caused by low investment in infrastructure. Failure of concerned sectors to manage it e.g. street traders

occupy space designed for pedestrians and vehicle traffic in LDCs.

Developments are ahead of Planning in LDCs: Haphazard & uncoordinated Infra & service provision is always an intervention in already

established dev’ts

Complexities and challenges of infra & service provision can be minimized when:Central planning, provision & maintenance of infra &

services involves private individual service providers. This should occur within the overall framework of publicly

accountable planning e.g. competitive tendering

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Challenges of Financing Infra & Services in Developing Countries

• Key challenge: establishing a sound financing framework to meet growing infrastructure needs

• Efficient, reliable, safe, affordable and modern infra & services are critical in attracting FDI, expanding international trade and achieving long- term investment and growth.

• Requires huge investment estimated at $120 billion/ yr for electricity sector & $49 billion for water and sanitation btwn 2001 to 2015 in the developing world.

• General decline in private finance of infrastructure.

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• Rapid demand for urban services (Pop. Growth)

• Higher costs of producing services

• Backlog of new infrastructure and urban services requirements i.e., housing, water sanitation including sewerage, solid waste collection, market place development roads facilities etc.

– Where is the money to come from? Main revenue Blocks?

Transport

Clean Drinking water

Education

Public Health

The Situation In South Africa

The Situation in South Africa Cont…

• Poor Institutional capacity (financial planning and administration, low professional skills)

• Predominantly unplanned physical fabrics in some towns and rural centres.

– Increased costs in infrastructure

• Concentration of urban poor (cost recovery)

– But the Governments is expected to deliver services

• Dominance of informal sectors (revenue potential)

– Small revenue base & difficulty to collect

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Key Issues in South Africa Cont…• Key infra investment needs (roads, water supply and

housing) -together account for huge infrastructure investment investments)

• Provincial governments have established legislation for the management of municipal urban infrastructure. However,

“Provision of infrastructure in urban South Africa is still challenging” Why? (Difference btwn provision and

production)

Note: Provision means making decision on what to provide, when to provide & how to provide while production means actual building operations

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Key Issues in South Africa• Governments has always been the main financier of infra &

services. - decentralization. (Nature of decentralization??)

• Role of private participation and market based mechanism in urban infrastructure.

• Weak and inappropriate organizational and institutional structures for infrastructure delivery. (Inadequate capacity to prepare demand, financial & economic feasibility studies, and spend on infra & services),

• Lack of the concept of commercialization: (Addiction to subsidized infra & services- impact on cost recovery)

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General Policy Responses to Challenges in Developing Countries

• Scaling up multilateral assistance as a way of leveraging private capital; (The 4 options for loc authorities)-how sustainable?

• Disseminating knowledge and best practice in infra and service finance;

• Promoting a balanced public-private participatory approach to financing;

• Innovative risk-sharing mechanisms; and

• Paying special attention to issues of allocative efficiency in infra finance decisions (the high capital intensity nature of infra, issues of natural monopoly and location- specific investments-- affect private sector incentives to commit long-term capital)

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Examples of Policy Responses

Telecommunications: privatization, restructuring, deregulation, sale of assets to strategic investors- often major international companies

Power: privatization and diversification, unbundling of ownership, separation of competitive generation and supply segments from monopolistic transmission and distribution segments

Transport: deregulation (complicated by the economics of the industry:- balancing private sector provision and issues of affordability). Privately financed schemes mainly bridges, tunnels, toll roads and railways, ports and airports

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Historical contexts of Urbanization• Modern profession of town planning mainly arose in response to the urban problems caused

by rapid industrialization from the late 19th Century• The rapid growth of towns shook the contemporary habits and concepts (Benevolo, 1967)• Social reformers recognized the need for corrective intervention to deal with the growth

forces unleashed by modernization• Pioneering professionals often worked first in another built environment area like

architecture, surveying, engineering or landscape architecture• Planning was a chance to exercise a distinctive overall spatial and social vision that drew on

specialized inputs• Town planners could either design urban areas (such as suburbs and garden cities) or

develop ways to reform and reorder existing ones to provide plenty space and light, clean water and adequate drainage through urban renewal

