ETHIOPIAN CIVIL SERVICE UNVERSITY

INSTITUTION OF URBAN DEVELOPMENT STUDIES

DEPARTMENT OF URBAN MANAGEMENT.

Assessment of Upgrading Slum Neighborhoods Challenge and prospect: The Case

of Kombolecha City Administration.

By

Nuruhussien Seid (Ato)

ID. No. 0140-06

Adviser

Belete Ejigu (MA)

A Thesis Proposal Submitted to the Urban Management, Masters Program,

Ethiopian Civil Service University, in Partial Fulfillment of the Requirements for

the

Award of a Masters Degree in Urban Management.

June, 2015

Addis Ababa, Ethiopia

 Table of Contents

Title Pages

1.0. Introduction..................................................................................................................1

1.2. Background……………………………….………………………………………….2

1.3. Statement of the problem……….…………....………………………………………5

1.4. Objective of the study………….........………….……...…………………….………7

1.4.1. General objectives................................................................................................

1.4.2. Specific objectives................................................................................................

1.5. Research questions…………………….……….….………………………………..7

1.6. The significance of the study……. ..………………………….…………………….8

1.6.1. Policy Makers.........................................................................................................

1.6.2. Regional Construction and Housing Agency.......................................................

1.6.3. City Administration.............................................................................................

1.6.4. The General Public.................................................................................................

1.7. Scope of the study………….....……........................….……………………….…..7

1.8. Limitation of the Study.................................................................................................

1.9. Description of the study areas.........................................................................................

1.9.1. Location................................................................................................................

1.9.2. Foundation............................................................................................
1.9.3. Demography..................................................................................................
1.9.4. Physical characteristics...................................................................................
1.9.5. socio-economical characteristics....................................................................
1.9.6. Infrastructure, Housing and Services..........................................................
1.10. Organization of the proposal paper..............................................................................
2. LITERATURE REVIEW………………………………….……………………….10
2.1. Introduction….………...……..........................……………………..…….………10
 2.2. Concepts and Definition of Terms...................................................................…...11

2.3. Historical Background of Slum Upgrading…….………………....….…………..12

2.4. Recent Housing and urban development experiences …...................................….13

2.5. Participation within the context of slum upgrading………….……...….………..14

2.6. Actors and their Roles…..............................................................….…………….16

2.7. Slum-dwellers Perception of the Constraints...….....................................……….19

2.8. Neighborhood Upgrading.......................................................................................19

2.9. Conceptual Framework diagram…………………...………..……………….…...19

3. RESEARCH METHODOLOGY……….....……………....………..…….….…………22

3.1. Research Design .....….……...................................................................………… 22

3.2. Research type..........................................................................................................

3.3. Data sources …..............................................….………….......…..……….……. 24

3.4. Sampling techniques …..........................…..………………...…….….………….. 23

3.5. Methods of data analysis………………...……………...…………….…..……… 25

3.6. Definitions of variables……………......…………….…....………………………. 27

4. WORK PLAN…………………………….………….………….....…….…………… 36

5. BUDGET REQUIREMENT……………….……………….….………………….. 37

5.1. Stationary and materials…………………….…….….…………………………37

5.2. Transport cost……………………………………..…………………………….38

5.3. Personnel Costs………………….…...…………………………………………38

5.4. Miscellaneous………………….……….……………………..………………..39

5.5. Budget Summary…………….…………..………………….…….….…………

REFERENCE………………………………..........……......…………………………. XX
 Chapter one

1.0. Introduction

Slums are often economically vibrant. As different researchers indicates that the general term of
‘slum’ describes urban areas that accommodate dilapidated or run down or the worst and deteriorated
housing, predominantly by the poor. In the developing world, one out of every three people living in
the city lives in a slum (UN-Habitat, 2006/7).Today, more than 1 billion people in developing nations
live in urban slum areas, and these locales exist as marginalized spaces (Davis 2006). Indeed, the
prediction signifies that though this container, the slum situation in most developing countries,
particularly in Africa is increasing at an alarming rate is stated on (UNITED NATIONS, 2009). This
signifies little or no response to the demand for housing and basic services in African cities. Therefore,
propose reversing our understanding of urban development, taking the intricate habitat that is the slum
as the paragon of an incremental development of a city more hospitable to urban differences. The
majority are problems live in Slum dwellers in developing countries may be worse off than in rural
areas. As the same fashion our countries, including them (Robinson, 2006; Roy, 2011).

According to Ezana Haddis (2011), Ethiopia has in the base of this slum upgrading in urban Areas
facilitate or hinder affected neighborhoods participation in urban redevelopment process. The
Government has identified upgrading of slum as one of its major priorities (UN-HABITAT, 2009).
The majority of the housing units and the neighbourhoods are sub- standard and lack necessarily
infrastructure and services. To improve these situation, the city administration has been undertaken
several upgrading works, but due to same challenges it cannot cover satisfactorily all the housing units
in the neighbourhoods. Moreover, it saves the decay part of the city and preserves urban centers in
standard and keeping socioeconomic significance. So, to improve the life of the people living in the
slum in the city and simultaneously create durable economic assets, to alleviate some aspects of
poverty and address the issue of development in the urban area (Elias Yitbarek, 2008 ) in cited by
Ezana Haddis (2011).
In generally, the thesis proposal argues and evidence that all the above stated strategic approaches
have their own contribution in reduction of the slum conditions. However, it is identified that they are
not that much in prevention of new slum formation and intervention strategies to mitigate the problem
in the implementation of urban upgrading in the Kombolecha City Administration.

1.1. Background
Upgrading slum neighborhoods is to alleviate the poor living standards of slum-dwellers (United
Nations, 2006). Base of this setting which reflects many slums areas lack basic local authority services
such as the provision of safe drinking water, sanitation, wastewater and solid waste management. As
per (UN–Habitat, 2009) reports stated that slums are places where predominantly occupied by urban
poor as a cohabiting groups in a housing units that lacks one or more of the five conditions. In addition
to this, slum upgrading is used mainly for projects inspired by or engaged by the World Bank, UN–
Habitat and similar organizations. So, it is necessary to take in to consideration the details of urban
development in the developing country stated by (Koichi Miyoshi 2004, p-13). However, many people
do not believe that slum upgrading is successful. They point to the difficulties in providing the
necessary resources either in a way that is beneficial to the slum-dwellers or in a way that has long-
term effectiveness for the project (Ezana Haddis, 2011).
According to K.Narayan (2006), in the last forty years urban upgrading and revitalization strategy has
taken place all over the African cities as an effort to reverse the process of decay in urban areas and
inner city districts. However, a rapid urbanization process, lack of good national and urban policies,
inadequate housing policies, legislation and delivery systems, have led to the creation of slums and
informal settlements in urban areas (Chang, 2009; UN-HABITAT, 2003b).
This phenomenon takes advantage on an accelerating urban expansion process in which alleviating
poverty and urban upgrading facilities have been moving away from inner city locations. This process
left behind vacant land, underused or obsolete buildings that after an initial stage of abandonment have
become available for new uses, such as housing, commercial, cultural, entertainment and offices.
While, gentrification’s adverse effects of Several experience city wide has been shown that a
successful urban slum upgrading or redevelopment strategy, upgrades not only the specific area and its
surrounding neighborhoods, but in a last stage, these large-scale urban upgrading slum neighborhood
schemes bring positive effects for the city as a whole, increasing its competitive advantages in a
country's economy (Maureen Kennedy; Paul Leonard, April 2001).
In this perspective, to evidence that existing strategies in housing development of Kombolecha city
administration. In addition to this has to step behind all other cities that have already promoted the
redevelopment of slum and its squatter old urban neighborhood areas. Its surrounding neighborhoods’
are mainly occupied by residential housing for people who used to work ,and also serves as a business
center and transiting place for other regions, zones and districts (The city administration annual reports
stated 2013). Thus, the city is able to attract many people for different reasons of searching livelihoods
as well as enjoying/ seeking better lives and related activities. Over the last twenty years, as a result of
urbanization and upgrading of slum neighborhoods, most of these activities need to have a new and
high infrastructures, that is called “Up grading, Renewal, Redevelopment, Revitalization and
Regeneration of slum neighborhoods” and as well not only the inner city but also outside the inner city
district. Kombolecha City Administration was still located in the problem of urban upgrading of the
slum at the neighborhood level.

