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September, 2006
Addis Ababa

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MATHEWOS Consult
Architectural, Engineering, Urban Planning, Urban Development and Urban
Management Consultants

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Table of Contents
Title Page
LIST OF FIGURES ..................................................................................................................... iv
LIST OF FORMATS ................................................................................................................... iv
LIST OF STANDARDS ................................................................................................................ v
ACRONYMS ............................................................................................................................... vi

PART I BACKGROUND STUDY ..................................................................................... 1

1. INTRODUCTION ....................................................................................................................... 2
1.1. Background ......................................................................................................................... 2
1.2. Integrated Urban Infrastructure and Service Planning in the Context of Ethiopian Urban
Planning System. ................................................................................................................. 5
1.3. Purpose of the Manual ........................................................................................................ 6
1.4. Methodology and Approaches Adopted .............................................................................. 6
1.5. Content of the Manual ......................................................................................................... 7
1.6. How to Use the manual ....................................................................................................... 7
1.7. Definitions of Terms............................................................................................................. 7

2. REVIEW OF PRACTICES ..................................................................................................... 11

2.1. International Practices ....................................................................................................... 11
2.2. Local Practice of IUISP preparation .................................................................................. 14

3. CONCEPTION, GENERAL PROVISIONS AND CONSIDERATIONS ......................... 21

3.1. Key Principles ................................................................................................................... 21
3.2. Concepts............................................................................................................................ 22
3.3. General Provisions and Considerations ............................................................................ 26
3.4. Classification of Urban Centers ......................................................................................... 28
3.5. The need for data collection .............................................................................................. 29

PART TWO THE PROCEDURE MANUAL ............................................................32

PHASE 1. PREPARATORY WORKS .................................................................................... 34
PHASE 2. DATA COLLECTION AND ANALYSIS .............................................................. 41
PHASE 3. STRATEGIES ........................................................................................................... 48
PHASE 4. PROPOSALS .......................................................................................................... 52
PHASE 5. INTEGRATING PROPOSALS .............................................................................. 58
PHASE 6. APPRAISAL & APPROVAL ................................................................................. 60
PHASE 7. IMPLEMENTATION ............................................................................................... 62
PHASE 8. MONITORING AND EVALUATION ..................................................................... 64

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PART III ANNEXS………………………………………………………………..I

ANNEX I FORMATS ....................................................................................................................... II
ANNEX II STANDARDS .............................................................................................................. XVI
REFERENCE ........................................................................................................................... XXVII

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LIST OF FIGURES

Fig. 1. A Framework of the Trend in Ethiopian Urban Planning System

Fig. 2. Integrated Infrastructure planning process in Addis Ababa
Fig. 3. Integrated Infrastructure Construction Permit Process
Fig. 4. Conceptual Framework for Integrated Infrastructure and Service Planning (IUISP)
Fig. 5. IUISP Preliminary Visioning Process
Fig. 6. Organizational Structure for IUISP

LIST OF FORMATS

Format No. 1. Example of Stakeholders Identification and Analysis in IUISP Process

Format No. 2. General Information Data collection and Analyis Format
Format No. 3. Institutional Data Collection and Analyis Format
Format No. 4. Legal Information Collection and Analyis Format
Format No. 5. Financial Information Collection and Analyis Format
Format No. 6. Collaboration experiences data collection and analyis Format
Format No. 7. Existing Networks Data Collection and Analysis Formats
Format No. 8. Spatial Distribution of Major Activities Data Collection and Analysis
Format
Format No. 9. Ongoing/planned Infrastructure Development Programs/Projects Data
Collection and Analysis Format
Format No. 10. Spatial Physical Data Collection Format for Power System
Format No. 11. Spatial distribution of major settlements
Format No. 12. Existing Landuse of Density Data Collection and Analyses MAP
Format No. 13. GAPS Identification Sample Format for IUISP
Format No. 14. Strategic Options Analysis and Selection Format
Format No. 15. Action Plan Format
Format No. 16. Infrastructure Construction application and Permit Format

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LIST OF STANDARDS

Standard 1. Streets cross sections Standards

Standard 2. Typical Road Profile Showing Utility Lines Alignment
Standard 3. Streets Right of ways standards
Standard 4. Indicative standard time required for the IUISP planning
Standard 5. Standard for liquid waste open air biological treatment plant.
Standard 6. Standard Requirements for Street Cuts
Standard 7. Indicators’ standard
Standard 8. Plans Evaluation Period Standard
Standard 9. IUISP Required Resources

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ACRONYMS

1. AACRA = Addis Ababa City Roads Authority

2. AAHA = Addis Ababa Housing agency
3. AATA = Addis Ababa Transport Authority
4. AAHA = Addis Ababa Housing Agency
5. AAWSA = Addis Ababa Water and Sewerage Authority
6. BWUD = Bureau of Works and Urban Development
7. CBO = Community Based Organization
8. CRDA = Christian Relief and Development Association
9. EEPCO = Ethiopian Electric Power Corporation
10. ERA = Ethiopian Roads Authority
11. ETC = Ethiopian Telecommunications Corporation
12. FUPI = Federal Urban Planning Institute
13. ICT = Information Communication Technology
14. IDP = Integrated Development Plan
15. IDSMT = Integrated Development for Small and Medium Towns
16. IUIDP = Integrated Urban Infrastructure Development Plan
17. IUISP = Integrated Urban Infrastructure and Service Plan
18. LADA = Land Administration and Development Authority
19. LDP = Local Development Plan
20. LGIF = Local Government Infrastructure Fund Program
21. LIAP = Local Institutional Development Plan
22. MIP = Municipal Infrastructure Program
23. MIS = Management of Information System
24. MSIP = Multi-sectoral Investment Planning
25. MTIP = Medium Term Investment Program
26. NDA = Neighborhood Development Agency
27. NGOs = Non Governmental Organizations
28. PASDEP = Plan for Accelerated and Sustained Development to End
Poverty
29. PPP = Public Private Partnership
30. RF = Representative Forum
31. RIAP = Revenue Improvement Action Plan

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32. SC = Steering Committee

33. SDAP = Strategic Development Action Plan
34. SDF = Strategic Development Frame
35. SNNPR = Southern Nations, Nationalities and Peoples Region
36. SP = Structure Plan
37. TOR = Terms of Reference
38. TC = Technical Committee
39. UDCBO = Urban Development Capacity Building Office
40. USL = Urban Sector Loan

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 PART I

BACKGROUND
STUDY
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1. INTRODUCTION
1.1 Background
Most cities of the developing countries are faced with various problems of which high
incidences of poverty and unemployment,, poorly developed infrastructure, inadequate
public services, acute and ever worsening shelter deficits and accelerated environmental
deterioration tend to be significant. These problems are mainly the result of the mismatch
between their rates of population growth and their paces of economic development.

Urban infrastructure is invariably linked with productivity of urban economies and macro
economic development. That is why upgrading urban infrastructure has received
increasing attention over the past few years. The focus on urban infrastructure is
particularly visible among developing countries, which are making serious efforts to
enhance the productivity of their economies through improved provision of infrastructure.
(Kulwant singh et al, 1996)

The development of urban infrastructure and municipal services is of paramount

importance for economic growth and for the improvement of the quality of life in the cities
of the developing countries. However, the development and improvement of
infrastructure and services requires appropriate investment decisions and effective
utilization of scarce municipal resources. To this end, integrated infrastructure
development planning plays crucial role to effectively guide and promote urban
development as well as to significantly increase the gross national product of developing
countries.

However, urban infrastructure in the developing world is often subjected to haphazard

planning, disjointed implementation and poor post installation management. Usually
inadequate attention is given to the interdependencies between infrastructure systems,
the urban functions to be served and to the sustainability of the facilities. The outcome is
poor facility functions, early deterioration and unwanted settlement development,
implying wasteful use of scarce resources.

Likewise, in the case of Ethiopia the supply of infrastructure and services is continually
lagging behind the population growth rate. Ethiopian Urban centers are characterized by,
among others, lack/shortage of basic urban infrastructure and services. It is also vividly
observed that the existing scanty infrastructure and services in the urban centers are

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deteriorating mainly as a result of poor design and installation practices and due to lack
of timely maintenance. On top of this, lack of coordinated and integrated infrastructure
and services planning and implementation has exacerbated the problems observed in
the infrastructure development effort of the country.

If we look at the performance of spatial planning in Ethiopia, we can observe that city
master plans have not been successful in adequately guiding and controlling spatial
development. Besides, political commitment to strictly adhere to the plans has generally
been lacking. For instance, the revised master plan of Addis Ababa has developed
SDAP and SDF to facilitate integration between the financial, institutional,
physical/spatial components of programs/projects including the development of
infrastructure and services. However, it could not bring the required or expected benefits
and could not guide the sector programs and budget plans as was primarily assumed
and expected due mainly to the lack of a strong political support. The need to address
such a critical shortcoming undoubtedly calls for the adoption of a much stronger form of
conventional planning such as the, IUISP. In fact, IUSP is an effective planning tool for
improving the performance of planning and plays as it is inherently capable of playing a
significant role in the development of infrastructure and services.

Integrated urban infrastructure and service development planning is a tool required to

complement the present sectoral infrastructure planning practices mainly by reducing the
apparent fragmentation of infrastructure and services provision. Particularly, IUISP
provides usable frameworks for making decisions on priorities, based on performance-
oriented plans containing not only a physical framework for infrastructure development
but also a revenue improvement plan and a local institutional development plan. It is a
vital planning tool required to fill the critical gaps left by the statutory development plans..

According to the national urban development policy,(Council of Ministers,2005) urban

infrastructure delivery should be integrated and developed as one of the components of
city development plans. In addition, the policy indicates that the participation and
integration of activities of different actors (such as municipal authorities, governmental
development agencies and the private sector) is vital for plan implementation. Moreover,
the infrastructure delivery system should promote quality and efficiency through
incremental development. It should also indicate the mechanisms that are needed to
ensure cost recovery.

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The national urban development policy emphasizes that urban infrastructure

development and delivery should be integrated and linked with land development and
delivery activities and programs. The policy focuses on the development of industrial
villages and incubators, micro and small enterprises and low cost housing development
programs, which are believed to be instrumental to reduce urban poverty and to enhance
urban rural linkages within the general framework of the Agricultural Development Led
Industrialization (ADLI) policy of the country. The national urban development policy
mainly stresses the role of infrastructure and land delivery for the implementation of the
above stated programs. As a result it indicates that focus should be given for supporting
the above stated programs through the provision of infrastructure. It particularly
underlines that the development program and the delivery of urban infrastructure should
focus on addressing, supporting, facilitating and promoting the development programs of
micro and small-scale enterprises, industrial villages and low cost housing of cities and
towns.

In general the delivery and development of urban infrastructure should aim at bringing
balanced urban development through prioritization and phase-by-phase development, by
taking into consideration urban hierarchy and the feasibility of infrastructure
development.

The urban areas of the developing countries are not only faced with problems of poorly
developed physical infrastructure. They are also suffering from woefully inadequate,
provision of municipal services. Especially, their efficiency in the provision of such
services as water supply, electricity, transport and communication and the management
of municipal waste is awfully low.. This is mainly because their service giving institutions,
which are found at different levels of development, do not have integration, are
extremely bureaucratic and very much lacking as regards access to and the use of a
qualified workforce and the state of the art technology. This is particularly true in the
case of Ethiopia. In fact, in almost all urban centers of Ethiopia, the production and
delivery of nearly all public services are conducted in archaic and extremely inefficient
manner. Nearly all local authorities are housed in inconvenient office buildings and are
extremely lacking as regards office supplies and modern equipments and tools. They are
also woefully poor when it comes to the possession of qualified human resources and
customer-oriented workers.

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1.2. Integrated Urban Infrastructure and Service Planning in the Context of

Ethiopian Urban Planning System.

Fig.1. A Framework of the Trend in Ethiopian Urban Planning System

Long Term Integrated

Regional Development Plan

Level 1 Long Term Integrated Urban Development Plan

Long Term (IDP)

Urban Structure Plan

Level 2

UTTMP LDP LEDS SDS

IUISP (Urban Transport (Local Development (Local Economic (Social
(Integrated Urban and Traffic Plan) Development Development
Level 3 Infrastructure Management Strategy) Strategy)
and Service Plan) Plan)

5 years Municipal IDP

Level 4

5 years 5 years 5 years 5 years 5 years 5 years

UTTMP LDP UURP LEDS SDS
IUISP

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In the Ethiopian urban planning system, IUISP may be conceived at two major levels.
First it may be conceived as part or an outcome of a city-wide holistic urban structure
plan/master plan/development plan. At this level, IUISP is a long term plan having a
similar time and spatial horizon as the structure plan. Here, IUISP can also be conceived
as plan which concerns only a part of an urban center and is as such, limited to a
locality, eg. an LDP area or an UURP area.

Second, IUISP could also be conceived as a short term/ medium term municipal plan
that is extracted from the long term IUISP plan. It is based on this level of planning that
projects are designed and implemented.

1.3 Purpose of the Manual

The manual provides a general road map of procedures and technical specifications that
can assist urban infrastructure and services planners and implementers in their efforts to
plan and provide effective and efficient infrastructure.

The manual is envisaged to serve as a reference material primarily to urban

infrastructure authorities and municipal planning units/departments involved in the
planning and provision of urban infrastructure facilities. It also provides general technical
information to urban authorities, planners, technicians, the private sector, investors and
the community at large.