• Early town plans concentrated on securing adequate provision for key urban needs– Housing– Commercial and industrial needs– Railways and railroads– Water, sewerage and energy supply– Open space and recreational areas

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City planning strategy in transformation / City development path

• Cities have evolved through four major episodes. Such episodes reflecting a paradigmatic shift in urban planning theory and practice. These four episodes include;

1.Physical architectonic phase (1750-1945)2.Cybernetic phase / Social foundation(1945-

1960)3.Quantitative revolution (1960-1980)4.Relevance revolution (1980+)

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• Physical Architectonic phase (1750-1945)– Government intervention to create physical order

out of industrial revolution chaos– Urban planning a basically physical – architecture,

civil engineering and physical geography– Urban planning theory and practice related to

subject – physical organization of the built environment

– Urban planning focus was narrow, - no focus on rural, economic or social planning

– No planning Ministry, urban planning function executed by the Ministry of Health – Public health

– Urban planning characterised by development control regulations

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• Cybernetic Phase (1945-1960) [SOCIAL FOUNDATIONS]– Arose out of WW1 & WW2 lessons related to political revolutions

which led to the creation of communist world in Eastern Europe– Western World politicians and theoreticians saw danger in possible

elimination of capitalist world– Need for some form of control to maintain the status quo– They shifted from control of built environment to control over people

and urban planning theory and practice changed from a basically architectural and physical planning emphasis to a socio-political ideological emphasis.

– Theory of cybernetics\science of control and the general systems theory based on communication theory were applied to control society- idea being to use this to suppress socialist political revolutions

– Using prestige that emanated from 1st and 2nd WW planning theory then became based on scientific logical positivism

– This meant planning had to be based on generalized principles versus particular ones, planning theory had to be separated from the substance i.e. removal from the physical to the social environment

– For urban planning to be scientific it had to be generic in applying to all communities, societies, irrespective of cultural differences, civilizations and developments.

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Cybernetic phase (A model approach to analyzing and exercising control over urban space)

• Three main approaches worth noting1.The systems approach to planning2.The city as a machine (the mechanical

approach)3.The city as an organic cell / a living tissue (the

organic approach)

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• Quantitative Revolution (1960-1980)– Science maturation but the basing of urban planning theory on social

planning brought theoretical congruence and or paradigm theoretical proliferation

– Urban planning divided into two main schools – procedural and substantive

– Planning seen as the concrete / scientific manifestation of human values. Urban planning was tailored to fit an ideological requirement rather than to fit human needs. The ideology was science / scientific way of doing things.

– Due to this procedural theory took precedence over substantive theory which allowed no generalizations unlike procedure which is basically the way of doing things , how u go about any form of planning

– During this period scientific planning based on prediction and control concentrated on social development than the distribution of socio-economic activities over geographical space and the result was the emergence of massive regional economic inequalities.

– In response to this there was a resurgence of a second wave of socio-political revolutions represented by such as the Chinese Revolution 1949, Vietnamese war, African Liberation Wars and Civil wars in LDCs. In SDA functional planning perpetrated disparities between urban and rural areas more so given the apartheid philosophy

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• Relevance Revolution (1980+)– Emerged out of competition between positivism as scientism and humanism

as a representative of social values– Contention was that urban planning to be based on values not general

scientism– Positivist scientific basis was challenged by humanistic approaches based on

critical theory, realism, phemenology and Marxism– Humanistic theorists introduced urban planning theory as a non general

theory but a unique theory based on unique aspects of urban economy, ideology, social and geographical organization i.e political economy

– Idea is that political economy pervades the material substances of urban planning which are geographical space, political organization etc

– All these are shaped by a particular ideology each country adopts– These two schools pervade theory in the phase of relevance revolution and

this led to the resurgence of urban and regional planning, economic planning, integrated planning as a means to marry substance and method