1.3. Statement of the Problem.

Slum upgrading consists of Physical, Economic, Social, Legal, Organizational and Environmental
improvements within neighborhoods Feleke,T.(2004). Currently in the FDRE there is no housing
policy that is put in place. The housing development process within the country differs from city to city
and from region to region. The slum upgrading neighborhoods strategies through/for housing
development are an integral part of the housing development policy initiatives (Abdulwasi Salih,
2009). Although the implementation process of this master plan officially begun in 1999-2000, until
now almost nothing has concretely happened, the upgrading activities lack integration for a single
slum upgrading policy and a special government organ at all levels (Lenka SOBOTOVÁ , 2009) .

According to the Annual report (2010), the Municipality of the City, and the Urban Development
office of the City Administration more than 1000 residential households in the specific study area
were affected by the slum upgrading of the City. The slum upgrading neighborhoods has influenced
the predominantly occupied communities, often leading to forced (eviction) resettlement from their
livelihood slum area without fair compensation. It's obvious that the upgrading slum neighborhoods
has an advantage for the Peri- existing urban residential communities due to high Economic value,
Access to the social services, necessary community facility and urban housing related physical
infrastructure development. Despite this opportunity, slum upgrade or redevelopment strategies are
being successes fully implemented all over the neighborhood levels (Nora Sticzay and Larissa Koch,
2015).
Moreover, as the knowledge of this problem statement is how to assess the upgrading slum
neighborhood required for provision and improvement of the housing condition of slum dwellers,
through physical condition sub-standard housing development and adequate delivery of services in the
city could be taken as the key indicators that a wide urban upgrading is necessary. This fact that leads
to the core problem of the local government’s lack of organizational capacities to give impulse to the
implementation process of integrated urban development strategy and upgrading slum neighborhood
Developmental Plan /NDP (UHDC 2011). Towards urban slum upgrading or Redevelopment – The
case of Kombolecha city administration.
1.4. Objectives of the Study

The objectives of the study comprise both the general and specific objectives as mentioned below.

1.4.1 General Objective

To Assessment of Upgrading Slum Neighborhoods Challenge and prospect: The Case of Kombolecha
City Administration.

1.4.2 Specific Objectives

This study has the following specific objectives:

1. To show the extent of housing condition of slum neighborhoods and access to the delivery
services in the study area.

2. To describe the major factors that aggravates upgrading of slum neighborhoods in the study
area.

3. To assess the contribution of different actors on upgrading of slums in Kombolecha City

 Administration.

4. To identify the socio-economic implications of slum upgrading project on the expropriated

individuals and the neighboring communities.

1.5. Research Questions

Based on the above stated core problem and research objectives, the answers to the following
questions are important to the conclusion of this study:

1. What are the extent of housing condition and the delivery services in the study area?

2. What are the major factors that challenges and prospects of upgrading slum neighborhoods in
the study area?

3. What are role of different actors on upgrading of slums in the study area?

4. How do the socio-economic implications process of expropriated individuals and the

neighboring communities?

1.6. Significance of the Study

1.6.1. Policy Makers

Urbanization and Urban slum-dweller in less developing country, like Ethiopia is an issue given due
attention by government and stockholders, This study may have main significances to give some
guide line information and may draw attention to policy makers and also to minimize Negative
implications of upgrading slum of the neighboring communities.

1.6.2. Regional Construction and Housing Agency

While, the country should have been chosen to use better national strategy policy option which have
selected within the framework of the study area slum upgrading neighborhoods and slum prevention
strategy that address in the issues of integrated. This study to solve the problems of slum upgrading
challenge and the gap between them.

1.6.3. City Administration

The slum upgrading adding value to the development of urban housing condition in the city,
environmental friendly building construction, economically feasibility to the city, beautify and livable
urban area and financial strengthening of the city.

1.6.4. The General Public

In general the spatial coverage of this study is to contribute to the development of housing related
infrastructure development within the study area special project in the city; other stakeholders take the
necessary supportive and enabling roles with the slum upgrading projects. The study may also give
academic significance for further researches on the issue. In addition to this, it can also important in
putting base line information to the next work who would like to conduct detailed and comprehensive
studies either in Kombolecha or other study area.

1.7. Scope of the study

The scope of this thesis proposal is to address its seemingly simple objectives. However, this study
will not assess the impact of the Organizational and Environmental with neighborhoods in the study
area livelihoods of the residents. It has limitations to assess factors that influence implementation of
quality housing services delivery and housing situation in Physical, Economic, Social and Legal
conditions in the inner city. With the time and budget limitation of the study are few constraints that
has restricted to the specific study area namely; Piyasa Kebele 03 and Menahariya Kebele 05
upgrading slum neighborhoods in Kombolecha city. Although the city administration is engaged in
massive upgrading slum projects in different parts of the inner-city. The sites will selected with careful
consideration of the representatively and similarity of the existing conditions of slum neighborhoods
assessment to carry out this study. This is because the characteristics of slums at different areas within
the city differ and the characteristics of slums at the same area within the city are similar.

1.8 Limitation of the Study

While carrying out shows this research proposal, the researcher will faced enormous problems which
includes money, time, low awareness on the importance of the research by the key government
officials, absence of compiled document, key officials which has unavailable in their office due to
long time meeting, elongated time to return questionnaires and not keeping the right promise time to
conduct deep interview. The last but not the least limitation has substitution of government officials by
the new one which has impact on the quality of data and increased the overall budget of the research
through will preparing questionnaires and interviews for the former and current officials.
Despite all this the researcher will designing different methods to get adequate information the former
and present Officials.