1.4 Methodology and Approaches Adopted

A rapid assessment technique has been used as a methodological approach to prepare
the manual for IUISP. Accordingly, both primary and secondary data have been
gathered to undertake the study as shown below:
• The secondary data sources were mainly published and unpublished planning
books, laws, regulations, policies, research reports, etc. The materials have been
acquired from various sources, of which Internet was the main source, especially
as regards country experiences.
• Primary data has been gathered from the four main regional states of the country
namely, Oromiya, Amhara, SNNPRS, and Tigray. This was achieved mainly by
interviewing key personnel of the relevant government offices of the regional
states and by, requesting them to fill out questionnaires and to participate in

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focus group discussions. On top of this, a series of brainstorming sessions and

in-house presentations were also arranged among multi-disciplinary urban
professionals of MATHEWOS consult and FUPI to enrich the study.

1.5 Content of the Manual

The document is divided into three major parts: Part one covers the study background,
which elaborates briefly among others, the international and local experiences, the
conceptual framework, and provisions and tools for IUISP. Part two presents the main
section of the main manual and is as such, structured into eight major phases. Each
phase again is broken into tasks, activities and actions to make it easily understood by
the end users. The third part contains the formats and standards used in the IUISP
planning and implementation.

1.6 How to Use the manual

This manual is meant to provide a guiding roadmap principally for those involved in the
preparation and implementation of IUISP. Thus users are expected to pay attention to
all the steps indicated in the manual. However, recommended steps and actions may not
be strictly applied for all urban centers. Depending on the specific realities of the regions,
or the urban centers, some of the prescriptions may be bypassed, adjusted or
supplemented by other appropriate steps. Regional Urban Planning Offices are thus
advised to critically review their local policies and contexts to adapt the manual to their
specific situations. To effectively utilize the manual it is vital to enhance municipal
capacities through a system of sustained support and training.

In order to ensure the ownership and application of the manual at the very local levels, it
may be necessary to present a very concise and simplified version of this manual in local
languages (at least in Amharic, Oromifa and Tigrigna).

1.7 Definitions of Terms

Transport can be defined as any means used to move people and / or products.

The transportation system includes roads (under different levels of jurisdiction), transit
services, rail services, bicycles lanes, foot paths, trails waterways and ports, air travel
and airports, pedestrian accommodations, terminals and storage facilities

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Road means any public thoroughfare whose primary purpose is the conveyance of
vehicular and non vehicular traffic.

Water supply: includes the source of water, treatment plant, reservoir and tankers, the
main trunk lines, distribution lines and individual connection lines that are laid for the
delivery of potable water.

Storm and surface drainage lines are a system of lines (usually laid along roads) used
for the collection and removal and protection from storm/flood and surface run off water
through conduits closed and open ditches and other engineering structures (dykes,
retaining walls…)

Sanitary sewer network includes a system of underground lines for the collection and
removal of liquid wastes from different urban functions (residential, commercial and
industrial) and treatment plants.

Electric network includes a system of lines of wires/cables (low, medium and high
tension lines), transformers, sub stations, electric generation stations (hydro power,
thermal power…) for the supply of electric power to different urban functions.

Telephone lines are a system of lines of wires/cables laid to carry telephone messages.

Cooperation: denotes the willingness to work together in order to meet common

objectives, which is achieved through the good will of stakeholders in the development of
infrastructure and services without any guiding procedures, rules and regulations.

Coordination: is to harmonize a common action or to create a harmonious interaction

among the stakeholders that are involved in infrastructure and services development. It
is achieved based on the adoption of certain procedures and guidelines.

Integration: means brining together into one. It requires both cooperation and
coordination in order to work, It also calls for the existence of a single formalized
decision making system and the procedures that facilitate the existence of such a

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system. Integration potentially allows for more effective and efficient use of resources l in
order to achieve a given set of objectives. Integration may take three forms, which are:
• Integration within an infrastructure sector/entity (intra-sectoral integration): for
example integration within road sector between Road Authority (arterial and sub
arterial road) and local government and community initiatives (local and collector
road)
• Integration between infrastructure entities (inter-sectoral integration); integration
between different sectors/infrastructure entities.
• Integration of infrastructure with other urban development sectors housing,
business, industrial areas etc (which is also inter-sectoral integration). Integrated
infrastructure planning is a tool for implementing housing, business and industrial
development.

Participation: is the process through which stakeholders' influence and share decision-
making in the investment programs of Integrated Infrastructure and Service Development
planning.

Infrastructure: is defined to denote the hard component that comprises all systems of
urban physical structure that are mainly laid under the ground (e.g. water mains) and on
the ground (e.g. roads) or above the ground (e.g. telephone and electric lines) to provide
public services. Infrastructure in the context of this manual includes roads and drainage,
utility lines (water supply, electricity, telephone,) and facilities such as public transport
terminals, garages…etc

Services are facilities such as surface of air transport terminals, parking lots,
interchanges, connections, etc. that are directly related to infrastructure.

Level of infrastructure indicate the hierarchy of infrastructure which is delivered or

managed at a specific level:- macro level and micro/local level.

Macro level infrastructures are those that cross territorial boundaries of federal,
regional entities or cities. They are managed by macro institutions like the Ethiopian
Telecommunications Corporation, the Ethiopian Electric Power Corporation, the
Ethiopian Roads Authority and the Ethio-Djibouti Rail Way Company.

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Micro/Local level infrastructures are those that can be supplied and managed within
the local area by local actors like municipalities, local government sectors, communities,
CBOs and NGOs.

Integrated Infrastructure denotes a state of affairs whereby different infrastructure

interventions are planned and implemented in a balanced manner relative to one another
and to the urban functions they are supposed to serve.

Multi-Sectoral Investment Planning (MSIP) is internationally developed

method/approach for setting investment priorities across sectors to improve the
management of local capital investment decision-making.

Integrated Development Plan (IDP): is a strategic planning instrument, which guides

and leads all planning works of a municipality.

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2. REVIEW OF PRACTICES
2.1 International Practices
Integrated urban infrastructure and services planning (IUISP) is a planning approach to
urban infrastructure development which has been widely practiced in many countries
Notably experiences of Asian countries (namely Indonesia, India and Philippines)
provide a wide range of lessons and perspectives. Apart from the experiences of Asian
countries, the case of South Africa is also found worth considering because it has
helpful perspectives. The important lessons taken from the experiences of these
countries are briefly outlined here below.

Indonesia: The Integrated Urban Infrastructure and Services Development Plan

(IUIDP) of Indonesia is a good example of improved infrastructure planning and
coordination. Prior to the IUIDP practice, there was little coordination and tremendous
backlog of unmet needs of infrastructure. Since the late 1980s the towns and cities of
Indonesia have been planning and implementing IUIDP. The IUIDP had institutional,
revenue and physical improvement components. The IUIDP was initiated by the Ministry
of Public Works of Indonesia in collaboration with the World Bank and was also
supported by Asian Development Bank.

The IUIDP was first experimented at local project level and later extended to city level
projects. Then based on the experiences gained, it was developed to a national scale
program and policy. This was achieved incrementally and refined over time.. This
process led to a major conceptual change and shift in the planning and programming of
urban infrastructure from a sectoral and centralized project approach towards a bottom
up and integrated program approach.

Different problems and challenges were faced in the process of IUIDP development
especially during the first experimental periods. Particularly, there were substantial
delays due to policy differences and technical problems between donors, central and
provincial governments. Shortage of qualified project managers and inconsistencies
between guidelines were also among the challenges that were faced. Though Indonesia
has achieved a substantial improvement of urban infrastructure through this program, the
impacts registered in making the organizations responsible for providing, maintaining
and sustaining the achievements were limited.

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India: Integrated Development for Small and Medium Towns (IDSMT) of India is a
program that aimed at promoting the development of smaller towns through the funding
of strategic projects with the specific objectives of reducing the high rates of migration to
the big cities and bringing about a balanced urban growth. The program consisted of
land development for shelter (such as sites and services, major transport, road and
traffic improvement and commercial and industrial development) and slum improvement.
The program was launched during the 1980s and carried on up to 1998.

Through this program a considerable amount of infrastructure has been built, but the
level of investment was very weak and not focused on making a major impact. The
decision-making process was too centralized and the local government’s role was often
too weak to make good strategic decision-making. This was partly due to the inadequacy
of technically qualified and trained personnel. Lack of a sustainable institutional
mechanism to ensure proper inter-agency coordination was also one of the key
problems.

The program could not help to divert migration away from the metropolitan centers and
thus could not stimulate growth in smaller and medium towns. Government policies ran
counter to the program. Industrial liberalization caused faster growth of the metropolises
thereby constraining small towns development. The structural readjustment program also
aggravated poverty in small cities.

Philippines: in the Philippines, Metro Manila had a Capital Investment Folio process,
which is one of the examples of Multi-Sectoral Investment Planning (MSIP). It was
primarily an exercise for coordinating the major parastatal providers under the aegis of a
politically powerful inter-agency forum, with local governments in a subordinate role.
Formerly there was a recognized metropolitan planning jurisdiction with capital-allocating
power. But the capital allocating power of this metropolitan planning jurisdiction could not
be sustained after the change of the political leadership.

Later, a Local Government Infrastructure Fund program (LGIF) was launched to devolve
greater power to the local governments. A matching fund concept was applied to pool
funds from private capital, banks and municipal bonds. Through these programs

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successful municipal bonds were floated to finance a low cost housing project and to
secure a bank loan for multi purpose sport centers. To qualify for LGIF grant application,
integration of vital services and utilities became a pre-requisite.

South Africa: From the mid 1990s, South Africa adopted a Municipal
Infrastructure Program (MIP) with the aim of improving the quality of life of the poorest
sections of South African communities through ensuring access to basic services. It is a
multi faceted development program containing different packages such as water supply,
sewage, road, storm water drainage, transport facilities, toilet and sport facilities.

The Department of Constitutional Development (DCD) has been responsible for the
integration of MIP projects into broader multifaceted development programs. Local
governments in South Africa have been restructured to focus on the provision of basic
infrastructure. The capacities of the local government were also strengthened to meet
these goals.

In general the program has met its mission to deliver infrastructure to remote locations
most in need of assistance to marginalized urban communities. It has achieved its
mission through the coordination of municipal infrastructure program by leveraging MIP
fund and mobilizing local resources.
The collaborative process for acquiring MIP funds is as follows:
• The community submits a project proposal to its municipal authorities for
approval, assistance and support
• The municipal government prepares a business plan for the project and submits it
to the provincial cabinet for approval and mobilization of grant funds
• The provincial government receives the grant funds from the national government
and manages the funds in accordance with the approved business plans

Lessons Learnt
In summary, the following could be learnt from the above mentioned international
experiences of urban infrastructure development:
• That underestimation of the tensions and resistances that arise between
stakeholders and the institutional conflicts that emanate from such tensions is

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one of the major shortcomings in the practice of integration of development plans

and programs. This shows that existing capacities for managing integration
should be carefully assessed. In other words, this means that the benefits of
integrating under the existing specific conditions have to be clear for all
stakeholders.
• That decision has to be participatory and decentralized to enable local
governments; and that integration of resources for urban development is better
managed at the local level where local government units are the leading actors
for the overall coordination of resources.
• That integration has drawbacks if it is misguided. It might cause adverse effect in
such a way that it might cause resistance and opposition from different sectors
leading to inefficient performances and discouraging them from cooperation in
future actions.
• That it is essential to launch projects in order to test and refine strategies before
applying them at wider scale. Such a paractice helps to gauge and refine the
strategies by lessening the negative consequences that might occur at the first
stage thereby helping to make the projects more manageable.
• That a consolidated fund/grant system is vital for effective integration of programs
through a national urban development framework guided by a policy for their to
implementation at the regional and local level.
• That application of Infrastructure led development through public investment
could be a much more effective tool for guiding urban development in comparison
to the traditional approach of solely controlling land use developments. In fact,
this strategy is important for strengthening the integration of infrastructure
development with land use development. It is a strategy that has enabled cities to
guide their developments to the desirable levels by supporting the involvement of
the private sector in the development of urban infrastructure.

2.2 Local Practice of IUISP preparation

Though, there were some efforts of urban infrastructure and services planning in
Ethiopia, they were however, not systematically developed. Evidently, almost all
infrastructure and service institutions (water, transport and drainage, electricity and
telecommunications) always tried to integrate their plans with the existing and proposed

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road networks. Nevertheless, due to lack of consistent follow-up, the initiatives could not
be as successful as expected.
Due to uncoordinated planning and design and weak institutional arrangements redoing
faulty designs and rebuilding utility lines have wasted a significant amount of resources.
Frequent cutting of city streets by various utility companies has severely affected the
environmental quality and the efficiency of the urban transport system.

In Addis Ababa, when utility companies (ETC, AAWSA, and EEPCO) needed to install
new lines or to improve the existing ones underneath the roads, they used to apply to the
Addis Ababa City Road Authority (AACRA) for permit to cut paved roads. Very often
permits were not granted promptly. Besides, the permits given were not based on
adequate information and database. The concerns of the utility company that secured
such a permit were limited only to laying its own utility lines. As a result such
developments often took place at the expnse of the other utlity lines that were already in
place. In fact this has resulted in the cutting and destruction of other infrastructure lines
that were otherwise functioning in good condtions. It has also resuled in delaying in the
implementation of projects thereby adversely affecting overall city infrastructure and
services provision.

After a long period of neglect, it was only some 10 years back that an ad-hoc committee
(composed of representatives from AACRA, AAWSA, ETC, EPCO, BWUD) responsible
for integrating infrastructure development planning was formally established by the Addis
Ababa City Government. The committee was found to be ineffective mainly due to lack of
a legal enforcement mechanism and the absence of a strong coordinating institution.
What is more, the committee consisted of busy officials. Thus representatives of various
institutions usually failed to attend the committee meetings in times when the committee
was not deliberating on issues that were not of vital interest to them. The only success of
the committee was its effort of coordinating some of the launched projects of the city
Administration.