– Urban Planning theory became relevant to the material with which planning is concerned which meant planners had to be resourceful to apply and modify their knowledge to suit the needs of the community they are planning for needs approach rather than impose

– Needs approach – brainchild of humanism theory – political economic approach to planning i.e. planning modified to suit area under study. Current approach

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The industrial city (characteristics)• Planning began as a response to the 19th century industrial city and

its problems .• The preoccupations of planning in the context of industrial era of

town planning: Health Water and sanitation Aesthetics Urban design, etc • Explain the reason for focus on health• The industrial era pollution, squalor, population increase, congestion

and sanitation needs. Give definite examples of some of the

interventions. 28

The industrial city (characteristics)City planning largely premised on design and legal

standards.- Public Health & Buildings Controls & By-Laws Acts of 1909 –

1945– Town & Country Planning Acts , 1945, 1948, 1968, 1971

etc (UK)– Need to control and protect public health– Public buildings and safety– Standards in the physical and built environment for

uniformity, regularity, order, amenity, aesthetics, efficiency and effectiveness

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Modern city planning and the post industrial city• Has its roots in the elements associated with the industrial city.• We see a continuation of the design approach / philosophy. More and more emphasis being

extended to much softer issues of urban planning and urban governance.• Largely benefiting from the social foundation and the relevance revolution.• City planning more concerned about humanistic issues.• From a preoccupation with design to a concern for- Basic human needs, including housing, water supply, education- Human rights movement- Urban governance- Poverty alleviation- Employment creation- Indigenization, youth development, gender and community – lased development- Local Economic Development- Land reform - Public participation (small is beautiful movement) and - Many other forms of people-centred development.

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Modern city planning and the post industrial city.

• Hectic social transformation and the rapid increase in urban population in modern times led to a heightened awareness of the social and economic problems of the city

• Emergence of moral attitudes towards the urban settlement• It was criticized as a place of vice or hailed as the promise of a radiant future. Such

thoughts and attitudes were expressed and modified in actual town planning• The enlightenement conceived of the city as a place of virtue• Adam Smith whose attitude towards the city was ambivalent also defended the

city in relation to the country but did see some moral deficiencies of town life, particularly its “unnaturalness and dependence”

• In town planing, the ideal of the “planned” city prevailed, although in actual fact most cities were not built or expanded according to the overall plan

• The emerging science of town planning was challenged to provide rationally for the necessities of a progressively more industrilised and mechanised society. This led to the conception that the city as a whole is “architecrture” . Its spatial relationship , its organisation and the forms and levels of activity in it require that a city be “built”

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Modern city planning (the design element).

• The Skyscraper Cities– Innovative Construction Methods changed the scale of urban development such as cement, steel et cetera– Allowed high rise buildings supported by steel frames rather than load bearing walls– Futurists such as le Corbusier envisaged entire new cities as tower blocks in parkland settings

• Cities built for cars– Motor car had dramatic effect on the structure of modern cities and their planning– New philosophies of road design emerged in the United States and Britain in the early 20 th Century– In 1906 the first limited access motorways appeared in New York with the long Island Motor Parkway (1906-11) and

the Bronx River Parkway (1906-23)– 1938 British Policeman Alker Tripp refined the idea of road hierarchy– The width and capacity of a street would be determined by traffic function – whether it was catering for through –

traffic, industrial or residential traffic• Drive In Shopping

– Motor cars impact felt strongly in the mid 1920s– In USA, an economic boom led to major retailers building department stores in the new suburbs– In 1923, the Country Club Plaza, one of the first auto-mobile – oriented shopping centers , opened in Kansas City.– Another significant 20th Century development was the invention of the enclosed climate – controlled shopping mall– The first – Southdale Shopping Centre near Minneapolis – opened in 1956– These development expanded the scale of planning and highlighted the interrelationship of land use and transport

development.• The Megalopolis Emerges

– In the 1930s, the powerful New York Municipal, Robert Moses developed the Henry Hudson Parkway down the western side of Manhattan