1.9. Description of the study areas

1.9.1. Location
Kombolecha city is located in northern Ethiopia, in Amhara National Regional State, South Wollo
Zone, at a distance 377 Km from Addis Ababa, and 505 Km from Bahirdar the regional capital. Its
astronomical location is 11º 06’ North Latitude and 39º 45’ East Longitude.
1.9.2. Foundation
Kombolecha city has founded during the Italian occupation in 1935-1940.it is one of the reform towns
in the region and has a city administration, municipality and 11 kebeles of which 6 are rural and 5
urban kebeles. The city has a structure plan which was prepared in 2010.
1.9.3. Demography
According to the population of Kombolecha city Based on the 2007 national census conducted by the
central statistic agency of Ethiopia (CSA), Kombolecha city has a total population of 85,367, of whom
41,968 are men and 43,399 women; 58,667 or 68.72% are urban inhabitants living in city of
Kombolecha, the rest of population is living at rural kebele around Kombolecha. The majority of the
inhabitants were Muslim, with 73.92% reporting that as their religion, while 23.44% of the population
said they practiced and 2.32% were protestant. The population growth rate at medium variant was
3.05%, while the average household size in the city was calculated to be 3.9.
1.9.4. Physical characteristics
The area of Kombolecha city administration is 524 km² and is a compact city. Its altitude is 1800-
1900m above sea level; Mean Annual Temperature 14ºC-29ºC and Mean Annual Rainfall is 989 mm.
The prevailing wind direction is from south east to east. While the principal natural constraints for the
physical expansions of the city are the mountains surrounding it in all directions
1.9.5. Socio-economical characteristics
Urban Economy and Status of the Town
The city is mainly industrial and Woreda Administration center. There are 3 manufacturing industries,
45 wholesale trades, 1780 retail trades, 21 Garages and 6 fuel stations in the city. There are also three
banks and two micro finance organizations giving service in the city.
The average annual revenue of the municipality in 2000-2004 was 6,087,194.01 Birr and the major
sources of revenue were house rent, taxes and service charges. The major investment opportunities in
the city are textile industry, tourism and hotel development.
According to CSA 2007, economic activity rate was 54.3 for sexes, 62.0 and 47.1 for males and
females respectively. The rate of unemployment in the same year was 18.3% for both sexes and the
male and female unemployment’s were 12.8 and 25.0% respectively.
Kombolecha city has economic linkages with the surrounding areas and Addis Ababa. The city gets
grain products, livestock supply, natural resources (fuel wood and charcoal) and labor from
surrounding areas and manufactured and commercial products from Addis Ababa. Manufactured
products are sent from the city to other areas.
Social and Municipal Services

Education There are 14 privately owned kindergartens; seven private and nine government a total of
16 (1-8 Grades) primary schools; and two governmental senior secondary (9-10 grade) schools; one
preparatory; one TVET; one university; one government colleges in Kombolecha city.
Health Regarding health services in Kombolecha city there are seven government health posts, and
three government health centers and 11 private clinics. One ambulance owned by the Red Cross and
another one by the town administration give service for emergency cases
Municipal Services Kombolecha city has two public meeting halls, abattoir giving slaughtering
service for both Christians and Muslim; general and cattle markets meeting twice a week on
Wednesdays and Saturdays, and one daily market. Solid waste is collected by a tractor and ten horses
drown carts and disposed in an authorized open dump site. There are 30 solid waste containers in the
city. Two MSE associations are involved in collection and disposal of solid waste. There are four
public toilets in the city and liquid waste is collected by the municipality’s vacuum truck and disposed
in authorized open dump site. 25% of the city is covered by natural greenery. There is a park with area
of 400ha, two playgrounds, and street trees planted along 5Km of the streets in the city. There are one
public library and hotels of different standards in the town. Two Rivers called Borkena and Berbere
Rivers exist in the town. Regarding religious services, there are five churches for Orthodox Christians,
four churches for Protestants and five mosques and a municipal cemetery in the city.
1.9.6. Infrastructure, Housing and Services
Regarding infrastructure the city has asphalt and gravel roads connecting it to surrounding areas and
Addis Ababa. In the town there are 4 main roads while the remaining are secondary, collector and
local roads. The distribution of roads as per the materials of construction shows that 10.89 km are
asphalt, 68 km gravel, 9.13 km cobble stone, and 24.71 km are compacted earth roads. The city gets
24 hours electric supply from the national grid, and has wireless, mobile and fixed telephone lines,
Internet services, and a postal service with 400 boxes. The main water supply source of the town is
ground water distributed through piped network. The city has closed and open ditches to discharge
storm water.
Housing According to CSA 2007 there which has a total of 15,262 housing units in the city? The
houses that have built of dominantly stone, wood and mud and Hollow Concrete Block walls,
Corrugated Iron Sheet roofing, cement and mud flooring, fabric and chip-wood ceiling. Wood, sand
and stone are available construction materials in the city.
Transport There is daily inter-urban transport service to and from 4 cities. The city has a bus station
for incoming and outgoing passengers. Regarding intra-urban transport, there are 240 Bajaj and 60
minibus taxis, 667 horses drown carts for transportation of people and 33 for transportation of goods
in the city.

Source: ministry of construction and housing development office, 2010; 2007 central statistic
agency of Ethiopia (CSA),

1.10. Organization of the proposal paper

This study focused on upgrading slum neighborhoods and its challenge and prospects in Kombolecha
City Administration. This proposal paper is organized into four chapters. The first chapter starts with
an introduction and background to the study; a statement of the problem; Research objectives, general
and specific objectives; research questions; significance of the study, scope and description of the
study; as well as limitations and conclusion of issues raised, while conducting the research are the
main components of the chapter.
 Chapter two

2.0. Review related literature

2.1. Introduction

This section of the proposal is dedicated in provision of basic definitions of slums and urban policy
responses in mitigating management challenges that are caused due to slums (i.e. upgrading and
revitalization approaches). The section also tries to describe important conceptual clarification, in
association with our research topic, of slums and how to prevent the new formation of slums and to
reduce their negative impacts in urban development. The sources for this conceptual clarifications and
operational definitions are mainly from United Nations Human settlement global reports that is
conducted in 2003, (World Bank, 2006) reports, theses dissertations and books related to the topic.
This chapter is comprised of review of the literature and discussion of the theoretical perspectives. The
study explores Assessment of upgrading slum neighborhoods. The first section of the chapter reviews
the literature on participation. While the second section presents a discussion on theory of participation
and factors that hinder effective participation.

2.2. Concepts and Definition of Terms

Slum upgrading is defined by different scholars in different ways. Some of the definitions given to
slum up grading are discussed below. There is no exclusive definition of a slum; it has as many
meanings as development scholars, studies technocrats, bureaucrats, and institutions variously explain
it. Nonetheless, during its meeting in 2010, the defined a slum as a “contiguous settlement where the
inhabitants are characterized as having inadequate infrastructure such as, housing and basic services in
the neighborhoods level “Slum is an urban or Peri‐urban neighborhood where more than half of all
households live in slum conditions, as defined by UN‐HABITAT, 2010; Elias Yitbarek 2008).