The Office for the Revision of the Addis Ababa Master Plan attempted to prepare
integrated infrastructure database in 2000. The office produced an existing
infrastructure network database, which includes telecommunication, electricity, drainage,
water and road lines on a single integrated map. The revised master plan has also

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proposed the establishment of an Infrastructure Authority for effective coordination and

integration of infrastructure institutions working in the city.

Following, the City Administration’s reform in 2003, the Addis Ababa Infrastructure and
Construction Authority was established. The Authority was empowered to undertake
coordination of infrastructure institutions and to supervise their projects.

Under the coordination of the Infrastructure and Construction Authority, two committees
have been formed by representatives of infrastructure institutions. The main committee
was formed by the managers of the respective infrastructure institutions and under the
main committee a technical committee was established. The committee members are
drawn from:
1 Addis Ababa Infrastructure and Construction Authority (AAICA)
2 Addis Ababa City Roads Authority (AACRA)
3 Addis Ababa Water and Sewerage Authority (AAWSA)
4 Ethiopian Electric Power Corporation (EEPCo)
5 Ethiopian Telecommunications Corporation (ETC)
6 Land Administration and Development Authority (LADA)
7 Addis Ababa City Transport Authority (AACTA)
8 Neighborhood Development Agency (NDA)
9 Infrastructure and Housing Affairs Offices (IHA)

In order to undertake its activities efficiently the Infrastructure and Construction Authority
has also organized offices at city and sub-city levels.

To implement integrated urban Infrastructure each stakeholder follows certain process

and procedures. These are:
• It is mandatory to get permit from AAICA (Format No 6) before any
infrastructure construction is undertaken.
• The applicant has to get adequate data from all Infrastructures institutions to
safeguard the existing underground lines.
• AAICA will check whether the applicant fulfilled all the required information
and official data from other utility institution and the Addis Ababa City Roads
Authority.

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The consequent permit process is to synthesize and evaluate the relevant data on all
infrastructure institutions and check the location in the light of the road network plan.

For efficient integration all infrastructure institutions are urged to submit their three years
plans to AAICA. Then AAICA prepares a Three-years coordinated Infrastructure plan.

The Infrastructure Coordination Department and the Coordination Team within AAICA
are responsible to execute the day to day jobs. They evaluate the proposals, check the
data for conformity with the master plan, and integrate day-to-day infrastructure
construction applications.

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Fig 2. Integrated Infrastructure planning process in Addis Ababa

AAICA Requests for There-years sectoral

Infrastructure plan

Infrastructure and utility companies (AACRA, AAWSA, ETC,

EEPCO, AATA, NDA, LADA, AAHA) prepare and submit their three
years plans

All Data Put on Base map and in Tabulation Forms by AAICA

Identify and separate projects that Identify and separate projects that correspond
deviate from AACRA plans the AACRA plans.

Check timing matches between the sector

plans/projects

Conduct consultative meetings with each sector

institution

Prepare recommendations to fill the mismatches

Distribute the recommended Integrated

Infrastructure Plan

Conduct a round table discussion in the

presence of all stakeholders and reach
Agreement

Prepare final Integrated Infrastructure plan

Disburse the 3-Years Integrated Infrastructure

plan to stakeholders

Institutions request budget for annual projects

Budget is approved by council

Institutions submit construction permit Request

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Fig 3. Integrated Infrastructure Construction Permit Process

Infrastructure Institution Submits Permit Requests

AAICA analyses the request and conducts

Consultations with the other institutions

Concerned stakeholder institutions give & confirm

information

Construction permitted or rejected

The experience of integrated infrastructure planning in other Ethiopian Urban centers is

mainly limited to the project implementation phase where an infrastructure project
planning and design are completed apriori and support and cooperation of the other
institutions are sought as a matter of convenience, not as a mandatory practice. Such
projects are sometimes successful in terms of integration, but only when there is an
involvement of a powerful institution.

The lack of integration of urban infrastructure and services planning in Ethiopia could be
said to have its basis in three major areas: lack of technical know how, poor
institutional arrangements and weak legal frameworks.

Recognizing these gaps, the Ministry of Works and Urban Development has launched a
5-years (2005/6-009/10) Urban Development and Construction Industry Component of
PASDEP. The plan emphasizes that there will be a huge investment in infrastructure and
services. It further elaborates that the urban infrastructure program will be strongly linked
to the Integrated Housing Program and that it will contribute to creating jobs and
improved access to land.

Lessons Learnt
The situations of Ethiopian urban centers indicate that their infrastructure, which is far
from adequate in both in quality and quantity is deteriorating at a rapid pace. Low
funding, high rate of population growth, poor quality control, inadequate inspection and

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maintenance, and lack of consistency and uniformity in design, construction, and

operation practices, have severely hampered urban infrastructure development in the
country. This situation calls for the following:
• The planning and design should be used as a tool and an aid to tackle the
difficulties so far encountered,
• The use of a GIS based flow of information.
• A strong legal framework.
• The adoption of new technologies such as trench-less excavations that
minimize damages due to street cuts.
• Optimal resources allocation at the planning and implementation stages through
financial integration, institutional coordination and collaborations.
o Financial integration – Preparation of a financially integrated program based
on certain locality (city, sub-city and/or kebele level)
o Institutional
Coordination to follow the set standards, protect existing lines, laying
together different providers lines and/or placing ducts for future
provisions to minimize digging of the paved access and cost of
relocations/reconstructions
Collaboration to exchange experiences; borrow skilled manpower and
heavy-duty machineries, and to develop a jointly working behavior.

In terms of the Institutional setups Addis Ababa’s experience of establishing AAICA may
be a good case worth considering. Regional authorities may also consider such
institutional arrangements by establishing agencies or departments, units or desks within
the existing planning institutions. The set of options may be evaluated against the
specific local contexts.
In line with the PASDEP urban component, 18 cities are expected to develop the 5-years
Municipal Infrastructure Investment Plans. The 10 cities and other large towns (as
categorized in the manuals) have thus the chance to exploit this opportunity.

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3. CONCEPTION, GENERAL PROVISIONS AND

CONSIDERATIONS

3.1 Key Principles

Participatory approach: Integrated planning of infrastructure and services requires a
foundation of shared interests, visions and common objectives of stakeholders in a
structured and directed manner. Such a foundation should be built through the active
participation of all stakeholders that have significant roles in investment decisions of the
selected infrastructure and services. This approach helps to reorient the activities
towards a common line that helps to maximize overall benefit.

Decentralized decision making process: Integrated urban infrastructure and service

development plan requires decentralization and empowerment of local governments as
key actors in investment decision of infrastructure and service development. Local
governments have greater role in the operation, maintenance and sustainability of the
development. Overall, decentralization makes it possible to effectively meet the needs of
local areas.

Setting clear and common objectives for common benefits: For applying integrated
infrastructure and services development planning, all concerned parties should have
clear and common objectives. The process of integration must be transparent and less
sophisticated. Benefits that a successful integration brings up must be clear to all. IUISP
should be able to bring new and additional benefits to all and in doing so help to
enhance the initiative towards the plan and ensure the commitment of sectoral offices.

Precautions should be made prior to initializing IUISP: Inappropriate attempts might

cause adverse effect. Integration has drawbacks if it is misguided. It might cause
resistance and opposition from different sectors due to fear of losing power. Therefore,
Integration should not be regarded as an end by itself but as a means to achieve clearly
set objectives.

Developing cooperation and coordination: A cooperation and coordination level in

infrastructure and service delivery is a stepping-stone for the highest level of integration
to work. The foundation for full level of integration should be laid through cooperation
and coordination.

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Integration should link the institutional, regulatory, spatial, environmental, and

financial/economical elements across sectors. All elements should be inter-linked
while preparing integrated infrastructure and service planning. This inter-linkage could be
applied though different combinations of elements with different levels of integration
based on the specific conditions.

Follow incremental proceeding in order to be pragmatic to specific local conditions and

to build on existing capacities. Start with the minimum level of integration
(cooperation/collaboration and focusing on limited sectors). This should be tested
through projects and levels of integration could be increased based on the output of the
projects, gained experiences and local capacity.

IUISP should also be linked with key development frames of Structure plan and IDP of
municipalities. IUISP requires linking and coordination of the programs at federal level
with the local priorities.

3.2 Concepts
IUISP needs to be located in broader urban planning frameworks of the IDP and the
structure plan. They are city level frameworks, which are bases for guiding IUISP. The
timing and schedule of the planning and implementation of IUISP should coincide with
the structure plan (10 years) and the IDP (5 years) of municipalities/city governments.

IDP includes other sectors apart from infrastructure; like environmental development
programs, housing, social services, social and economic development programs. Thus
IDP is much more comprehensive than IUISP. The IDP helps to articulate and link the
infrastructure investment with other urban development programs, and ensures
integration and coordination on a larger scale.

The structure plan helps to identify and prioritize the geographic location and serves as a
guideline for the alignment of the major infrastructure and other land uses.

The legal procedures, the mandates, the duties and responsibilities of specific sector
offices at federal, city or local level are influential factors affecting the IUISP and thus
should be well addressed and taken into account while preparing IUISP. This helps to
analyze the institutional element of integration, which is vital for assessing the potential
conflicts and challenges and to devise appropriate measures.

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As illustrated in Figure 3, cooperation is the lowest level which only requires motivation,
trust and goodwill. It is the simplest form which serves as a foundation for the other
levels. It creates joint/multi sectoral working culture and understanding among different
sectors. Coordination is the second level which requires certain guidelines, mechanisms
and procedures. Formal procedures are established and applied at this level to regularly
consult and discuss issues among concerned sectors.

Integration is the highest level which brings the planning, financing, implementation and
management of different sectors into a formalized decision making system and
procedures. Since this is the most challenging level, the other lower levels should work
smoothly, effectively and efficiently prior to application of full integration.

The forms and elements of sectors to be dealt with include financial, institutional
regulatory and spatial elements. Institutional element is about the relationship between
concerned institutions, their roles and ability of working together. Institutions refer not
not only to governmental sectors but also to the NGOs, private firms and CBOs involved
in the delivery of infrastructure. This requires not only conducting consultation and
stakeholder forum but also institutionalizing the participatory approach through the
formation of steering committees and working groups for the continuation of the process.

Spatial element deals with the linkage of infrastructure programs, linkages with other
development programs, land uses (i.e. housing, industrial development etc) and overall
physical conditions in a specific geographical area.

Financial element deals with the budgets, revenue and management of financial
resources for infrastructure development.

All these stated measures require political will, societal support and legal backing for
practical implementation and realization of the plans and programs.

The final output of IUISP has three major components for integrating the above-
mentioned elements, which are Physical, and Environmental Development, Revenue
Improvement and Institutional Development. The physical and environmental
development component deals with the technical and spatial elements of sectors,
selected physical infrastructure prepared with spatial plan including determined

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infrastructure needs, identified projects, financial and technical feasibility and detailed
designs. Revenue Improvement component deals with finance, tariff setting, resource
mobilization from user charge and contribution, sharing of resources etc. Institutional
Development component deals with the required organizational capacity which includes
organizational structure, staffing, training, inter institutional working relationships, roles
and responsibilities. The entire final out come is to achieve added value and extra
benefits

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Fig 4. Conceptual Framework for Integrated Infrastructure and Service Planning (IUISP)

City Level Frameworks

IDP
Structure plan

IUISP
LDPs

Physical/Environmental,
Revenue, institutional
Options for levels

components,
Common objective
& clear benefits

IUISP
Integration Financial
Proactive
Spatial
Coordination Legal
Implementation &
management
Cooperation Institutional system
Selected Infrastructure sectors

Sector plans, projects Monitoring

and Institutional & & Evaluation
legal frameworks

Outcome
2+2>4
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3.3 General Provisions and Considerations

Internationally developed provisions and strategies for integrated approach
(UNCHS/World Bank/UNDP guidelines): One internationally developed tool for IUISP
is the Multi-Sectoral Investment Planning (MSIP). MSIP serves as a general guideline for
IUISP. Based on this guideline many countries have undertaken integrated infrastructure
development plans.

Multi-Sectoral Investment Planning (MSIP)

UNCHS/World Bank/UNDP have developed the technique of Multi-Sectoral Investment
Planning (MSIP) showing capital plan, investment across sectors, how the investment will be
financed and the repercussion of investments on the operating and maintenance budget of the
sectors. MSIP is built around the following themes:
• Investment planning should be demand driven.
• All public agencies with a significant role in investment decisions should be part of the
process
• Every step of the process should be simplified as much as possible
• MSIP should not rely on a central planning group alone; decision-making can be
decentralized to markets, line agencies and community level groups.
The steps of implementing MSIP are
• Establishing an inter agency steering group and coordinating agency to be
responsible for investment prioritizing
• Decide on the mechanisms to be used for measuring user demand and incorporating
this information within the priority-setting process.
• Identify the capital improvement priorities of the community
• Obtain information on investment activities in progress
• Prepare lists of prioritized projects by agency or individual sector
• Decide on cross-sectoral project priorities
• Plan for the revenue side of the budget

Source: Davidson, Forbes, (2004), “Settlement Planning and Management”, in Urban Development Planning (Part 1),
Masters Programme on Urban Management ESCS 2 reader

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The Urban Management Program (UMP) of UNCHS and the World Bank use the term Multi
Sector Investment Planning to refer to a form of strategic planning characterized by:
• Policy framework
• Focus on multi-sectoral strategies and programs
• Close tie with budgeting-revenue planning, Capital expenditure and operations and
maintenance costs.
• Participation of and ownership by key actors
• Prioritization to allow strategic choices
• Can be developed incrementally with development of staff capacity
• Medium to long-term horizon main focus typically 5 years with 10-20 year horizon

Source: Davidson Forbes, (1996), "Planning for Performance; Requirement for sustainable development", Habitat
International, vol.20 no3, pp.445-462

Another internationally developed tool/instrument for promoting integrated provision of

infrastructure is LA21 (Local Agenda 21). LA21 is developed at the UN Conference on
Environment and Development (UNCED) that specifically concerns on local actions.
LA21 implies a shift from isolated sectoral infrastructure planning approach towards a
more integrated infrastructure and service planning focus.