– As leisure parkways became urban freeways they helped to define a new dispersed and multi-centered urban form– Driven by rapid population growth after the 2nd WW, big cities sprawled and often interconnected with each other to

form what geographer Jean Gottaman dubbed “megalopolis”

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Urban land use planning and management

• The key objectives which this lecture seeks to address are:

What are the key drivers of urban land expansion. What are the implications of urban encroachment in the periurban areas What are the responses of the peri-urbanites to urban encroachment How can we prevent emergence of slums in the peri-urban areas How can strike a balance between urban land use, energy consuption and

climate change.

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DRIVERS OF URBAN LAND USE IN AFRICAIn Africa, urbanization process, unlike in Asia and Europe, is taking place in the absence of significant industrial expansion (Kwasi, 2004). The underlying processes of urban growth in the continent are mainly rural-urban migration, accentuated by government investment pattern in infrastructural facilities and services –quality education, health, water and sanitation, which favour the major cities to the detriment of the rural areas. Other factors are of course natural increase or fertility rates The process of urbanization in Africa finds expression mainly in outward expansion of the built-up area of cities and conversion of prime agricultural lands into residential and industrial uses (Brennan, 1999; Kwasi, 2004). Consider the case of growth of a medium sized city in Nigeria as reported by Adeboyejo and Abolade 2009CASE STUDY: This case study serves to illustrate the growth of medium size cities in Africa and the implication of poor urban land use management. It should help us understand the process and pattern of city growth in the Municipality/province.

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CITY GROTH IN DIFFERENT TIME PERIODS

The pattern and rate of urban encroachment: Case of a medium sized city, Ogbomoso, Nigeria

Oja Tutun

Oke PakuArowomole

Baptist Hospital

Sunsun

Safejo

Aaje Ikose

Iluju

Fapote Ayedade

Mergo Baptist College

Aduin

Girls ' school

NEW ILORIN ROAD

Kuye

Taki Junction

Tara

Ogbomoso Grammar School

Soun Palace

Owode

Ileewe Area

Ikose

Alasa

Sanu Aje

Ogbomoso HighSchool

Akata

Igbo Sayi

Arinkinkin

Ahoyaya

Lepper Colony

Owolake

Eyeba

Sabo

Isale Ora

ArojeAba

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1995-2003

1978 - 1995

1914 - 1949

1949 - 1978

1914

2003-2007

$

3000 0 3000 6000 Kilometers

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Fig. 2: OGBOMOSO CITY EXPANSION 1914 - 2007

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Major roadExpressroadHigh way

Important places#

Selected settlement$

City limit (1914)

Growth btw (1914-1949)

Growth btw (1949-1978)Growth btw (1978- 1995)

Growth btw (1995-2003)Growth btw (2003-2007)

LEGEND

SCALE:

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Implications of urban land-use (encroachment) on the environmentDocumented impact of city expansion on the hinterland range from: Changes in ecological balance (Xie et al. 2006), Encroachment on or loss of agricultural land (Jaiyebo, 2003; Adriana, 2003; USDA, 2001; Xie et al., 2005b) Land speculation (Adriana, 2003) with its diverse implications on farming practices and food security (van den Berg et al., 2003), Pollution of the peri-urban areas where urban wastes are deposited (Hardoy et al., 2001; UNCHS, 1996; Redman, 1999; Bruce et al., 2002), again, with the implications on environmental quality and by extension population morbidity (Kates and Parris, 2003; McMichael, 2000).Urban hinterland receives the direct impact of urban expansion with enormous stress on the natural resources ecological footprints (Wackernagel and Rees, 1996; Rees, 1992; Chambers et al., 2001). The conversion of farmlands and watersheds for residential purposes has negative consequences on food security, water supply as well as the health of the people, both in the cities and in the peri-urban areas.