First define the word “slum” is often used to describe informal settlements within cities that have
inadequate housing and squalid, miserable living conditions.

Slums are places where by predominantly occupied by urban poor occurred in most cases in the
central and intermediate city areas in most developing countries. This signifies that there is a little or
no response to the demand increase for housing and basic service need in urban areas of sub-Saharan
Africa cities.

2.3. Historical Background of Slum Upgrading

The first decades of the 20th century saw significant changes in slum area brought by
industrialization and urbanization in the western world through major socio-economic events
and technological progress. (Akale, 1997), the most rapid and important changes occur in
urban areas in Europe and the USA, deteriorated and shanty slum areas in Europe, Russia, and the
USA and so
on.
Cities keep on growing horizontal because of its popularity as a place to live and work, and as a
center of
trade, culture, education and birth place of technological innovation (Oberai, 2003). Despite
this however, there is no consensus regarding the shape and size of a growing city.

Two major arguments of theories are forwarded as to the shape and size of cities.

The first argument states that compact cities are important features of sustainable urban
development in the future. The compact city has dominated many historic European cities and
the European Community was the strongest advocate (Burton and Williams 2003). A
compacting city entails higher density development and helps reduce demand for space and
travel distance. According to Hillman(1996), urban residents enjoy lower transport expense
and power costs. It also reduces potential farmland encroachment by urban uses and makes
most effective use of urban land.

The second argument rejects the compact city and argues that compact city is unsustainable
and unacceptable since the benefits obtained from compaction do not over weigh the losses to
the social, economic and natural environment. Stretton (1996, cited Habtu, 2009), in his study
of urban compaction in Australia argues that loss of urban consolidation is higher than losses
from extended urban settlement to the periphery and that solutions lie in reforming transport
system rather than imposing compaction to the cities.
There are others who favor neither compaction nor expansion of cities advocating for
elements from both views. This argument promotes urban regeneration strategies and new
intra-urban environmental initiatives in line with the compact city argument and favors
controlled direction of inevitable urban area to the periphery to support a full range of
facilities and to the sites that cause the least environmental damage as for the compaction
view (Breheny, 1996:, cited on Feyera, 2005). Compact city development strategy has more
recognition and is recently accepted for social and economic utilization of resources although
developing countries rarely exercise compaction.

2.4 Slum upgrading in economic perspective

Important question is what kind of upgrading solution use. There are many
upgrading solutions such as on-site upgrading, relocation, re blocking, land sharing plus
reconstruction (NHA, n.d. 2013). Since slum upgrading main purpose is to improve living standard
of the poor and secure tenure, land utilization and real estate development are not the main
concern. In general, upgrading solution from the working process will base on people not
economic oriented. Moreover, bottom up approach in slum upgrading brings slum dwellers to
be main players. Normally, NGOs and civil societies work closely with dwellers. Thus, both
are main actors in this scene as well. This working style generally allows dwellers to have
 high influence on decision of upgrading process. Solution will be drawn from community
proposal. Of course, NGOs and other stakeholders e.g. academic institute will be main advisor
for the poor decision. Do all of them think about highest and best use of that land? Do they
decide solution in economic perspective? This pro poor program is strong in social
perspective but weak in economic perspective. Due to land is the crucial resource in
economics and it is scarce, upgrading solution without concern on land deserved utilization
makes economic loss-opportunity cost on upgrading solution. This opportunity cost can be
contemplated like the cost of the country. And it may not be real benefit to slum dwellers at
the end. Let us image the case of slum in prime area, the program with government funding
allow slum dwellers to decide what they want to do in upgrading. Dwellers do not care about
the land use or economic loss-opportunity cost to develop that area as it should be. The only
intention is secure, safe, good condition place in same area. The result is in situ upgrading
without utilizing land properly. Actually, that land can be used for commercialization that
create more jobs and induce economic growth. This is loss of economic activity that should be
done. In addition, government faces with economic down turn and pressure from public to
boost up economy. Government also needs money for its budget. Fitting slum upgrading may
be tool for these purposes.

2.4. Factors that Aggravate slum upgrading neighborhoods

2.4.1. Worldwide country context....................
Major arguments of theories are forwarded as to the slum upgrading to the periphery is derived from
two sources namely urban development and urban population increase. The first source of urban
expansion to the periphery is stirred up by the ‘economic development projects’ or ‘industrialization’.
Space is needed for industry, socio-economic, infrastructure, communication and road networks that
require reorganization and redevelopment of the space already inhabited (L. San-bonmatsu, 2012) and
(Benjamin Marx, Thomas Stoker, and Tavneet Suri, 2013). This need for provision housing and
related infrastructure extended urban area to most of center urban territory that had been already
occupied by perhaps low income community. The second reason for urban expansion to the periphery
is urban population increase. Worldwide the major causes of urban expansion are a response of
different set of economic, social and political forces to the house demand of an urban area. Kivell
(2004), stated that, the forces of factors include: population growth; reclassification of land from the
rural to urban categories, strong economy; increasing housing income; fragmented municipal
governments; patterns of infrastructure investment; public sub-divisions of infrastructure investment
and the construction of roads In industrialized countries such as Europe, the cause of upgrading slum
area is different from developing countries. For example, most European countries like France,
Sweden are experienced compacted and high rise development, whereas in developing countries like
Ethiopia does not hold true.

2.4.2. Developing countries context........................

According to, Angle (2005) states that upgrading the slum area taking place . Unlike the developed
world the driving force for urbanization in developing countries are because of population dynamics.
For example, in Kampala Uganda, Lwasa (2002), in the first instance population dynamics manifested
in urban population growth and rural-to-urban migration are by far the most significant driving force
of creation slum area at neighborhood level in Kampala. World Bank (2004) report indicated that in
the middle of 1990s the world population was assumed to be 5.8 billion, which the United Nations
estimated more than 6.5 billion at the end of 1990s. By the year 2025 it is assumed to reach 8.5 billion
of which over 84% live in developing countries. The report of United Nation Population Division
(2002), indicates that North Africa is the most urbanized sub region with an average urban population
of 54% followed by West Africa (40%), South Africa (39%), Central Africa (36%) and the Western
India Ocean Island (32%), the least urbanized sub region in the continent of East Africa.