In relation to this the UNCHS (Habitat) has launched Settlement Infrastructure and
Environment Program to help countries achieve infrastructure related goals of LA21. The
program addresses capacity building in integrated provision of infrastructure through:
• disseminating knowledge on the basis of research results and best practices,
• implementing demonstration projects;
• building capacity of key local institutions, and
• Linking public research institutions, NGOs and private sectors by computerized
databases.

Here below are some of the general considerations corresponding the major planning
issues to be adopted in the preparation of IUISP:

It is important to establish federal and regional support system and mechanisms for
IUISP preparation and implementation. Establishing regional urban infrastructure

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development fund is an option essential for stimulating and supporting IUISP preparation
and implementation. In line with the federal urban development policy, the focus of
urban infrastructure is as a package for the development of MSE, industrial village and
low cost housing. Moreover,
• Provide utility longitudinal freeway within and out of the right of way (along the
road, river and hill side).
• Make sure connection utilities shall not be planned to install longitudinally within
the median area.
• Make sure that utilities accommodations such as overhangs of power cables
and light poles towards the carriageway shall not adversely affect highway and
traffic safety
• Give special attentions at the bridge crossing to have enough room for utility
lines
• Use environmentally friendly methods of construction of roads, connections of
water, electricity, telephone, etc. (like trench less excavations)

3.4 Classification of Urban Centers

The situation and type of problems in cities and towns differs due to various reasons.
(The problem in one urban area needs its own specific solution). For this reason looking
into urban levels seems appropriate and important so as to have a better picture of the
problem at different urban levels and to design relevant strategies and standards. In light
of this, the manual adopts the classification of Ethiopian urban centers under five levels -
previously developed by MATHEWOS Consult.
- Small Towns - with 2,001 - 20,000 population
- Medium Towns - with 20,001 - 50,000 population
- Large Towns - with 50,001- 100,000 population
- Cities - with 100,001 -1,000,000 population
- Metropolitans - with more than 1,000,000 population

When we see the dominant built infrastructure state of urban areas by each level we can
observe the following characteristics.
Small towns are characterized by:
• No Asphalt road (unless it is located along asphalted highway),

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• No or little unpaved collector and access roads,

• Little drainage facilities,
• No electric power or generator electric power source,
• No or outdated telephone service.
Medium and Large Towns are characterized by:
• Asphalted main road, which is part of the high way network,
• Paved and dusty collector and access roads;
• Drainage facilities provided for most collector roads.
• Mostly provided with hydro electric power and
• Telephone services,
Cities and Metropolitans are characterized by:
• Apart from the main road, most of the collector and some access roads are
asphalted,
• Drainage is better served,
• Power is better served,
• Telephone is at the highest technology level the ETC provides.

In the preparation of the manual due consideration will be given to the apparent situation
of Ethiopian urban centers classified under these four categories,

3.5 The need for data collection

Collection and analysis of relevant data provide the factual basis of IUISP that enables
decision-makers make informed decisions/choices in due course of the subsequent
planning processes.

Data sources: Depending on scope of the IUISP, both primary and secondary sources
can be considered as important sources of information. Primary information are to be
collected directly from relevant agencies (Roads Authorities, EEPCO,
Telecommunications, Water Supply Authorities, etc) both in quantitative and qualitative
terms by employing different methodologies.

Data Types/components
• Institutional profile of infrastructure agencies operating in the city/town

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• Information regarding experiences, constraints and prospects of

coordination/collaboration among infrastructure agencies
• Spatial distribution of major settlements and activities
• Physical and Spatial information
• Information referring ongoing and planned infrastructure development
programs/projects
• Status of existing Urban Infrastructure networks
o Water and sewerage,
o Power and electricity
o Telecommunication networks,
o Road and drainage

Tools and methods of data collection and analysis

Mix of different methodologies should be applied for data collection from primary
sources, including:

• Sending questionnaires and physical data collection formats

• Undertaking interviews
• Organizing stakeholder forums,
• Door to door data collection
• Field survey for spatial/ physical and numerical data

Apart from data obtained from primary sources, information in Structure Plan of the
city/town, long term development programs of infrastructure agencies, previous studies
and sectoral reports have to be reviewed and relevant information should be taken.

Here it seems important to note that quantitative information can be rare for every issue;
as a result data analysis may not always result in empirical conclusion. For this very
reason, extensive consultation and dialogue with relevant stakeholders on outcome of
data analysis is very much required.
Different methods of situation appraisal can be employed for data analysis including,
• Brain storming
• SWOT analysis

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Map aided data analysis

In general, the following tools can be used to analyze data on infrastructure networks
• Statistical information
• Topographic maps
• Thematic maps
• GIS

NB. For data collection formats refer to the Annexes

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PART II

THE
PROCEDURE
MANUAL

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Introduction

The previous part of this manual gives the background, concepts, principles, and
considerations within which to apply the manual. This second part of the manual gives a
road map that guides users through eight phases of planning, each phase broken down
into major tasks and the tasks into detailed activities and actions. Each task is followed
by ‘Tips’ to expose approaches and examples how to do the task.
The eight planning phases are:
• Preparatory Phase
• Data Collection and Analysis Phase
• Strategies Phase
• Proposals Phase
• Integration Phase
• Appraisal and Approval Phase
• Implementation Phase
• Monitoring and Evaluation Phase

At the end of each phase expected deliverables and key checkup questions have been
included. This will enable the involved planners to monitor and evaluate each planning
phase and check whether that particular phase has met its objectives before proceeding
to the next phase.

Here it is important to note that the width and breadth of the planning works depend on
the urban systems complexity in a particular city/town. Bearing this in mind, the following
phases are aimed to provide a general applicable sequence for the process of preparing
integrated urban infrastructure and services plan (IUISP).

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PHASE 1. PREPARATORY WORKS

The purpose and objective of identifying the major works that need to precede the main
IUISP process is to make decision-makers and relevant actors aware of the minimum
preparations expected from them as early as possible.

The major tasks to be undertaken here are: to build consensus among key stakeholders,
to prepare the TOR and get approved, to prepare the required logistics and to prepare
an action plan.

TASK 1. INNIATE PLANNING AND BUILD CONSENSUS

AMONG THE KEY INFRASTRUCTURE PLANNING AND
IMPLEMENTATION STAKEHOLDERS.
The purpose of this task is to lay down a strong foundation for conviction and
ownership of relevant stakeholders in subsequent phases of the IUISP. To this end,
the following activity and actions need to be undertaken.

Activity 1: Conduct a preliminary rapid assessment

State the major conditions of infrastructure in the town (type, condition,
availability)
Identify the major gaps observed
State the critical problems of infrastructure
Assess the availability of citywide urban development plans
Assess the general situation of existing institutional, human resources, and
legal framework
Review other plans, studies and ongoing projects that have direct impact on
IUISP (Examples are regional policies and strategies, regional infrastructure,
urban transport, structure plan, etc)
Identify major connections with regional infrastructure (urban-urban and
urban rural)
Identify the poverty level and the impact of HIV/AIDS
Identify the core issues of the 5 years PASDEP for urban development
Highlight the relevance of infrastructure services to the attainment of Low-
cost Housing and MSEs Programs.
Identify the core issues of the Ethiopian urban sector MDGs
State a preliminary objective/intension of the proposed plan.

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Activity 2: Initiate Integrated infrastructure planning

Submit the request /proposal to the planning unit or the integrating department.
Consider the initial proposal/ request submitted
Conduct preliminary discussion on the proposal
State a preliminary vision and objectives of the proposed plan
Activity 3: Identify key stakeholders and conduct stakeholder analysis
(using Format No 1).
Conduct brainstorming sessions to identify the key stakeholders
Identify the roles of the stakeholders
Propose the level of participation of each stakeholder
Activity 4: Form Steering Committee, Technical Committee and a
Representative Forum
Propose SC, TC and RF members
Announce the formation of the SC, TC and RF through an official letter
Call the SC, TC and RF members to a common meeting.
Activity 5: Build shared consensus on the need for integrated planning
Introduce and share the agenda with SC, TC and RF.
Discuss on the preliminary stakeholder analysis results.
Refine the stakeholder analysis format with the outcomes of the discussion.
Discuss on the draft vision and objectives.
Define key areas of integration.
Define the respective roles of relevant actors in the planning process.
Arrive at consensus on the relevance of the proposal, the vision, the objectives
and the need for integration.
Sign memorandum of understanding.

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Tips to the Task

The first initiative can be taken by one of the utility companies, Urban Planning
Department/ Institute or in the absence of a planning department any department
responsible for infrastructure services within the municipality.
• The department shares the key agendas with brief problem statement and
list of potential stakeholders to the mayor/respective official.
• The meeting will be organized by the department
• The meeting should be opened and attended by the mayor/appropriate
officials to show commitment of the municipal government.
• The department is to report outcome and summary of the discussions.
• Make sure that a strong commitment exists among relevant actors to play
their respective roles in the planning process.
• Potential SC members are heads of the utility companies chaired by the
planning unit.
• Potential TC members are technicians represented by the utility companies to
execute detail technical activities and to advice the SC.
• Potential RF members are representatives from developers (eg. Chamber of
Commerce) NGOs and CBOs (mainly engaged with infrastructure related
activities), professional and civic associations.

In identifying stakeholders and ensuring their participation a clear demarcation should

be made between a citywide and local level planning. For a citywide planning
exercise, those stakeholders with citywide concerns should participate (for example
in the planning of a ring road project); and for local level planning exercise those
stakeholders with only local concerns should participate (for example in paving local
road in a neighborhood)

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TASK 2. PREPARE AND GET APPROVAL OF TOR OF THE

PROJECT
Once a general consensus is reached among the key actors regarding the need for and
purpose of IUISP, the next issue would be how to go about it. Hence, the purpose of this
task is to provide a road map of the whole IUISP process. To provide the required road
map, the following activities and actions should be accomplished.
Activity 1: Prepare TOR of the project
Establish a team of experts to prepare the TOR
Make a thorough analysis and assessment of the documents and other outputs of
Task 1
Prepare the TOR
Activity 2: Approve the TOR
Present the TOR to the SC
Make sure a strong political support exists
Get rubber stamp of the appropriate authority
Include budget allocation
Approve organizational structure and staff of the IUISP preparation project

Tips to the Task

Outline of project TOR may look as follows
• Introduction/ Background
• Relevance and problem statement
• Objectives of the project
• Scope of the project (spatial, sectoral, time)
• Methodologies/ Approaches to be followed
• Major deliverables expected
• Major tasks and detailed activities to be undertaken
• Resources required (organizational structure, human resources, budget, and logistical
supports)
• Sources of the resources and means of acquisition
• Major stakeholders and their roles and mandates
• Time schedule and key milestones
• Performance and outcome indicators
• Provisions for feedback and revision

The TC could serve as the team of experts for the preparation of the TOR; or the task may be
outsourced to a private firm to work in close consultation with the TC.

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Some model examples

Objective: The main objective of this project is to develop and ensure the provision of
an integrated urban infrastructure service in X city/town to meet the
development objectives and goals of the town.
Scope of the project: Spatial scope of the project refers to the whole city/town; and
sectorally it covers road, water, sewer, power and telecommunications..
Deliverable: The major deliverables of the project include,
• A shared intentions and objectives of the planning process in X city/town.
• Concrete goals to be achieved with implementation of IUISP in X city/town.
• TOR of the project.

TASK 3. PROCURE PROJECT LOGISTICS AND ASSIGN

HUMAN RESOURCE
The purpose of this task is to enable the subsequent IUISP process proceed smoothly
by making all necessary project logistics available before any mobilization starts. The
procurement can take two forms as follows.

Option1:- A PROJECT TO BE CARRIED OUT BY OWN-FORCE

Activity 1: Procure project logistics
Arrange appropriate working space/office
Procure the necessary equipments machineries and office supplies
Activity 2: Assign the required Institutional and human resources
Officially assign the institution responsible to carry out the planning process
Hire/assign the required project staff
Option 2:- A PROJECT TO BE OUTSOURCED
Activity 1: Organize a task force and prepare a tender document
Organize a task force (eg. TC) to prepare a tender document.
Prepare a tender document.
Attach TOR of the project.
Issue a Request for Proposal (RFP) or invite short listed consultants.
Make sure that the proposals include technical and financial proposals.

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Activity 2: Process the tender and commission the task to the winner
(Option2)
Receive proposals from bidders.
Open the submitted proposals in the presence of bidders/legal delegates.
Assign the technical team to evaluate the proposals
Evaluate the submitted technical and financial proposal as per the conditions and
specifications of the tender document
Identify the winning bidder
Notify the bidding result by posting on appropriate notice board/ appropriate media
Sign agreement with the winning bidder (the consultant)
Activity 3. Prepare detail action plan of the subsequent phases of the
project (Format No. 12)
Specify critical milestones to be reached at different levels in time.
Detail out activities with a corresponding time frame, responsible body and
expected output of the respective activity.

Tips to the Task

For a project to be carried out by own force, the responsible body may be an infrastructure
coordination unit at a regional level, or Regional Planning Institute or Urban Development
and Works Bureau. In this scenario, the key technical staff may be the TC drawn from the
respective companies for this purpose and strengthened by professionals recruited from
the market.
The tender document may contain the background and objectives of the tender, general
and specific conditions, an outline, deliverables, time schedule, and the TOR prepared for
the project.