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IMPLICATIONS OF UNGUARDED URBAN LAND USE

1 Without basic facilities and services the emerging settlement pattern can be characterized as a network of impoverished communities which have resulted from a process that can best be described as “slumnisation” of peri-urban areas. The hastily developed communities lack basic facilities and services, such as electricity, potable water, and motorable roads.

2 loss of agricultural and environmental service land; 3 high delivery costs of urban infrastructure e.g water, electricity; (energy

inefficiency)4 lack of green space; inequitable distribution; Remedial action: * Urban service boundary versus urban sprawl; Redevelopment (infill) versus

green-field development; and peripheral land adjustment* Green space reserve and planning; Urban agriculture5 Inappropriate land use near water frontages or water sources; Susceptibility

to flooding:Remedial actionControl land use along or near water sources; Create public spaces along

waterfronts. 37

HOW POLICY CAN BE USED TO SHAPE URBAN LAND USE

There are wide varieties of policy frameworks and planning instruments which practitioners could utilize to achieve more desired land use outcomes. Regulatory instruments, e.g master plan, land use zoning, height restrictions, subdivision plans / specific area plans, heritage preservation, right-of-way protection, growth and service boundaries, open and green space protection, agricultural land reserves, natural hazards zoning, etc. Development Control measuresEconomic instruments, include:instruments to improve land use efficiency, i.e., accessible housing finance, cooperative housing instruments to reduce spatial disparity: location /allocation of urban services Awareness/Behavioral change instruments, i.e., “watchdog” programs, campaigns, community-based action

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Urban Land Use, Energy Consumption and Climate Change

Urbanization leads to more energy consumption. –food, water energy. Cities are the greatest gulpers of resources . Loss of vegetation , emissionsAutomobile -dependent spatial patterns lead to higher energy consumption and increased green house gas emissions.Discussion: What are the mitigation strategies for urban planners to reduce green house gas emissions in the process of land use planning?Mitigation should focus on buildings and transport

Create incentives to build energy efficient buildings, i.e. regulatory, economic instrumentsOrient city blocks, sites, buildings to enhance sun exposure and reduce energy use Adjust spatial patterns to minimize travel. Maximize access to rail and water transport Encourage appropriate urban agriculture to reduce food transport costs Encourage green parking lots instead of tarred parks. Creating and protecting buffer zones along waterways and hillsides;Restrict buildings on low-elevation land at risk; Identify land for settlement/resettlement 39

URBAN PLANNING TOOLS AND BEST PRACTICES IN PLANNING

FOR URBAN INFRASTRUCTURE SERVICES (UIS).

Urban Planning Tools• Participatory Planning approach / community

contracts / labour based technologies,• Project cycle management approach;• Municipal Infrastructure Investment Plan (MIIP) • Urban renewal/Urban regeneration;• Integrated urban infrastructure development

planning • Multi-sectoral investment planning [MSIP] • City branding

Participatory Planning for UIS• PP is a process which involves pple in the

dvt of their communities or regions.• The target communities are stakeholders

whose participation is a means to bring about specific change.

Objectives of Participatory Planning:

• To identify & promote integrated progs that converge at community level;

• To change the attitude of policy makers & planners in coming up with inclusive by-laws and planning regulations.

• To improve resource bases and mgt capacities of sub national gvts and involve all actors in dvt.

• To develop models for providing infra & services, that promote community participation

• To promote participation through increased community organization and awareness

What is involved?

• Identification of the problems• Verification of objectives• Resource assessment• Formulation of programmes and plans• Monitoring and evaluation

Why participatory planning???• Failure of sectoral and top-down approaches in

poverty alleviation.• Recognition of traditionally overlooked sectors and

stakeholders• The need for partnerships, consultation and dialogue• Recognition that community participation is a human

right• To foster dvt focused on real community needs• To capture the opportunities from across the board

interaction and co-operation

Everything must be participatory!!!