2.4.3. Ethiopia context........................

when Ethiopia has found with in only 23% of the population living in cities and towns. The report of
stated Ethiopia's population has grown from 33.5 million in 1983 to 75.1 million in 2006. UN (2008),
the population was only about 9 million in the 19th century. The 2007 Population and Housing Census
result show that the population of Ethiopia grew at an average annual rate of 2.6 % between 1994 and
2007. Therefore; from the empirical studies population growth and urbanization are the major driving
force of creation slum area in developing countries. The rate of population growth in developing
country is very high as compared to developed countries. The major factors for unbalance between
population growth and the demand of housing in the inner city:

2.6. Participation within the context of slum upgrading

Arguments for the use of participatory methods in slum upgrading are receiving increased attention
both locally and internationally (Arcila, 2008). While participation could be moral or amoral; it is seen
as an exercise where people may choose to participate or not to participate (El-Gack, 2007).
Definitions and concepts of participation in slum upgrading have evolved over time. Their origin can
be trace back to the 1950s and 60s when there were community and popular participation promoted by
mainly Non Governmental Organizations (NGOs). In the late 1970s into early 80s multilateral
organizations such as International Labor Organization (ILO) and United Nations Research Institute
for Social Development (UNRISD) also started promoting people’s participation in development
programmer (El-Gack, 2007). In the context of slum upgrading plans, participation is understood as a
“process in which people, and especially disadvantaged people, influence resource allocation and the
planning and implementation of policies and programs, and are involved at different levels and degree
of intensity in the identification, timing, planning, design, implementation, evaluation, and post
implementation stage of development projects” (Majale, 2008). This implies that participatory
approaches should above all ensure that those most affected by a policy are heard, and been used to
increase transparency and deliberation in different phases of policy development.

2.7. Actors and their Roles

The main actors in urban development in Kombolecha city today are the government, NGO’s, CBO's
and the private developer. The government plays the role of regulator and supplier of land and
financial loans to investors. The government has been instrumental in the transformation of the city be
it in road building or the construction of housing. An equally important role is being played by the
private developer. But efforts here are concerned with profit making not improvement in the living
condition of the urban poor when it comes to improvement efforts targeting the urban poor the role of
nongovernmental organizations stands out from among the rest. Some exemplary work has been done
by NGOs working in the city level. To mention a few; CARE, CONCERN, REDD-BARNA,
IHA/UDP, AND EECMY. From among these the work of IHA/UDP (Integrated Holistic Approach
for Urban Development Projects) has been quite successful. This is as a result of their belief that
provision of physical amenities will not be enough to ensure the continued Government attention to
urban development is a recent phenomenon. Health of communities care is another NGO whose
presence can be felt in most parts of the city. Without significant changes to municipalities’ approach
to basic infrastructure and service provision, urbanization will continue to outpaced government
capacity to provide adequate infrastructure and services in urban areas. They are especially concerned
with the improvement of urban services through local roads rehabilitation and provision of communal
sanitary services in some of the most dilapidated areas. The role of international financiers that foster
projects for urban improvements should not be forgotten (Acioly Claudio, 2007).

2.8. Slum-dwellers Perception of the Constraints

The subsistence slum-dwellers indicated the major obstacles hindering them from increasing housing
productions. Most cities are in countries in which poverty is endemic, urban infrastructure is absent,
and housing is inadequate overall. According to Ananya Roy and Nezaral Sayyad, (2004) stated that,
the lack of basic services in slum cities cannot be attributed only to the informality of the settlements –
indeed, entire cities cannot comprise “slum” residents – but are rather an outgrowth of inadequate
planning, construction and social services. Where governments have not provided adequate urban
infrastructure, cities may become more and more deeply mired in the pollution, disease and social ills
emanating from undeserved areas (Koenig 2009) & (Field and Kremer, 2006; Bayer et al., 2008). The
major contributing factor of slum-dweller lacking at least one element of adequate shelter or where
that have adequate shelter are located in areas that are generally deprived. UN-HABITAT, 2011
investigated the reasons why slum-dweller did not upgrade an area and further study that have more
expensiveness, unacceptable and lack of awareness were the most important factors in determining the
decision not to adopt the slum (Elias Yitbarek 2008).

2.9. Recent Housing and urban development experiences

In Ethiopia, there had not been a full-fledged urban development policy before 2005. The recently
ratified urban development policy of Ethiopia envisages addressing the various urban challenges of the
present day Ethiopia through the creation of multi centered national urban system (UN-Habitat, 2007).
As a policy issue, the housing problem has been given due consideration. The policy underlines the
need for mixing the different income groups and urban functions with a view of creating balanced
economic development in urban and rural areas of the country. Nonetheless, the national urban
development policy shows little concern for upgrading slum. Organizations like the UN-Habitat doubt
the comprehensiveness of the policy.
Following the ratification of the national urban development policy in March 2009, the city
Administration of Kombolecha has been gazed at the ever escalating housing problem by designing a
five years housing development program me, which aims at tackling the housing shortage through
construction of low cost buildings (condominium houses) and encourage real estate developers (Tsion,
2007 in Grundström & Jere, pp. 329-330). As an extension of the 2009 Kombolecha structural Plan
proposal, there are some initial works in various parts of the city targeting the housing problem
through building ‘new houses in expansion areas, redevelopment, in-fill or densification strategies in
the city core and intermediate area’( Zelalem, 2007 in Grundström & Jere, p. 248). Nonetheless,
studies conducted to date on recent developments related to the afford ability of condominium houses,
impact of housing and urban development induced displacement and resettlement doubt the
sustainability of such programs (Berhanu, 2006; Tebarek, 2006; Nesru, 2007).

Neighborhood Upgrading
According to, David P. Varady social science-1986 - 184 Page explain that; Neighborhood
Upgrading examines the effectiveness of government-subsidized housing rehabilitation programs in
reversing patterns of neighborhood decline. Varady takes a realistic look at the dilemma facing policy
planners attempting to effect changes on a local level. His is the first study to assess the impact of
neighborhood ethnic and social class changes on mobility and investment decisions. There has been
little empirical research on neighborhood upgrading where improvement results from the efforts of
existing residents aides by government assistance. Varady' study makes a major contribution in
illuminating the variables of this process. Focusing on the U.S. Department of Housing and Urban
Development's Urban Homesteading Demonstration (UHD), he presents disturbing findings that are
applicable to other neighborhood preservation programs such as the Neighborhood Housing Service
(NHS) and the Community Development Block Grant Program. He argues that the future success of
such programs lies in the ability of planners and policy makers to develop and implement policies
addressing the issues that cause neighborhood decline--poverty, crime, and discrimination.

2.9. Conceptual Framework diagram

Chapter Three

3. Research Methodology

3.1 Research Design

The research design is the arrangement of conditions for collection and analysis of data in a manner
that will aims to combine relevance to the research purpose with economy in procedures. In fact, the
research design is the conceptual structure within which will conduct the research. Hence, it is
essential since it facilitates the smooth sailing of the various research operations there by making
research as efficient as well as possible yielding in maximal information with minimal expenditure of
efforts, time and money (Kothari, 2007).
3.2 Data Types

Data for this study will used to both qualitative and quantitative in nature. A mixed research method
which will be favor over purely qualitative or quantitative because the focus here is the problem and
searching the solution to the problem, which has the central issue of the study. In short mixed research
method has been employing since it permits the researcher to easily get information from both
qualitative and quantitative data for a better understanding of the problems. Besides, recognizing that
all methods have some short comings, the use of both qualitative and quantitative will to ensure that
biases inherent in either method will be neutralize by the strength of the other.