Expected deliverables
• Memorandum of Agreement of stakeholders
• An approved TOR for the project
• An approved Action Plan

Key checkup questions

1. Do all stakeholders perceive IUISP a priority?
2. How far is every key actor aware of, own and committed to discharge his/her
respective role in the forthcoming IUISP process?
3. Is there a strong political commitment behind the plan to undertake IUISP in the
City/town?
4. Is everything ready to launch subsequent IUISP processes?

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Fig 5. IUISP Preliminary Visioning Process

Presentation &
Summary of brainstorming Summarized SC approves Draft vision
major gaps and discussion with draft vision the draft dissemination
initial intentions to SC, TC & RF vision

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PHASE 2. DATA COLLECTION AND ANALYSIS

The purpose of this phase is to give a clear picture of the existing situation of
infrastructure and related issues so as to identify the critical gaps and problems of the
sector. The major tasks to be undertaken here are: to prepare the necessary tools and
resources, to collect the necessary data; and to analyse the collected data

TASK 1. MOBILIZE FOR DATA COLLECTION

The purpose of this task is to make sure that everything is in order as per the action
plan of the project before task forces are mobilized for field-works. Note that the data
collection process should start from getting information on previous plans and
implemented project ideas.

Activity 1. Organize the required institutional setup as per the TOR

The institution responsible to carry out the task
Organizational structure showing relationships between major actors (Fig 6)
Organize the necessary human resources for data collection as per the TOR
Activity 2: Make sure the necessary data collection tools are ready
Determine means of data collection (door to door surveying, questionnaire,
interview, document review, field survey…) based on the type of data and the
source
Duplicate socioeconomic, spatial, institutional and legal data collection
formats given in the Annex.
Check that everything is in order as per the data collection action plan and
the TOR
Organize the necessary transport services and logistics
Activity 3: Launch the data collection process
Give training/orientation to data collectors on data types, sources, formats,
methods and instruments.
Publicize the data collection program to data sources and collaborators
(timing, collaborations expected from informants, etc.) through official letters
and other media
Mobilize the data collectors.

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Tips to the task

• Major data sources and collaborators are the stakeholders identified in the
stakeholder analysis, Format no 1.
• The data collection process can be notified to key data sources through,
- Official letters
- Mass media ( eg. FM, if available)
- Notices, fliers, pamphlets, etc
• Purchase GIS and other required data analysis soft wares and computers in
the case of cities and metropolis. For small, medium and large towns the
services could be provided by “pool system” and other optional means such
as transparent papers for manual use.

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TASK 2. COLLECT THE NECESSARY DATA

The purpose of this task is to provide a factual basis for the subsequent planning processes.

Activity 1. Collect data on geographic distribution of existing and planned

settlements as well as economic activities (use Formats in the Annex I)
Get a topographic map in 1:000 or 1:2000 scale
Collect data regarding spatial distribution of existing settlements in the town from
secondary sources (eg. SP).
Undertake rapid assessment on population density and distribution of socio-economic
activities in the town.
Review planning documents regarding future development and settlements.
Indicate major physical and environmental features (slope, gorges, rivers, quarries, etc.)
Prepare a slop analysis map having four categories: <5%; 5%-10; 10%-20% and >20%.
Organize the data in format number 4 and 5 given in the Annexes.
Activity 2. Collect relevant information that indicate physical conditions of
existing infrastructure networks (use formats in Annex I)
Review planning documents, previous studies and reports regarding existing utility lines
Undertake rapid field survey and take on existing infrastructure networks
Discuss with officials and experts in utility agencies regarding conditions of their
infrastructure networks.
Organize the alpha-numeric and physical data by using data collection
Activity 2.1 Collect data on the roads
Indicate the existing road network on a base map in scale 1:1000 or 1:2000
Indicate the length and width of the roads
Indicate the condition and quality of the roads (good, fair, bad)
Indicate the surfacing material (earth, gravel, asphalt)
Indicate road functions, roundabouts, etc
Collect data on availability of parking spaces and associated problems
Collect data on the available terminals (regional buses, city buses, taxis)
Collect data on availability and distribution of garages.
Activity 2.2 Collect data on drainage
Indicate the existing drainage lines on the map
Identify their types (open ditches, closed ditches, etc)
Identify their conditions (good, fair, bad)
Identify observed problems (overflow, etc)
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Activity 2.3 collect data on water supply network

Plot the existing water supply lines and indicate their sizes
Indicate their ages
Identify problems observed on the network (leakage, etc)
Identify the water sources, reservoirs, junctions and manholes
Activity 2.4 Collect data on power lines
Plot the existing electric lines
Locate the sub stations and transformers
Activity 2.5 Collect data on telecommunication lines
Plot the existing telephone lines
Locate the cabinets and manholes
Activity 2.6 Collect data on sewerage
Indicate the existing sewer lines
Locate the manholes
Identify the observed problems (overflow, etc…)
Activity 3. Collect institutional data
Disseminate data collection formats to key informants from utility agencies
Fix interview dates with potential informants
Review reports, relevant documents and studies referring institutional profile of
the respective infrastructure agency
Collect information regarding institutional profile of infrastructure agencies
operating in the town using data collection formats
Collect information regarding past collaboration experiences among various
infrastructure agencies.
Activity 4. Collect data on existing legal frameworks

Identify the appropriate institutions, experts and officials who know which current
legal instruments (national, regional, local) are relevant to and governing on
development, operation and maintenance of infrastructure networks.
Communicate and conduct interviews with identified institutions, experts or
officials by using data collection formats.
Obtain the relevant legal documents indicated during interview (policy documents,
legislations, regulations, directives, working manuals).
Review the legal documents and thereby extract their key provisions.
Discuss with the relevant officials and experts in infrastructure institutions
regarding existing legal constraints, if there is any, and include in your summary.
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Activity 5. Collect financial information

Undertake a discussion on financial issues with officials and experts from finance
bureau/office and infrastructure agencies by using the data collection format given in
Annex.
Review the relevant documents available in finance bureau/office and in each of the
respective infrastructure agencies
Organize the key information obtained both from your discussion and literature
review
Activity 6. Collect data on infrastructure projects, development plans and
programs under consideration
Review planning documents, institutional reports, previous studies with regard to
future expansion of infrastructure networks in the town/city
Identify geographical location of future expansion projects of different infrastructure
networks
Undertake discussions and interviews with relevant officials and experts regarding
ongoing and future development programs
Identify size and source of finance as well as responsible bodies for execution of
future development programs
Activity 7. Collect data regarding possible areas of integration among different
infrastructure agencies

Assess the possibility of integrated action by infrastructure agencies in planning,

programming and executing infrastructure development projects.
Assess the possibility of integrating implementation of future expansion programs in
geographical location, time, institutional and financial arrangements.
Discuss with relevant officials and experts regarding existing challenges that
constrain integrated actions of infrastructure agencies (technical, institutional, legal,
financial, physical).
Organize the information in formats given in the Annex.

Tips to the Task

• Depending on sources and types of data to be collected by using formats given in the
Annex.
- Individuals’ opinions can be collected directly from the respective informant either
through interview or by disseminating questionnaires
- For secondary data, the data collectors should review relevant reports, studies,
correspondences, minutes, archival documents, etc

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TASK 3. ANALYZE THE COLLECTED DATA

The data collected are good for nothing unless they are organized in a way that provide
the real picture of the status quo and that critical gaps are identified from the information
obtained in the process of data collection and subsequent discussions. Thus, the
purpose of this task is to draw critical problems and gaps to be considered in the
subsequent IUISP processes.
Activity 1: Identify critical gaps in the sectors between Needs and existing
condition (use Formats in Annex I).
Identify the gaps between the required roads and the existing roads (length,
width, condition, material, etc)
Identify the gaps between the existing and the required drainage and services
Identify the gaps between the existing and the required related services (parking,
terminals, etc)
Identify the gaps between the existing and the required water lines and services
Identify the gaps between the existing and the required electric power lines and
services
Identify the gaps between the existing and the required telephone lines and
services
Activity 2: Identify spatial and environmental gaps
Identify critical problems of geographic and environmental features
Identify critical problems of land use and settlements
Identify critical problems of the ongoing infrastructure and other development
projects
Activity 3: Identify critical institutional, legal & financial gaps
Identify critical institutional and human resource gaps
Identify critical legal gaps
Identify critical financial gaps
Activity 4: Identify critical problems of integration
Prepare a brief summary and conclusion of the data analysis
Identify thematic issues that call for integration and explain the challenges and
opportunities for integration
Organize sector specific and joint forums at the TC levels
Brainstorm on results of the analysis
Undertake detail discussion on key issues/themes
Prepare summary of identified critical problems
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Activity 5: Discuss on results of the data analysis with relevant

stakeholders
Organize stakeholder forums (TC and SC) that discuss on outcomes of the data
collection and analysis
Present the results of your information survey
Get stakeholders feedback through discussions
Integrate the stakeholders’ feedbacks

Tips to the Task

The summary of the findings of the data collection and analysis should be organized and
submitted to a central information center at the municipality or at the BWUD or at the
regional planning institute.
The data and information as well as the proposals may be produced in soft copies (in Map-
Info or AutoCAD software). Where this is not applicable; the hard copies should be properly
documented.
Expected deliverables
• Data collected on the formats (charts, maps, etc.)
• Data analysis results (key problems and gaps)
Key checkup questions
1. Are the essential and key issues covered and captured in data collection and
analysis process?
2. Is there any issue still not yet clear or uncertain?
3. Are the data collected adequate and reliable to make decision and choices?
4. Are the data collection and analysis outcomes shared with and owned by the relevant
stakeholders?
5. Is there any outstanding issue on which consensus is not yet reached among key
stakeholders?

Fig 6. Organizational Structure for IUISP

Steering
Committee

Technical Planning Unit Representative

Committee Forum

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PHASE 3. STRATEGIES

The purpose of this phase is to focus the vision and objectives, to identify and analyze
different options available and come to the most viable options to deal with the identified
problems and to fill the major gaps. The major tasks to be undertakes here are: to
develop list of options (scenarios); to analyze the available options; and to select the
most viable option.

Different strategies and options could be applied based on the urban hierarchy and
specific conditions of cities. Here are the different options listed that could be applied in
different cities, but the adaptation of the options remains to be the task of the planners
and decision makers based on the specific condition of each urban center.

TASK 1. FOCUS THE VISION AND OBJECTIVES

Activity 1. Develop a focused vision.

Summarize the major gaps and problems from the preceding findings
Organize a forum consisting of SC, TC and RF.
Present the major gaps and problems and the initial vision, intentions and the
shared agenda in Phase 1.
Conduct brainstorming discussions and gather inputs for the vision
development.
Summarize the findings into draft vision.
Hold discussion with the SC and approve the vision.
Communicate the shared and approved vision through appropriate means.
Activity 2. State the objectives
Have the summaries of the major gaps and problems and the preliminary
objectives developed in phase 1.
Hold brainstorming discussion with the TC and convert the gaps and
problems into objectives.
Summarize the objectives and share with the SC and the TC.

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TASK 2. ARRIVE AT LIST OF AVAILABLE OPTIONS AND

APPROACHES TO FILL THE GAPS.
Activity 1. Organize a forum with TC and SC and conduct brainstorming
discussion
Activity 2. List technically viable options. Possible options could be to:
Carry out city wide application
Carry out area level application with gradual expansion
Carry out multi sectoral planning and investment
Carry out multi sectoral planning but sectoral investment
Conduct full scale corridor clear-up
Conduct clear up of corridor for only one sector
etc.
Activity 3. List available institutional and human resources arrangement
options
Strengthen the existing intuitional arrangement
Setup a unit in the existing institution
Establish a new separate organ
Train the existing human resource
Recruit new staff
Train and recruit
Purchase new equipments
Rent equipments
PPP options.
Activity 4. List available financial sources and options. Possible options
could be:
Funding from citizens pockets
Funding from Regional /Federal/ Local government
Funding from International organizations through loans or grants
Funding from NGOs
Matching funds from multiple of sectors
Private funding
PPP funding
etc.

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Activity 5. List regulatory options. Possible options could be:

To exploit the provisions in the existing regulations or
To enact new regulations
etc.

TASK 3. ANALYSE THE AVAILABLE OPTIONS AND MAKE

SELECTION
Activity 1. Develop Valuation criteria and analysis format and insert the
available options
Activity 2. Conduct Brainstorming session of SC and TC to attach values
(grades) to weigh the available options.
Activity 3. Select the options with maximum grades from each group of
options.
Activity 4. Check for potential conflicts between the selected options.
Activity 5. Decide on the selected most viable options
Activity 6. Sign memorandum of understanding for the selected most
viable options.

Tips to the Tasks

• Technically viable options might be taking one sector as a core or a lead sector (e.g.
road or water); or going for a multi sectoral or holistic approach; etc.
• Institutional arrangement options might be either to use the existing municipal unit,
zonal department, regional bureau, or creating a new one, etc
• Financial options could be mobilization of resources either from the municipal
budget,
• Regional/Federal government of stakeholders; and cost recovery mechanisms;
etc.
• Regulatory options could be either to be contained within the existing regulatory
frameworks; or to develop new regulations; etc.
• Regional steering committee has to be organized for prioritizing and selecting
urban infrastructure projects/programs of cities to allocate the matching fund.
Based on this the committee shall set selection criteria for the allocation and
utilization of the regional urban infrastructure development matching funds to
municipalities urban infrastructure programs and projects. In addition it is important
to enact laws and regulations for enforcing federal and regional level actors
(telecommunication, EEPCO…) taking into consideration the local priorities.