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Community contracts in Urban Infrastructure Works• Community is a group working towards

common goal• Community based organization is any

organization based on a group of people living, working and pursuing a common interest

• Community contract is an agreement between a community and an agency e.g. City Council or line ministry, NGO or technical team

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Options for the future• Alleviate urban poverty by income generating

activities• Participatory strategies to provide urban

infrastructure and shelter• Promotion and regeneration of urban environment in

low income settlements• Expansion of local governments revenue capacity• Decentralize authority and responsibility for

development to local government and NGOs• Recognition of women and collaboration with private

and voluntary organizations

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Labour-based technologies

• Optimize employment• Local resource mobilization• Infrastructure investment using, preferably

and when necessary, light equipment• Suitable designs and working methods• Training and capacity building• Suitable for infrastructure in unplanned

settlements

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Community- based urban upgrading• Identification, initiation and

participation in improvements to their area

• Control of financing aspect, organizing contributions and fund disbursement

• Designing, construction, levels of pay, amount of assistance and targets determination

Project Cycle Management• Urban projects are rarely entirely new ideas• Pre-feasibility & feasibility studies indicate the needs &

appropriateness of a project idea e.g. upgrading of roads, bridges etc• Main questions to ask: Is there an effective DD (demand) for the project i.e. what people would

want & what they are willing & able to pay for Will there be enough inputs at the right time & of the right quality to meet

the DD of the project i.e. not only during design & construction phases but for O&M.

How appropriate & cost effective is the project for converting inputs to outputs

Does mgnt expertise exist to enable the project to operate efficiently.

Stages in the Project Cycle• Project cycle: a sequence of activities used to plan &

implement projects• Several cycles exist but for road investments the projects

usually follow the sequence: Identification Feasibility Design Commitment & Negotiation Implementation Operation Evaluation

Stages in the Project Cycle1. Identification: Pre-feasibility stage. Uses a no. of sources of

information e.g technical specialists, loc leadership, communities etc. can be from a sector survey. Screen project ideas

2. Feasibility: Provides information on whether to proceed to more advanced stages & commitment. Detail depends on nature of project & how much is known already. Should define objectives, consider alternatives, & relate the project to its environment.

3. Design: Once project idea is clear, detailed plng & design can start. Costs up to 15% of project cost. Considers numerous decisions concerning project’s econ. performance

4. Commitment & Negotiation: Funds commitment takes place in a series of stages. Followed by invitations to tender & negotiations with contractors, potential financiers & suppliers.

Stages in the Project Cycle5. Implementation: Several aspects of earlier stages affect

this stage. The better & more realistic the plan, the more likely it is to be successfully implemented. Implementation plan must be flexible to incorporate changes (e.g. soil test results may entail changes in technical and construction material issues)

6. Operation: Actual use of the road project by different forms of traffic. May involve supportive activities e.g. traffic management scheme for allocation of space to different users

7. Evaluation: Systematic forward & backward looking for successes & failures in the project. Feedback loop to learn for adjustments & future. Done by different pple using different approaches. Results in specific recommendations.

Municipal Infrastructure Investment Planning (MIIP) Case of Dire Dawa

• MIIP deals with questions about: What to buy? What to build and where to build it? What should be repaired (rehabilitated)? And, How much should be spent for these purposes. MIIP provides link btwn municipal annual budgets & long-

term master plans Preparation must be participatory

In Dire Dawa, Ethiopia MIIP began 1998 EC or 2006 (IC).

Why MIIP in Dire Dawa????• Dire Dawa: a number of urgent capital needs (to repair and

improve existing facilities) and to develop (construct) new facilities (e.g. roads)

• This could not be met without significant outside assistance from the regional government or international donors.

• MIIP provides the framework for inventorying unmet needs in a systematic manner and updating this inventory on a regular basis

• Information helpful in securing outside funding. Each capital project estimated to cost of about 1,000,000 EB over three years.

Infra Investments and Strategic Prioritization

• Due to scarcity of resources need a criteria to scrutinize & prioritize among sectors & projects.