3.3 Research approach

In the study, both qualitative and quantitative approaches used. The qualitative approach used to
describe current activities, intentions and perspective of different concerned bodies in relation to the
effect of urban upgrading on the provision and management of basic infrastructure. The quantitative
approach might be also select to which will collect measurable data such as degree of upgrading,
amount of urban land encroach, number of displaced slum-dwellers, type and number of basic
infrastructure needed because of upgrading and the situation of the current housing and related
infrastructures.

3.4 Research Methods

First of all the this research methods will target selecting key informants and then focuses on
investigating key driving forces for the current inner city slum-dwellers, assess its effect on
infrastructure provision and management process of the local governors, role of community for
combating slum area and the overall setup of housing and related infrastructure development in the
city.

3.4.1 Research Techniques

Data which will collect from both primary and secondary sources through questionnaires, interviews
and field observation. The information gathered will analyze and interpreted using statistical tools
such as tables and percentages.

3.4.2 Sample Design

Sample: it is a specimen or part of a whole population, which will have drawn to show what the rest it
like. Selecting the researcher sample will have very important and a great care taking when will
choose the type of sample design.

3.4.3 Population or Universe

Based on the 2007 Census conducted by the Central Statistical Agency of Ethiopia (CSA),
Kombolecha city administration which has a total population of 58,667 with estimated family size of
3.9 (CSA, 2007). Therefore, the universe which is 58,667 people with 15,262 households.
3.4.4 Sampling Frame

Dividing the population by family size (i.e., 58,667/5=11,733.4) which implies that Kombolecha city

An ad 15,262 household which is the sampling frame.

3.4.5 Sampling Unit

Since number of population which will not evenly distributed among two kebeles, (kebele 03 13,000
kebele 05 8,000) and the household of each kebele are 2,600, 1,600 and 3,000 respectively and the
sampling unit for each kebele would be different. Kombolecha city consists of 7,200 households
which has the sampling unit of the research.

3.4. Sampling Techniques

The sampling techniques describe the population of interest, the sampling frame, methods of selecting
the sample, and the sample itself.. So it will be essential to select slum neighborhood areas purposively
than the other areas. Among the slum neighborhood in the city, selection of sample households will be
done using simple random technique. For this study the researcher will used both random sampling
and purposive sampling of probability sampling and non probability sampling respectively. This will
be explained below in the following manner. First to select the sample of primary school teachers of
Kombolecha city, the researcher considered the following ways of selecting sample of social science
research.

In general, social science research formula can be used to determine the sample size, driven by (C.R.
Kothari (2004); set formula to specifying margin of error. Hence by considering the level of
acceptable error at 7%, the sample size required for this research will be determined by using the
following formula:

1. If N ≥ 10,000 then, sample size n = z²pq

d²
2. If N < 10,000 then, sample size fn = n
1+n
N
Where N=population size
n = desired sample size, Z = at 93% confidence level which is 1.81
P = estimated characteristics of target population; q = 1-p
d = level of significance test (7%) margin error
Therefore, proportion of group of society is 0.50, the Z statics is 1.81 and the desired accuracy at the
0.07 level, then the sample size for the population greater than 10,000 would be:
n = z²pq where Z = 1.81 p = 0.5 q = 1-p d = 0.07
d²
n = (1.81)² (0.5) × (0.5) = 167.14
(0.07) ²
≈ 167 For N ≥10,000. Since, the sample population of 6,105 which is less than 10,000; the following
formula will be applied to determine the sample size of clients.
Total population of Kombolecha city which has 85,367; while 58,667 or 68.72% are urban inhabitants
living in city of Kombolecha, the rest of population is living at ruralkebeles around Kombolecha.
According to CSA 2007, a total of housing units in the city was 15,262; average household size in the
city was calculated to be 3.9
fn = n Therefore = 6,105 and n = 167, then the sample become calculated:
1+ n
N
= 167 n = 163 ≈ selected from entire population
1+167
6,105
Therefore, n = 163 which has the minimum sample size of households for reliable results. Finally, by
using proportional allocation method the researcher will be deciding to take sample households from
selected kebeles. City Administration municipal office 2, Construction and Housing development
office 6, Economic and Finance office 2, City Administration Health office 2, Selected kebeles
Administration office 2 and representatives of the community 2 i.e. (Equb and Idir leaders), City
Administration council 1 and kebeles Administration council 2 in the study area which is totally 182
will be the sample size for the study.

Source: Kombolecha city construction and housing development office, 2011

3.5. Data Collection Method

A number of data collection methods which will employed as discussed below.

3.5.1. Questionnaire

To gather primary data during the study, the structured questionnaires is first preparing in English but
later it translated in to Amharic (local language) for the local people for making it easily understand to
samples? Hence, after preparation, around 10 questionnaires which will randomly distributed as
pretest in order to correct unclear and misleading questionnaire management. Data have been collected
mainly by distributing questionnaire that contain both close and open ended questions. The
questionnaires has mainly for the valuable information for the study will gathered from primary
existing slum-dwellers (residents), City Administration municipal office, Construction and Housing
development office, Economic and Finance office, Health office, Selected kebeles Administration
office and representatives of the community i.e. (Equb and Idir leaders) city and kebeles council. A
purposive sampling design will be employed in selecting survey sites, besides slum-dwellers
improvement extension promotion has been carried out only in existing slum dwellers and low income
society at neighborhoods level in general.

3.5.2. Interview
As it provides richer information while collecting data, interview will has conducted to City
Administration municipal office, Construction and Housing development office, Economic and
Finance office, Health office, Selected kebeles Administration office and representatives of the
community i.e. (Equb and Idir leaders) city and kebeles council. The structured interview which will
have frame to all respondents to be provided with valuable information on the upgrading slum
neighborhoods in the study area.

3.5.3. Observation and Photographing

The other data collection method will conduct which in this study has observation of the existing
situation of the selected inner city slum area as a sample on the upgrading slum neighborhoods in the
city. The researcher which will observe and took photographs around the study area to describe and
give more visualization on the slum area existing situation. The photographs are more expressing than
raw data and it gave more insights toward what the study area looks like. It has used to get tangible
data on the situations of slum-dweller and inner city upgrading slum neighborhoods will take to
sample photographs during site observation by the researcher.

3.6 Data Analysis

The method of data analysis has according to the nature of data that is qualitative or quantitative. The
qualitative data which will have interpret using quotations and discussions. The quantitative data on
the other hand has been presented using percentages, tables, graphs and charts.