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• It is necessary to provide planning and implementation management support

service to build the capacities of municipalities in the area of planning and
management of urban infrastructure through Federal Urban Planning Institute
(FUPI), Urban Development Support Service (UDSS) and Regional Urban
Planning Institutes (RUPI) by deploying experts, conducting on job training
etc. Also establish pool system for lower urban centers to provide logistics,
machineries and technical support at regional level. UNCHS could provide
support under the Settlement Infrastructure and Environment Program for
developing the system.
• As much as possible create a network between the data bank and
infrastructure sectors by connecting federal level infrastructure corporations,
municipality, local governments (sub cities and kebeles) and other sectoral
bureaus.
• Human resource capacity building could be done through training staffs and
employing new experts, sharing experiences with other organizations and
other international and local cities; prevent frequent turn over and retain
skilled staff.

Expected Deliverables
• Shared Vision and Objectives
• A format showing List of options, analysis and selected options corresponding
the five major planning issues;
key Checkup Questions:
1. Is the vision clear and shared among key stakeholders?
2. Are the objectives in line with the vision?
3. Are all the potential options covered?
4. Are the major conflicts between the selected options resolved?
5. Are the major stakeholders happy with the selected most viable options?
6. Are the options in agreement with the visions and objectives?

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PHASE 4. PROPOSALS
The purpose of this phase is to give recommendations and proposals that best serve to
solve the problems and to fill the gaps so as to meet the vision and objectives set
through the selected strategies. The major tasks to be undertaken are to propose sets of
activities under the categories: spatial/physical and environmental, socioeconomic,
financial, institutional and regulatory aspects.

TASK 1. CONDUCT SPATIAL, PHYSICAL AND ENVIRONMENTAL

RECOMMENDATIONS
Activity 1. Road proposals
Determine the connections, improvements or new roads required to fill the gaps.
Determine the optimal routing for the proposed arterial roads considering the slope, the
land use and settlement pattern, physical barriers and other environmental conditions.
Determine the detailed plan for collector roads compatible with the arterial road
network
Sketch the detail plan for local roads compatible with the arterial and collector roads,
and with the settlement/ land use pattern
Identify the proposed roads based on surfacing materials (asphalted, graveled, stone
paved, etc)
Accommodate the necessary junctions (roundabouts, Ts, etc.)
Accommodate the necessary parking lots, terminals, etc.
Identify traffic routing on the road (one way, two way, pedestrian ways, etc)
Check for integration between the road hierarchies.
Check conformity of the road network with the land uses, settlement patterns and
major economic and public spaces
Provide the necessary traffic signals and posts as per the standard to be provided
from the transport authority.
Adopt technical details of road cross-section based on the annexed standards which
suitably accommodate utility lines
Activity 2. Drainage proposals
Get the road network proposal map (or a layer of the map)
Following the slope analysis result recommend drainage lines along with the road
network hierarchically
Identify areas that may not be adequately drained following the road network lines
Recommend separate drainage lines but integrated with the overall drainage network.
Identify possible junctions and manholes
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Activity 3. Water supply

Get the road network and drainage map (layers)
Design the water supply network plan as per the standards annexed and as per
the standard from water supply authority.
Provide an optimal water reservoir design and location as per the standards.
Identify junctions and manholes
Activity 4: Sanitary sewer proposals (Optional)
This is only applicable where there is a long term approved plan, adequate
fund, and where it is economically viable)

Design the sanitary sewer network plan

Provide the necessary junctions and manholes as per the standards annexed.
Recommend the required vacuum trucks
Provide an optimal liquid waste treatment plant and its location (for cities and
metropolitan urban centers)
Design as per the sector design criteria and standard
Activity 5: Electric power proposals
Design the electric power network plan as per the standards annexed and as to
be obtained from EEPCO
The overhead line crossing supporting structures shall be located outside the
outer edges of the road way
Provide the necessary junctions and manholes
For small and medium towns, apply the overhead lines provisions.
For large towns, cites and metropolitans, apply the overhead lines provisions
only on collectors and local streets. Electric lines provisions on arterial streets
should be underground
Provide corridors and spaces for future expansion of the lines.
Provide spaces for substations and transformers as per EEPCo’s standards
Provide the necessary traffic lights for large towns, cities and metropolitans as
per the standards from the transport authorities
Activity 6: Telephone Proposals
Design the telephone network plan as per the standards annexed and as to be
obtained from ETC
Provide the necessary junctions and manholes
Provide corridors and spaces for future expansion of the lines

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TASK 5. INDICATE THE SOCIOECONOMIC BENEFITS

Activity 1. List the potential social benefits of each infrastructure

Indicate the facilitation and implications in terms of education

Indicate the facilitation and implications in terms of health improvements

Indicate potential outcomes in terms of improving social cohesion, and

relations

Indicate the social benefits in terms of addressing gender issues aimed at

poverty eradication

Indicate the social benefits in terms of reducing delinquency and crime

Describe the benefits related to safety by including all the necessary

provisions, such as fencing, traffic signal posts, pedestrian safe ways, etc
Activity 2. List the economic benefits of each of the infrastructure
components
Estimate and recommend job opportunity for unskilled labor
Estimate the economic development opportunities to be created by each
infrastructure provision

Tips to the Task

Example of socioeconomic benefits
• The supply of electric lines where there has been previously no supply of the service
will improve the level of education. Evening classes will be opened and students will
be able to learn and study longer hours in the evening
• The supply of water will profoundly improve the gender problems by minimizing the
time and labor required to fetch water. This enables women to get more time for
education and other productive economic sectors and hence contributing to poverty
eradication.
• The provision of electric lines will enable establishment of factories and workshops
which open up employment opportunities and hence improved income contributing to
poverty eradication.

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TASK NO 2: CONDUCT FINANCIAL RECOMMENDATIONS

Activity 1. Calculate the financial requirements of the recommended

infrastructure.

Calculate the rough cost estimate of the proposed road network,

terminals, stations, parking lots, etc
Calculate the rough cost estimate of the proposed drainage network
Calculate the rough cost estimate of the proposed water supply
Calculate the rough cost estimate of the proposed sanitary network
Calculate the rough cost estimate of the proposed power supply
Calculate the rough cost estimate of the proposed telephone network
Activity 2. Recommend sources of finances

Community contribution
From federal /regional/ local government
Private funds
Bank loans
Grants from NGOs & international organizations
etc.
Activity 3. Recommend cost recovery mechanisms

Direct contribution of beneficiaries

Gradual recovery through billing system
Direct cost inclusion in the land price
Through the application of capital gain taxes
etc.
Activity 4. Recommend mechanisms for sustaining the financial flow

Identify and recommend the most viable option for financing the project
(as identified in the strategy phase)
Improve the efficiency of rent collection services
Determine the finance acquisition period and the means

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TASK 3: CONDUCT INSTITUTIONAL RECOMMENDATIONS

Activity 1: Propose the Institutions to be involved in the execution of the
plans

Activity 2: Recommend the roles and duties of each involved institution

Activity 3: Determine the roles of the TC, SC and RF during execution of

the plans

Activity 4: Determine the linkages and institutional relations between key

stakeholders

Activity 5: Determine the human resource requirement for implementation

of plans.

Activity 6: Recommend the required capacity building programs

Training required (mainly on the job training and short term ones)
Logistical supports needed
Systems development and related technical supports
Activity 7: Recommend mechanisms for resolving conflicts when they arise

Through TC for solving technical issues

Through SC for policy, regulatory, financial, etc issues
Through RF for issues demanding wider public awareness

TASK 4. CONDUCT LEGAL RECOMMENDATIONS

Activity 1: Recommend how the potentials of the existing regulatory
framework could be exploited to support the implementation of
the plans.
Awareness creation campaign
Preparation of manuals to detail the articles of the existing regulations
etc.
Activity 2: Propose the required adjustments/ improvements in the existing
laws and regulation
Activity 3: Propose the required new regulations
Activity 4: Indicate how the proposed regulations contribute to the
recommended infrastructure

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Tips to the Tasks

Rough cost Estimates are calculated based on the unit costs obtained from the
respective infrastructure authorities. For example the cost of one square meter of road
(asphalt, or gravel) is obtained from the road authority (Federal or regional)

Expected deliverables
A spatial/ physical plan showing the topography, slope and other spatial/
environmental situation analysis
A spatial/ Physical plan showing the full infrastructure layout, cross-sections,
details and explanatory tables.
A summary text explaining the proposed actions and socioeconomic
implications.

Key checkup questions

1. Have all the problems and gaps identified been addressed
2. Are all the recommendations sound enough and realistic?

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PHASE 5. INTEGRATING PROPOSALS

The purpose of this phase is to check the conformity of the proposals and ensure an
integrated proposal of the component parts. The major task to be undertaken here are:-
to merge/ overlap the proposals and identify key gaps; to cut corners and fill the gaps;
and to check integration of the whole part.

TASK 1. OVERLAP AND COMBINE THE DIFFERENT

INFRASTRUCTURE PLANS AND PROPOSALS INTO ONE
INTEGRATED PLAN

TASK 2. IDENTIFY ANY GAPS OR MISMATCHES

Activity 1: Identify mismatches between road network and other
infrastructure proposals
Mismatches between Road network and drainage
Mismatches between Road network and water supply and sewerage networks
Mismatches between road network and power supply network
Mismatches between road network and telephone network
Activity 2: Identify mismatches between drainage and other infrastructure
proposals
Mismatches between drainage network and water supply and sewerage networks
Mismatches between drainage network and power supply network
Mismatches between drainage network and telephone network
Activity 3: Identify mismatches between water supply and sewerage
network and other infrastructure proposals
Mismatches between water supply and sewerage network and power supply
network
Mismatches between water supply and sewerage network and telephone network
Activity 4: Identify mismatches between power supply network and
telephone network proposals
Activity 5: Identify mismatches of infrastructure proposals with the other
proposals
Mismatches between infrastructure proposals and financial proposals
Mismatches between the infrastructure proposals and the institutional proposals
Mismatches between the infrastructure proposals and the regulatory proposals
Mismatches between the infrastructure proposals and socio economic proposals
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Activity 6: Identify mismatches between the infrastructure proposals and

the other development plans and programs
Mismatches with the city structure plan
Mismatches with the city IDP
Mismatches with the city housing, MSE, neighborhood development
programs
Activity 7: Integrate with MDG, PASDEP, and other poverty, gender and
HIV/AIDS issues.
Check coherence with the MDG, PASDEP and other urban and rural poverty
eradication programs and projects.
Check coherence with gender based programs and projects.
Check coherence with HIV/AIDS programs and projects.
Integrate with the Urban Development component of PASDEP.
Integrate with the Urban sector Ethiopian MDG.

TASK 3. ADJUST THE RECOMMENDATIONS

Activity 1: Cut corners to make one proposal conform with the other
Activity 2: If the mismatches are major ones, revisit the data and data
analysis
Activity 3: If some mismatches still persist devise appropriate coping
strategy (e.g. to be reconsidered during detail design or during
plan revision, etc)

TASK 4. TEST FOR FULL INTEGRATION

Activity 1: Overlay the proposals and check for conformity
Activity 2: Prepare the integrated plans and documents
Activity 3: Get consensus of the TC members on the integrated proposals
and sign minutes of agreement
Expected Deliverables
• An integrated spatial /physical plan
• An integrated explanatory text of the infrastructure plan
Key Checkup Questions
1. Have all identified gaps/ mismatches been dealt with?
2. Are the key stakeholders satisfied by the integrated proposals?

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PHASE 6. APPRAISAL & APPROVAL

The purpose of this phase is to ensure the final validity, feasibility and viability of the
proposals before giving the plan a legal status and committing the resources for
implementation. The major tasks to be undertaken are: to conduct critical appraisal of the
plans and to give a formal approval.

TASK 1. CONDUCT APPRAISAL OF THE INTEGRATED

PROPOSALS
Activity 1: Prepare synthesis of final version of the plan and draft approval
legal document
Develop summary of issues to be included in legal document
Assign team of legal expert for drafting approval document
Draft the approval document

Activity 2: Present the integrated proposals and draft legal document to

the Steering Committee and get their consents
Present the integrated proposals to the steering committee
Appraise the technical viability of the IUISP proposals
Appraise the institutional viability of the proposals
Appraise the legal viability of the proposals
Appraise the financial viability of the proposals
Appraise the economic viability of the proposals
Appraise the social viability of the proposals
___________________________
Appraise the environmental validity of the proposals
**Depending on the consent
Get written level of integration, the content
of the steering and form of the approval document can
committee
vary from one case to another. In line with this understanding, the following procedures are
Make
forwarded for adjustments
different levelsofofthe proposals in a way that integrates the committee’s
integration.
feedback
Activity 3: Present the integrated proposals, the draft legal notice and SC’s
consents to the RF to get their consents.
Make a summary of presentations on the key integrated proposals
Make presentation of the SC’s consents
Hold discussions and gather opinions
Get a general consent of stakeholders
Make the necessary adjustments by integrating the RF’s comments

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TASK 2. APPROVAL OF THE IUISP PROPOSALS

Activity 1: Present final proposals and draft approval document to the
approving body
Present the main issues in the plan and approval document to the approving
body in the presence of SC, TC and RF representatives. Make clear the
key,
Political/ policy/legal implications
Institutional implications
Financial implications
Activity 2: Get approval of the integrated infrastructure plan**
Get minutes for formal approval
Gazette the legal document
Get non-gazette legal documents signed by relevant partners
Activity 3: Sign a collaboration protocol among key infrastructure
agencies and deliver the document
Assign the TC to draft a collaborative protocol
Present draft protocol to SC.
Sign the collaboration protocol
Deliver the legal documents to relevant institutions
Expected Deliverables
• Written consent of key stakeholders on the integrated plans
• Approval legal notice
• Collaborative protocol

** Key Checkup Questions

1. Have tall the proposals gone through appraisal?
2. Has the legal notice been issued by the relevant body?
3. Has collaborative protocol been signed by all key stakeholders?