• Mainly focus on, other than econ quality of project:– Whether the investment program is appropriate to the

economic and social environment? – Whether the investment program is compatible with

macroeconomic framework? – Whether externalities are taken into account?

Preparation of MIIP in Dire Dawa The MIIP involved five years of compilation of annual project

costs (K investment and future operational cost responsibilities) & the balance of funds needed to complete them.

The first year of the MIIP generally included projects for which implementation had been decided, the later years were indicative for both the estimates of costs and the list of projects included

The first step was to list all projects which would be financed with own funds and with externally generated finance.

The annual costs of ongoing projects and previous list of new projects must be revised when preparing the next MIIP.

Urban Renewal/Urban regeneration

• Definition: A process of land re-development in areas that have undergone urban decay with time.

• The problem: old and dilapidated housing roads in poor state of repair narrow and poorly lighted streets uncollected garbage sight and noise pollution insecurity poor storm water management soil erosion inadequate water and sanitation High disease incidences [related to inadequate infrastructure].

• Consider: old and dilapidated CBDs, urban slums etc

Intervention measures

• Four modes of intervention:– Installation: construction of physical facilities like

housing, roads, street lighting, telecommunication, water and sanitation, storm drains, beautification etc

– Organization: organizing people into neighborhood groups/ associations for purposes of achieving objectives of urban renewal. [business community, residents, etc]. Requires organizational skills.

– Motivation: key to cooperation in urban renewal [achieved if people see tangible benefits]

– Information : awareness creation/sensitization/education

Requirements• Policy framework: Government or local authority to come

up with policy on urban renewal • Legislation: urban renewal should take place within certain

legal and administrative framework e.g the Housing Act of 1949 that kick started urban renewal in American cities.

• Planning: planning to precede any intervention to avoid ad hoc developments.

• Approach- bottom up approach recommended– Integrated approach recommended– Political goodwill– Community goodwill– Adequate funding– Skilled and experienced human resources

Where applied????

• Beijing [China], Melbourne & Victoria in Australia, Canary Wharf in London & Cardiff in Wales [Britain], Boston, San Francisco, New York Chicago in America, Paris. Also many other cities in the world.

• Zimbabwe (Harare) • South Africa (Pretoria)• Ethiopia –Addis Ababa

What critics of urban renewal say??

• Urban renewal leads to :– Destruction of property– Degradation of tax bases– Isolation of neighborhoods– Displacement of people– etc

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Integrating Infrastructure Planning & Provision

• What is integration? o It means “bringing together into one” or adopting a

“unified front/ approach” o In infrastructure: refers to planning for infrastructure

facilities as a “package” as opposed to piece-meal approach or separate entities

• Involves: Integrated Development Planning (IDP); Integrated Urban Infrastructure Development

Planning (IUIDP) Multi- Sectoral Investment Planning (MSIP)

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Requirements for integration

– Common objectives– Level of integration should be

commensurate with likely benefits– Integration should link together

institutional, technical, spatial and financial elements.

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Elements of Integration

Technical/ spatial

Institutional

Financial/economic

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requirements

+

Motivation from common objectives/communication/

3Integration Institutional

and financial integration

1 co-operationco-operation co-operation

co-ordination andcommunication mechanisms +2 co-ordination co-ordination

Levels & Requirements of Integration

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Inte

grat

ion

Co-or

dinat

ion

Co-op

erat

ion

Spatial/ technical

IUIDP Cont.

integrate to the extent justified by clear strong benefits

Institutional

FinancialNormally strong linkages exist

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Multi-Sectoral Investment Planning [MSIP]

• Set investment priorities• Improve management of local capital

investment decisions• Integrate traditional physical planning and

economic planning• Integrate spatial/ physical plans for

infrastructure into land use plan• Budget- allocate scarce resources • The final product of MSIP is a multi-year capital

investment plan.

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Steps in MSIP processStep 1- establish an inter-agency steering agency - for

investment prioritizingStep 2- decide the mechanism for measuring user

demandStep 3- identify priorities of the community -

surveys and other techniquesStep 4 - obtain information on investment

activities already -underway or about to be started.