3.7. Definitions of variables

Annex. 1. Time Table (Schedule) for the Research

This research will be finalized almost with in the coming Five months starting from 2 nd September,
2015 to January 2016. The time table breakdown is shown in the next table (Table.1).
Table 1: Time line of Activities of the Research
No Activity Time Flow
Feb. Ma Ap M Ju Se O No Dec.
1 Preliminary survey of literatures and title
approval
2 Literature review and Refinement of title
3 Design of the research methodology
4 Developing data collection instruments
5 Preparation of other data collection
6 Submission of first draft proposal
7 Submission of final proposal
8 Data collection
9 Data organization and analysis
1 Submission of the first draft
1 Second draft submission
1 Submission of final thesis & defense
1 Contact with advisor
 2. Annex. 2. Budget Breakdown
The estimated cost for this research will be ETB 16,051:00 the cost is allocated for expense of three
major categories namely for stationery materials and equipments cost and per-diem and related costs.
The breakdown of the cost is presented in the next table (Table.2).
Table 2; Budget Breakdown of Activities of the Research.
o
N . Description Unit qua Unit Total cost Remark
ntity cost
Stationary material and equipments and Secretary Fees
1 Pen No 5 20:oo 100:00
3 Lid Pack 100:00
4 Note pad No 2 75:00 150:00
5 Duplicating paper Rim 2000 00:50 1000:00
6 Digital camera No 1 3000:0 3000:00
7 Questionnaire print fee Page 300 00:50 500:00 Add written cost
8 Questionnaire print fee Page 300 00:50 1500:00 Add written and
10 First draft proposal print fee Page 38 00:50 150:00 Add written cost
11 Second draft proposal print fee Pages 38 00:50 150:00 Add written cost
12 Proposal final draft print fee Page 38 00:50 150:00 Add written cost
13 Thesis first draft print fee Page 68 00:50 500:00 Add written cost
14 Thesis second draft print fee Page 72 00:50 500:00 Add written cost
15 Thesis final draft print Page 75 00:50 500:00 Add written cost
16 Mobile card Number 10 50:00 500:00
17 Line paper ream 2 70:00 140:00
18 Square paper ream 1 55:00 55:00
19 A4 paper ream 3 90:00 270:00
20 Stapler pieces 1 70:00 70:00
21 Writing pad pieces 4 45:00 180:00
22 Correction fluid pieces 2 18:00 36:00
Sub Total 9,551:00
Personal Costs
1 Per-dim for the researcher labor 4000:00
during data collection day
2 Transport fee labor 2000:00
3 House rent day
1 month 500:00
Sub-Total 6500:00
Grand Total Budget Required 16,051:00

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Appendices

Annex-I Part one

1. Questionnaire addressed to the respondent of slum-dwellers. Urban Management Masters

Program.

Topic: Assessment of Upgrading Slum Neighborhoods Challenge and prospect: The Case of
Kombolecha City Administration.

Dear Respondents

The objective of this questionnaire is to Assessment of Upgrading Slum Neighborhoods Challenge and
prospect in Kombolecha City Administration. Thus you are kindly requested to fill the following
questionnaires (open and close ended) objectively this is because your response is highly requested
better understanding the extent to which the issue raised. Your invaluable and genuine responses and
cooperation are pivotal for the study to be materialized. I would like to assure that all the data
collected will be kept confidentially and used for academic purpose only.

Thank you in advance for your cooperation!!

Instruction

Put a tick ( ) mark in the box regarding the choices of your personal information and circle the letter
of your choice for close ended question and write down your opinion for the open ended questions on
the space provided. In some case more than one answers possible.
I. Background of the Respondents
1.1. Name of the respondent (if willing) ____________
1.2 Age: __________
1.3 Sex Male Female
1.4 Marital Status: Single Married Widowed Divorced

1.5. Head of family Male Female

1.6. Family size A. Male-------------- B. Female---------------- C. Total----------------

17. Level of education: Illiterate Read and write Primary (1-6)

Junior (7-8) Secondary (9-12) Above 12

For objective one and three (Trend of upgrading slum neighborhoods and its implications)
1. Does the city expand to the slum neighborhoods area? A. Yes B. No
2. If your answer for No. 1 is “Yes”. Are you benefited from your slum area house condition due to
the conversion of upgrading to urban house development? A. Yes B. No
3. If your answer for No. 2 is yes; are you aware of the urban housing development program in your
vicinity? A. Yes B. No
4. If yes, how? A. Through mass orientation B. Through formal training or seminar C. If
other-----------------------------------------------
5. What was your reaction when you were asked to move from your previous possession residential
slum area? A. Through agreement B. Through forced to leave C. If other--------------------
6. How did you get the information in upgrading slum neighborhoods from the city administration?
A. Official letter B. Orally C. Informally D. if others, specify ------
7. During you were asked to leave your slum area; what benefit promised to be allotted to you? A.
Compensation in cash B. Compensation in kind C. In both D. If other --------
8. Did you get compensation for the expropriated of your slum residential area?
A. Yes B. No
9. If your answer for question No. 8 is No, what is the reason? Specify-------------------------
10. If your answer for question No. 8 is yes, in what form?
A. In cash B. In kind C. In both D. If others, mention---------
11. If your answer for question No. 8 is yes, what is your opinion about the amount of compensation?
A. more satisfied B. Satisfied C. Dissatisfied D. More dissatisfied
12. If your answer for question No. 10 is in cash, did you get awareness or training how to manage or
use the compensation cash? A. Yes B. No
13. If your answer for question No. 12 is yes; By whom institution describe
it?------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------
14. If your answer for question No. 12 is yes; in which of the following training did you attended?
A. Own business development and management
B. Financial management
C. Basic skill training and Technical training for livelihood means
d. If others please describe it--------------------------------------------------------
15. Are you exposed for problems due to expropriation of your upgrading slum residential area?
A. Yes B. No
16. If your answer for question No. 15 is yes; what are the problems you exposed?
A. Separation from parents B. Unemployment
C. Poverty D. Migration to the city
E. Specify if others------------------------------------
17. Due to your slum shanty house converted to the livable house; did you change your original living
place? A. Yes B. No
18. If your answer for question No. 17 is yes; where are you living now?
A. In the original B. In the other place C. out of the city D. If
other---------------------
19. When displaced from your slum area, did you get job opportunity for your survival?
A. Yes B. No
20. If your answer for question No. 19 is yes; what type of job do you have now?
A. permanent B. Temporary C. Daily labor D. Guarding E. If others-----------
21. How do you rate the current income compared with the income from the slum neighborhood?
A. High B. satisfactory C. Low D. Very low
22. Do you exposed for challenges migrating to the city due to loss of your livelihood
Slum neighborhoods fruit? A. Yes B. No
23. If your answer for question No. 22 is yes; what are the challenges you faced? Please
Clearly specify in related of socially and economically in the following space
A.
Economically----------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------
B.
Socially-----------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------

Annex-II Part Two

2. Questionnaires to be filled by sample household of the neighborhood slum-dwellers
community those who now under the city administration due to the urban Housing development
programmer of the city.