**
Depending on the level of integration, the content and form of the approval document can vary
from one case to another.

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PHASE 7. IMPLEMENTATION
The purpose of this phase is to guide a structured implementation process. The core target is to
enable the manual be implemented in an explicit and simplest way as designed. The major
tasks to be undertaken are: the preparation of an action plan; preparation of 5 years IDP of
IUISP and one year action plan; assignment of resources and arrangement of follow up
mechanisms.

TASK 1: THE PREPARATORY WORKS AND ACTION PLANNING

Activity 1: Awareness creation and capacity building
Prepare a forum and give orientation to stakeholders, small community groups, NGO’s
and private sectors
Organize the major tasks and out puts into phases
Identify the 5 years major tasks and outputs
Identify the one year major tasks and outputs
Outline the action plan for the full range of IUISP Implementation.

TASK 2: PREPARATION OF DETAILED PLANS

Activity 1: Prepare a 5 years IUISP
Organize the five years tasks and out puts into projects (Ensure that the projects are
labor intensive and gender sensitive to the extent possible).
Check coherence with other five years plans
Check coherence with the 5 years municipal IDP
Activity 2: Prepare a one year IUISP action plan
Organize the one year tasks and outputs into projects (Ensure that the projects are
labor intensive and gender sensitive to the extent possible).
Check coherence with other 1 year plans
Check coherence with other 1 year municipal IDP
Activity 3: Assign the required resources
Assign the required budget
Assign the required human resource
Assign the required equipments, machineries, etc.
Activity 4: Assign implementation follow up bodies
Maintain steering committees and stakeholder forums previously organized
Determine the reporting formats and share with the Steering Committee
Determine the reporting periods and phases to stakeholder forums
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Expected Deliverable
• A five-year/ or a 1-year detailed plan of action
• Required resources mobilized
Key Checkup Questions
1. Is the action plan realistic enough?
2. Are the plans in agreement with other development programs?
3. Have the key resources been mobilized?

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PHASE 8. MONITORING AND EVALUATION

This section outlines the substantive components of local government monitoring
program related to the Intergovernmental Coordination Element. The monitoring
program will consist of periodic reviews of measurable objectives. The comprehensive
planning process is continuous and dynamic in nature. Maintaining the effectiveness of
the plan requires periodic review. This program provides orderly procedures for
monitoring, updating, and evaluating the plan and attendant evaluation and appraisal
report.

TASK 1: CONDUCT MONITORING OF IMPLEMENTATION

PROCESS

Activity 1. Develop formats for periodic monitoring reports

Organize milestones /outputs for the respective periods (annually for the 5
years plan and bi-annually for the one year plan)
Report back the findings of the monitoring tasks to the SC.
Take the necessary corrective measures

TASK 2: CONDUCT PERIODIC EVALUATION

Activity 1. Check the outputs against the planned targets
Organize outcome milestones for the projects at the end of the five years or at
the end of the year.
Identify mismatches between the vision/ goals/ objectives and the outcomes
gained
Activity 2: Analyses reasons for the mismatches
Compare the costs against the benefits (Costs are financial, human resources,
logistics, institutional, environmental, time, etc costs. Benefits may be financial,
social, economic, political, environmental etc.)
Identify reasons for the mismatches
Activity 3: Recommend feedbacks
Recommend corrective measures to be incorporated in the IUISP plan and
upcoming projects
Recommend reconsiderations for future planning (This part could be
considered as an initiation phase of the re-planning process)

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Expected Deliverables
• Monitoring formats and summary reports for the corrective measures taken
• Evaluation formats and summary reports for future actions.

Key Checkup Questions

1. Are the monitory and evaluation formats sound enough?
2. Do the formats give good feedback?

65
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PART III

ANNEXES

I
 # $ % "&

ANNEX I: DATA COLLECTION/ANALYSIS FORMATS

Format No. 1. Example of Stakeholders Identification and Analysis in IUISP Process
Infrastruc Key Areas of participation Roles to be played Level of Mode of Potential
ture Type Stakeholders Representation Representation Interests
Water supply In all phases Lead role in all phases SC, RF, & TC Agency head Ensuring the
Agency and supply of
professionals water
Roads Authority Phase II: Data collection and analysis
and Utility
Phase IV: integrations proposals
companies
Phase VI: Appraisal and Approval
Phase VII: Implementation
Land Phase I: Need assessment and visioning
Administration
Phase II: Data collection and analysis
Dept
Phase VI: Appraisal and Approval
Water Phase VII: Implementation
Supply Infrastructure Phase I: Need assessment and visioning
lines Authority or Phase II: Data collection and analysis
BWUD or
Planning Phase V: Proposal
Agency Phase VI: Appraisal and Approval
Phase VII: Implementation
Community Phase I: Need assessment and visioning
private Sector
Developers Phase II: Data collection and analysis
Phase VI: Integration
Phase VII: Appraisal
NGOs
SC – Steering Committee
RF – Representative Forum
TC – Technical Committee

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 # $ % "&

Format No. 2. General Information Data collection and Analyis Format

• Major problems prevailing in the City/town as a result of
disintegrated/uncoordinated approaches
Frequency of service cut in a year due to line damage (water, power,
electric, telephone, road blockade) ____________________
_________________________________________________
• Previous efforts made to introduce integrated approach for infrastructure
development
at planning level _________________________________
______________________________________________________
at construction process _______________________________
______________________________________________________
in operation (repairing and maintenance, billing)
____________________________________________________
• Foreseen implications of integration; both pros and cons
institutional, ________________________________________
______________________________________________________
financial ____________________________________________
______________________________________________________
technical, ___________________________________________
______________________________________________________
• Opinions of technical experts/departments on the choice to integrate or not
integrate
Costs of integration (financial, managerial, developmental)
___________________________________________________
___________________________________________________
Questionnaires for data collection from infrastructure institutions

1. How technically your institution install the utility lines?

- Using skilled manpower
- Using unskilled manpower
- Both
2. How did you keep the alignments to follow the street standards?
Using surveying instruments
- With a simple rope, rod and measuring tape
- None
3. How frequently communicate with utility, road, transport and land administration
agencies to exchange information?
- For all infrastructure projects
- For 70% of infrastructure projects
- For 30% of infrastructure projects
- None

III
 # $ % "&

4. When do you communicate with the agencies?

- At the planning stage
- After the planning and before the implementation stage.
- At the implementation stage and for facilitation problems
- None
5. How do you communicate with other utility institutions to safe guard the existing
utility lines?
- Informally
- Formally
- Both
- None
6. Explain the existing database conditions for new and existing utility lines.
7. State the future plan of the data base system in your organization.
8. State the necessity of utility institutions coordination with regard to:
The institutional benefits__________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Dwellers benefit: ___________________________________________________
__________________________________________________________________
__________________________________________________________________
Local (Urban) level benefit _______________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
9. State your opinion about the present condition of institutional coordination
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
10. Does your institute have future objectives for institutional coordination? Yes, No
If yes, state _____________________________________________________________
________________________________________________________________________
___________________________________________________________________

IV
 # $ % "&

Format No. 3. Institutional Data Collection and Analyis Format

• Name of organization _____________________________________

• Organizational status
Branch office of federal agency Branch office of regional agency
Town/City agency

• Supervisor/accountable to
Federal/Regional head office
city administration
• Responsibilities
Regulatory function
Managing, running and maintaining
the networks & services
Sectoral department within the
Mayor/Deputy mayor of the
City/town
Fees & charges collection
Undertaking major projects

• Technical Competency
adequately equipped with necessary machineries and manpower
dependent on head office support
neither self-equipped nor externally assisted
solely dependent on services rendered by private contractors

• Legal Competency
fully authorized to manage the sector mandated to manage only
in the city/town technical affairs
head office liaison

• Other opinions regarding institutional issues __________________________

______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________

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Format No. 4. Legal Information Collection and Analyis Format

1. Relevant legislations, decrees and directives
• Federal
Name___________________________________________________________
Key Provisions which have significant implications to the issue of integration
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________

• Regional/national state
Name___________________________________________________________
Key Provisions which have significant implications to the issue of integration
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________

• Urban
Name___________________________________________________________
Key Provisions which have significant implications to the issue of integration
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________

2. In placed policy directions, planning requirements and development

programs that call for integration
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________

3. Gray areas on which adequate policy and legal provisions for integration
are missing
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________

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Format No. 5. Financial Information Collection and Analyis Format

1. Source of Finance
• Recurrent Budget
Federal head office City gov’t Own income
If any other source mention,
_____________________________________________________

• Capital Budget
Federal head office City gov’t Own income
Direct loan/project finance Private equity Community contribution
If any other source mention,
___________________________________________________
2. Responsible for preparation of budget request
• Recurrent Budget
Head office finance department City Utility Agency
If any other body mention
____________________________________________________

• Capital Budget
Head office finance department City/municipal Agency
If any other body mention
____________________________________________________

3. Responsible for budget approval

• Recurrent Budget
Federal head office City/municipal gov’t
If any other body mention
____________________________________________________

• Capital Budget
Federal head office City/municipal gov’t
If any other body mention
____________________________________________________

4. Authority of Determining Service Charge Rates

Federal head office Regional State City/municipal gov’t
Municipal agency If any other body mention ________________
_____________________________________________________________

5. Major Issues associated finance that

6. Provide opportunities for integration ___________________________________
________________________________________________________________
________________________________________________________________

• Constrain integration _________________________________________

_____________________________________________________________
_____________________________________________________________

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Format No. 6. Collaboration experiences data collection and analyis Format

1. Past of with other infrastructure agencies
• Notable experiences ________________________________________________,
__________________________________________________________________
• Constraints/challenges faced _________________________________
__________________________________________________________________
__________________________________________________________________
• Successes/Failures registered __________________________________
__________________________________________________________________
__________________________________________________________________
• Success/Failure Factors _______________________________________
__________________________________________________________________

Format No. 7. Existing Networks Data Collection and Analysis Formats

Type of Condition in %
Size
S/N infrastructure unit Good Fair Bad
Remarks

Format No. 8. Spatial Distribution of Major Activities Data Collection and

Analysis Format

sub - city/ Share of major activities (% in terms of land-use) Remarks

S/N Kebele Industry Commerce Services Offices Residence

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Format No. 9. Ongoing/planned Infrastructure Development

Programs/Projects Data Collection and Analysis Format
Year of Main actor/ Major Major
S/N Projects start completion Total owner stakeholders linked inf.
budget

IX
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Format No. 10. Spatial Physical Data Collection Format for Power System
SPATIAL PHYSICAL DATA COLLECTION FORMAT FOR POWER SYSTEM

LEGEND

OH - OVER HEAD
UG - UNDER GROUND

X
 # $ % "&

Format No. 11. Spatial distribution of major settlements

Density/ hectare Household’s income category

(%)
S/N sub-city/ Total Middle
Poor
Kebele Population Pop. Housing Affluent income
family

XI
 # $ % "&

FormatEXISTING LANDUSE
No. 12. Existing OF DENSITY
Landuse of DensityDATA COLLECTION
Data Collection and Analyses MAP
AND ANALYSES MAP

MH
LEGEND
Residential
MH and Mixed Use

Commercial

Industruals

Enviro., Greenery
and Agriculture

Transport
MM Terminals

MH - MIXED HIGH
MM - MIXED MEDIUM
ML - MIXED LOW
ML

XII
 # $ % "&

Format No. 13. GAPS Identification Sample Format for IUISP

Required
Options/
Key Areas of Existing level to meet Gaps/ Causes
strategies
Need data (Facts the vision/ problems for the Proposals
to meet the
Assessment & Figures) goals identified problems
gaps
Objectives
Back of Government
20 km asphalt 50 km 30 km
Finance contribution
Road length
Loan from
200 km gravel 400 km 200 km
Banks
Sewerage line Loan from
5 km 20 km 15 km
length Banks
Water Supply
Network
coverage
- Connection
Shortage to the
Electric power Install 2
500 ha 700 ha 200 ha of power national grid
lines coverage generators
source - Erect local
power plant
- Extend • Mobilize
cables the
Telecommunica required
Shortage
tion lines 200 ha 400 ha 200 ha resource
of lines - Provide
coverage • Extend
wireless
telephones cables to
the areas
- Poor
- Lack of manage • New
manuals ment management
Institutional Lacking Strong
setup systems institutional - Human - Lack of • Training
resource awareness • Introduce
shortage - Low pay incentives
scale

XIII
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Format No. 14. Strategic Options Analysis and Selection Format

Options Available Section criteria and Grading

Category options
Availability Available Conducive Political Lesser Total
of Fund Institution legal Commitment Time Sum
and human environment
resources

1 2 3 1 2 3 1 2 3 1 2 3 1 2 3
Technical
(physical and
socio-economic
planning)

Institutional and
Human resource
mobilization

Financial
options

Regulatory
options

Format No. 15. Action Plan Format

Time Institutional framework Expected

S/N Detail Activities Frame deliverable
Core actors Stakeholders

XIV
Format No. 16. Infrastructure Construction application and Permit Format
# $ % "&
Application No........................
Permit No........................
2 APPLICANTION
Name of Applicant Organization: ........................................……............. E-mail Address: ..........………....... Tel. No. ..….....….........
( ) ( - ) ( )
: ………..……..…
Representative's Name: .............……........................ Title: ...................................……... Signature: ................….. Date
( ) ( ) ( ) ( )

Details on Infrastructure work to be conducted: ............................................................……………………………......