Step 5 – prepare lists of prioritized projectsStep 6- cross-sectoral project priorities final list of

projects to be implementedStep 7- plan on the revenue side of the MSIP

budget and not expenditure side

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Reference to the National and Regional Development Plan

Assessment and Analysis of Resources, Institutions, Legislation, existing projects, etc.

Physical and Environmental Analysis

Community consultations

Real Demand Surveys

Problem Identification

Preparation list projects

Rapid project feasibility analysis

Prioritisation

MSIP

Appraisal & Approval

Implementation

Draft Physical and Environmental Development Plan (PEDP)

Draft Revenue Improvement Plan (RIP)

Draft Institutional Development Plan (IDP)

Define Local Government Lead Agency

RIP IDP PEDP

Best Practices [BP]

• What are Best Practices in infrastructure, services and transport provision?

• operational definition:– Innovative intervention that is cost effective, efficient,

reduce poverty, conserve the environment, integrative, use appropriate technology and generate employment opportunities.

Note: Best practices may be undertaken by organizations [including government, local authorities], individuals or groups of people.

Examples of BPBest practice where

Communication information resource centres South Africa

Telecenters: people work from neighborhood telecenters reduces automobile trips, traffic congestion, energy consumption and air pollution

USA

Nation-wide GIS to improve planning Qatar, Arabian Gulf

Core area upgrading- road construction and pavement, street lighting, solid waste mgt, traffic mgt and surface surface drainage

Nepal

Baghdad Neighborhood Rehabilitation programme Iraq

BP Cont.Luanda-Sul self-financed Urban infrastructure program

Angola

World class land transport system in Singapore Singapore

Bus Rapid Transport System (BRTS) South Africa

Biogas from household waste

Labour-based road construction

Water Vending

SMEs in construction

Czech Republic

Zimbabwe, Malawi, Zambia

Ethiopia

Ethiopia

BP Cont.Solid waste recycling Nairobi [Kenya], Harare

[Zimbabwe],

Non-motorized transport Program [World Bank funded pilot project]

Kisumu city, Eldoret and Kakamega towns in Kenya, Harare

Energy saving stoves [supported by Practical Action and ITG]

Kenya, Zimbabwe

SAPMA Housing and Environmental Project. Poverty reduction, water and sanitation, skills development

Grenada

Understanding Urban structure (Theories and models)

• The role and place of urban theories and models

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• Theories of urban spatial structure– Explain how does an urban area

gets its spatial urban structure– Indicate the emergence,

evolution and development of urban structure

– Morphology of an urban area has a basis, how does a CBD area emerge, where does a residential area emerge , how do activities locate themselves on space

– Classical theories deal with this among them Concentric ring model, Sector Model, Multiple Nuclei Model

– These help to explain the organization of urban structure, the location and distribution of activities (land uses)

– They also give indications on relationships among the parts of the city

– Interesting element in these theories is that poor people commute instead of the rich

URBAN SPATIAL THEORY MODELS

Ring Sector Multiple Cells

•Ecological approach•Bark of a tree as an allegory•Activities were ecological niches competing for prime locations•Competition and Survival of the fittest•Urban structure some kind of social ecology•Identified zones radiating from the centre•Commuter zones for the rich ones•CBD acts as magnet in early phase but as city mature and grows diseconomies of agglomeration cause dispersal of rich to periphery , suburbanization

Argue that cities grow in sectors rather than complete rings

The axis, route corridors and physical features make urban structure spatially sector or half circles, or wedges rather than concentric circles

Based on examples in USA and UK cities empirical studies

The location of heavy industries has a strong impact in define urban structure development and clustering of activities

Growth of cities is not based on one nuclei (CBD0 but many CBD’s or multiple cells (multi-cellular approach)

Residential areas have high densities which encourage competition and the emergence of zones

Based on psot 1945 news wave of development in terms of suburban growth, specialization etc