( ! " #$ % % "&' )

..............................................................................………………………………………………...............................................................
..............................................................................................................................................................
Location( " #$ ($): .......................................……………………..........…. Street Name( ) ): ...........................................
Planned starting date: ............................…….... Planned Completion date: .................................…….....
(& * $ +, ) ( -. /0 )

NB: A copy of detailed plan not bigger than A3 paper size shall be attached!
(1 A3 ! - # ,&- 02 % % 3 45 00% &, !)

DATA ON EXISTING INFRASTRACTURE

Utility protection/relocation WSSA ( / /6/#) EEPCo ETC
7 628 ( / 9/:/;) ( / </;)
1 Under ground line (if yes specify) yes no yes no yes no yes no
( = & )&>) & & & & & & & &
2 Conduit size ( ( - )
3 Depth from top (1 = )> )
4 Distance from property line (1 ?$ 0& )
!@ 0!A)- Approval given by
Signature and
B Official seal
Date

FOR RE-PAVING WORK TO BE CARRIED

Road classification Carriage way pedestrians walkway Length = U/Price =
Arterial Asphalt concrete Concrete tiles Width = Total
Collector Surface treatment Gravel Area = cost =
Access
Road service year since Repaving Planned year for Suggestions/remarks for
constructed or maintained completion date upgrading or renovation acceptance/rejection / suspense

Approval given by
!@ 0!A)- Signature
Date
Official seal
B

PERMIT
Schematic drawing of installation
( C!A" 02 D E/ "&')

This permit is issued in accordance with the foregoing application for the period stated above, subject to the above terms agreed to by the
applicant Organization. (," #$ ) C9 " #$ F G 0-.HH B IJ ,IJK , - ! -. H
&, LL)
Applicant must fill this permit fifteen days ahead of commencement time of the construction.
( M " #$ & * +, ) C9 N 1 &, LL)
Prepared by (0CA* ):..........................……………….....…Title ( ): ……...…....…….……. Date ( ): ...………….
Approved by (0O+ ):............................................…….…Title ( ): .............….........……….Date( ): …………..

* Adopted from Addis Ababa City Government Infrastructure and Construction Authority Format
XV
 # $ % "&

ANNEX II: STANDARDS

Standard 1. Streets cross sections Standards

4m ENTRANCE
ACCESS ROAD

Property line
Property line

6m
LOCAL ROAD
Property line

Property line

XVI
 Property line
Property line
#
$

10m

Cs-1 15m
LOCAL ROAD

COLLECTOR STREET
%
"&

Property line
Property line

XVII
 # $ % "&

Cs 20m
COLLECTOR STREET
Property line

Property line
SAS-25m
SUB ARTERIAL STREET
! "
Property line

Property line

XVIII
 # $ % "&

PAS-4 30m
#
PRINCIPAL $
ARTERIAL SIREET
#" "
# "

PAS – 40m
# $
PRINCIPAL ARTERIAL STREET
#" "
# "

Property line
Property line

XIX
 # $ % "&

PAS-2 50m
#
#" "
# "

Property line
Property line

Standard 2. Typical Road Profile Showing Utility Lines Alignment

W T Ts J J Ts T W
P P
P = power transmission line
T = telephone, telegraph, television Telecommunications
Ts = traffic signal line
J = inlets and drainage line
W = Water
N.B. The service provision could depend on the levels of urban center. Underground Power and Telephone
lines are optional for small and medium level urban center.
*Does this correspond with the previous X-section

XX
 # $ % "&

Standard 3. Streets Right of ways standards

Time allocated (months) for the phases

Urban center Phase Phase Phase Phase Phase Phase Phase Phase Total Time
1 2 3 4 5 6 7 8 for IUISP
Small Town 0.5 1 1 2 1 0.5 0.5 0.5 6-8
Medium Town 1 2 2 3 2 0.5 1 1 12-15
Large Towns 2 3 2 4 2 1 1 1 16-18
Metropolitans 2 4 3 5 3 1 1 1 20-24

Standard 4. Indicative standard time required for the IUISP planning

Local Standards International

Street Width
Carriage Median Carriage Median Walk Remarks
hierarchy (m) Walk way
way width way width way
L – at one side tele/power
pole erected
Entrance 2.5 -
2.5 – 4.4 - - 2.5 - 5 - - I – at one side
access 5
tele/power/water buried
vertically
L – at one side tele/power
Sub- pole erected
1.50 One
local 6 4.5 - 5.5 - - I – at one side
side
street tele/power/water buried
vertically
2 One
8 6 -
side
Local
10 7 - 1.5
L – at one side one meter
open ditch
15 11 - 2 11 - 2 I – at one side
Collector tele/power/water buried
vertically
20 11.5 - 3.5 15 - 2.6

20 12.5 0.50 3.5

Sub- 25 17 1 3.5
arterial I – both sides there is extra
30 20 1 4.5 21 - 2.2 2m from vertically laid utility
lines
40 25 5 5
Arterial
50 33 7 5

XXI
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Standard 5. Standard for liquid waste open air biological treatment plant.

No Criteria description Minimum requirements

1 Area / Size Small Town 5ha
Medium Town 10ha
Large Town 20ha
2 Distance from nearest Small Town 1/2km
Settlement Medium town 1km
Large Town 2km
3 Accessibility /r.o.w/ Small Town 10m
Medium Town 15m
Large Town 15m
4 Location - At a lower altitude than the urban
center
- No settlement within 5 km at a
lower attitude
- No river /stream/ lake or ground
water harvesting within 3 km

5 Vegetation Provide a 500m. wide green field or

forestry surrounding the plant.

* N. B For the collection of Liquid waste, 1 vacuum truck can serve 20,000 population

XXII
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Standard 6. Standard Requirements for Street Cuts

Trench Do not start until pipe and other materials are at the site. (Open up only that
Excavation length of trench, which can be backfilled the same day.) Pavement shall be
scored to neat lines and removal shall not cause damage to pavement outside
the scored lines. Excess excavated material shall be removed immediately from
the site.
Cross trench More than 10-degree angle with centerline of road or any trench less than 50 ft
long in the pavement or within four feet of paved area shall be backfilled with
class II Aggregate Base and the structural section replacement in the paved
area.
Longitudinal Less than 10 degree angle with the centerline of road and greater than 50 feet
Trench long in all paved areas including curbs, side walks or other concrete shall be
backfilled with class II Aggregate Base, from the top of pipe bedding to the
bottom of the replacement structural section. The remaining trench shall be
backfilled with the structural replacement in paved areas. In all other areas,
longitudinal trenches may be backfilled from the pipe bedding to the ground
surface with suitable material from the excavation or better material. Controlled
density backfill may be used.

Temporary Paving Temporary paving (or permanent paving) shall be placed at the end of workday.
Temporary pavement shall be class B asphalt concrete with 1 ½ inch minimum
thickness and shall be replaced with in four weeks with permanent pavement.

Base and The roadway structural section shall be replaced as stated in the permit.
Pavement Otherwise, replacement shall be in kind except that the minimum replacement
Replacement shall be the existing thickness (2 1/2” minimum) plus 2 ¼” of asphalt concrete.
Traffic Control Unless otherwise specified, all traffic control devices and delineations removed
Devices by the permitted contractor as part of the permit shall be replaced in kind or
better, at no cost to the city.

XXIII
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Standard 7. Indicators’ standard

Indicator type Description of Indicators

Indicators for general
evaluation
Indicators for technical
element:
Indicators for spatial
element:
Indicators for financial
element
o Number of projects/programs interlinked in
conformity with IDP, structure plan and local
development plan.
o Value the added benefits in terms of cost, social
benefits, economic benefits, time…
o Infrastructure coverage
o Attraction of new investment number and amount
and scale of private investment
o Achievement in physical environment, social and
economic targets (poverty reduction)
o Efficiency of service delivery in terms of time, cost,
resource and quality such as customer handling,
revenue collection…etc.
o Technical coherency and conformity of developed
infrastructure
o Number of projects developed in conformity of the
technicalities of different infrastructure
o Improvement of technical capacity
o Technical consideration of different social groups
o Design and construction considerations for comfort,
esthetic, quality for different social groups
o Coherency in timing of projects/activities of sectors
o Coherency among infrastructure institutions in
priority area development
o Number of resolved conflicting programs or cases
through the GIS
o Financial cost reduction and other non renewable
resources
o Improvement in revenue collection
o Achievement in recovering costs and reutilization
of renewable resources

XXIV
 # $ % "&

o Affordability and financial sustainability of

Indicators for institutional
element
developed projects
o Improvement of working relations, culture and
change of attitudes of officials and professionals
o Continuity of inter sectoral participatory institutions
o Effectiveness of the steering committees, working
groups and Infrastructure management and
implementation body
o Commitment of stakeholders
o Increment of institutional capacity in terms of
human resource, material and logistic
o Increased involvement of third sector; community,
CBOs, private sector and NGOs
o Continuation of operation and maintenance works
o Increased motivation of local actors

Standard 8. Plans Evaluation Period Standard

Urban Level Planning level Evaluation period

Small Towns 10 years Every 5 years
5 years Every 2 1/2 years
1 Year Every 6 months
Medium Towns 10 years Every 5 years
5 years Every 2 1/2 years
1 Year Every 6 months
Large Towns 10 years Every 2 years
5 years Every year
1 Year Every 3 months
Metropolitans 10 years Every 2 years
5 years Every year
1 Year Every 3 months

XXV
 # $ % "&

Standard 9. IUISP Required Resources

Level 1 Level 2 Level 3

Minimum

Minimum
Phases

nal set up

nal set up

nal set up
Required

Required

Required

Required

Required
Institutio

Institutio

Institutio
required

required

required
Maximu

Maximu

Maximu
m time

m time

m time
Power

Power

Power
Man

Man

Man
ory work
(Phase 1)
Preparat

1 Project Coordinator/
Urban Professional

Existing Units in

Existing Units in

Existing Units in
1 Civil Engineer 1 Architect or
2 week 1 Civil Engineer 1 month 1 ½ months
equivalent
collection

(phase 2)
Analyses

1 Economist or
Data

BWUD

BWUD

BWUD
equivalent
strategies
(Phase 3)
Option&

Urban Development Project Office

Urban Development Team
Developing
Proposals

Existing Units in BWUD

(Phase 4)

1 Civil Engineer
1 Civil Engineer
1 Civil Engineer 2 month 3 months 1 Economist 4 months
1 Technician
1 Technician
proposals
(Phase 5)
Integrati
ng

1 Project
Appraisal

Approval
(Phase 6)

1 Project Coordinator/

Develop

Develop
Existing
Units in
BWUD

Coordinator/ Urban

Project
Office
urban Professional
and

Urban

Urban
1 Civil Engineer 2 week 2 weeks 2 weeks

Team
ment

ment
Professional 1 Architect or equivalent
1 Architect or /Planner 1 economist or equivalent
entation
Implem

Existing
(Phase

Units in

Project
BWUD

Office
Urban

Urban
Team
Dev’t

Dev’t
7)

- - 2 years - -
(Phase 8)
Monitori

Evaluati

Existing
Units in
ng &

BWUD

Project
Office
on

Urban

Urban
- Every year - Every 2 years Team - Every 2 years
Dev’t

Dev’t
- The number and mix of professionals can vary subject to the size of projects.
- Urban Professional denotes Architects, Urban Planners, Economists, Civil engineers, geographers, sociologists and other professionals with minimum of first
degree and specialize, in training, or minimum of four years experience in the urban sector.

XXVI
 # $ % "&

REFERENCE
- Consulting Engineering Services, 2005. Urban T4ransport Study and preparation of pilot
project for Addis Ababa, Findings Report. Office for the Revision of Addis Ababa Master plan,
2002, Addis Ababa City Development plan (2001-2010)
- Council of Ministers, FDRE (2005), A Proclamation to provide for Urban Plans, Addis Ababa.
- Council of Ministers, FDRE (2005), Draft Urban Development Policy, Addis Ababa.
- Davidson, Forbes (2004), “Settlement planning and Management”, in Urban Development
Planning (Part 1)
- Davidson, Forbes (1996) “planning for performance; Requirements for Sustainable
Development’, Habitat International, Vol.20 No 3.
- Davidson, Forbes and payne, Geoffrey, 2000, Urban Projects Manual: A guide to preparing
upgrading and new development projects accessible to low income groups, second revised
edition, Liverpool university press, DFID
- Ethiopian Roads Authority (FDRE) Consulting Engineering Services and Saba Engineering
PLC, 2005, urban Transport study and preparation of pilot (project for Addis Ababa
- IHE, Netherlands (2006), Poverty and Urban Transport in East Africa: Review of research and
dutch donor experience.
- Maurits Servaas, I-ce, (2000), The Significance of Non-motorized transport in developing
countries, Final Report, Interface for Cycling Expertise, Utrecht, the Netherlands,
- Ministry of Federal Affairs, 2003, National Urban Planning Manual.
- Ministry of Works and Urban Development, 2006, PASDEP, Urban Development and
Construction Industry component,
- May T, and Taylor, M, 2002.
- Padeco, Co. LTD, the World Bank (2000) Study on Urban Transport Development, Final
Report.
- Professor John whithelegg, 1997, A guide to achieving traffic reduction targets in England and
Wales.
- Queensland government, 2003, Integrated Planning Frame work, a guide for transport
planning.
- South Africa Local government association,1995, Summary of Integrated Development
Planning (IDP) Guide pack.
- Vidisha Parasram, 2006, Horizon Solutions.
- Wisconsion Department of Transport, 2001, a guide to preparing the transportation element of
a local comprehensive plan, transportation planning resource guide.

XXVII