Instruction
Put a tick ( ) mark in the box regarding the choices of your personal information and circle the letter
of your choice for close ended question and write down your opinion for the open ended questions on
the space provided. In some case more than one answers possible.
II. Background of the Respondents
2.1. Kebele ____________
2.2. Age: __________
2.3 Sex: Male Female
2.4 Marital Status: Single Married Widowed Divorced
2.5. Head of family Male Female
2.6. Family size A. Male----------- B. Female---------- C. Total---------------
2.7. Level of education: Illiterate Junior Read and write Primary (1-6)
Secondary (7-8) Secondary (9-12) above 12
For objective one and two (Trend of upgrading slum neighborhoods and it’s aggravate factors of
slum area)
1. Do you know upgrading slum neighborhoods to other types of relatively livable housing
construction in the city? A. Yes B. No
2. If your answer for number 1 is “Yes”; for what purpose largely changed?
A. Residential B. Commercial C. Industrial D. If other----------
3. What do you think about the trend of upgrading slum area in the city?
A. Increased from time to time B. Decreased
C. No change D. I don't know
4. If your answer for No. 3 is “increased”; what do you think the driving factor for
Converting the slum-dwellers and place for the urban area?
A. Natural population growth. B. Migration from rural to urban
C. Increasing demand of house. D. All may be the factors.

Objective Three (Implications of upgrading slum neighborhoods)

5. Now you are under the city administration; did you lose your slum area?
A. Yes B. No
6. Are there any new cost of life you exposed in the city as compared to the livelihood in Housing
construction activities? A. Yes B. No
7. If your answer for No. 6 is yes; which cost is difficult for you?
A. House rent B. Purchasing food items C. Transport cost D. all F. if others----
8. Because of including your settlements under the city administration; how do you see the access of the
following services?
Adequate Not adequate
1. Road
2. Electricity
3. Water supply
4. Credit service
5. Telephone
6. Market
7. School
8. Health center
9. Municipal Refuse collection

10. How do you see the access of solid waste management in your kebele?
A. Adequate B. Not adequate C. Not at all
11. If your answer for No. '10' is 'Not adequate' where do you remove the solid waste?
A. To the river B. Open space C. At the drainage D. In all mentioned
12. What are the consequences of poor solid waste management in your kebele?
A. Air pollution B. Threatening water quality C. If other---------
13. Does the change of slum area or encroachment upgrade old housing to urban area advantages that
have an implication on the neighboring slum residents? A. Yes B. No
14. If your answer for No. '13' is yes; what do think the effects?
A. Positive implications B. Negative implications C. Both
15. If your answer for No. '14' is both; what do you think the positive implications?
A. Access to livable Housing B. Access to employment opportunity
C. Access to basic municipal services D. if other-------------------------------------
16. For No. 15; what do you think the negative effect?
A. Loss of basic municipal services.
B. Accesses to Poverty and Conflicts between slum-dwellers.
C. Inappropriate solid waste management and related problems.
D. If others-----------------------------------------------------------
17. Do you believe that the project has achieved its objective of improving the housing?
Condition of the slum neighborhoods project area, especially for the people who have similar housing
tenure Status as your?
A. 5. Highly effective, 4. Sufficiently effective 3. Fairly effective. Less effective 1.Least effective
B. Why? Explain by giving example
18. Does the housing condition of the group of people that shares similar housing tenure in
Inner city of the project site?

Annex-III Part Three

3. Questionnaires to be filled by experts of the City Administration municipality offices

III. Background of the Respondents

3.1. Name respondents (if willing) ____________

3.2. Age: __________

3.3 Sex: Male Female

3.4 Marital Status: Single Married Widowed

3.5. Level of education: Certificate Diploma Divorced

Degree 2nd degree and above

III. Below are questions related different issues. Therefore, you are expected to complete by making
circle the letter or in the blank space. In some case more than one answers possible.

For objective one (Trend of upgrading slum neighborhoods and it’s aggravate factors of slum
area)

1. Is there upgrading slum neighborhoods in the city? A. Yes B. No

2. If your answer for No. '2' is Yes, What do you think about the trend of slum area in the city?

A. Increased from time to time B. Decreased C. No change D. I don't know

3. Which slum area unites show strong challenge to upgrade?

A. Low-income slum-dwellers B. Middle-income slum-dwellers C. High-

income slum-dwellers D. If other---------------------------

4. What are the driving factors for the creation slum area in the city?

A. Population growth. B. Increase the demand of House.

C. Expansion of micro and small enterprises (cooperatives) D. All

E. If others----------------

5. How do you measure the rural-urban migration in the city?

A. Very high B. High C. Moderate D. Low

6. Do you think the rural-urban migration have contribution for the creation slum area?

A. Yes B. No

7. What do you think the driving force of migration to the city?

A. Job opportunity B. Educational opportunity C. Drought and famine D. if others----------

For objective three (Implications of up grading slum neighborhoods)

8. Are there slum-dwellers who are expropriated of their slum neighborhoods area for the city?
A. Yes B. No

9. If your answer for question No. 8 is yes; what was the reaction of the slum-dwellers during
expropriated their upgrading slum neighborhoods area?

A. Positive reaction B. Negative reaction C. If other discuss-------------

10. How do you see the compensation either in cash or in kind for the evicted slum- dwellers?

A. Very satisfactory B. Satisfactory C. Dissatisfactory D. If others----------

11. Did the evicted slum-dwellers invest the received compensation in value add business?
A. Yes B. No

12. If your answer is yes, list the type of business/investment---------------------

13. Did your institution give trained for the displaced and received compensation slum-dwellers to
invest their compensation in value add business? A. Yes B. No

14. If your answer is Yes, What type of training did they get? ----------------------------

Annex-IV Part Four

Interview Guides

The interview was designed to gather available information from the city Mayor, the municipality
manager as well as other supportive administration in regarding to the direct relation between
implications of upgrading slum neighborhoods area on the socio-economic conditions of the city slum-
dwellers.

IV. Background of the Respondents

4.1. Name respondent ____________

4. Position------------------------

4.2. Age: __________

4.3 Sex: --------------------------

4.4 Marital Status: -----------------------

4.5. Level of education: ---------------------

1. Interview Guides for Manager of the Municipality

For the three objectives

1. Is the city expanded to the slum area at the expense of the house rent?

2. If your answer is Yes, Which slum area unites show strong challenge to upgrade? What the reason?

3. What factors have contributed to the changing of slum area in the city towards the Housing
development program?

4. In your opinion, do you think the conversion of upgrading slum neighborhoods to the urban area
which have its implication on the Housing development program?

5. If you’re Yes, Please discus its positive and negative implications on the socio-economic conditions
of the slum-dwellers Housing development program.

A) Positive implications-----------------------------------------------------------------------

---------------------------------------------------------------------------------------------.

B) Negative implications----------------------------------------------------------------------

---------------------------------------------------------------------------------------------

6. How do you see the compensation for the evicted slum-dwellers? Do you think that it is
satisfactory? If your answer is No, what the reason?

2. Interview Guides for the Mayor

For the all objectives

1. What are the driving forces of upgrading slum area towards the neighboring slum-dwellers
community?

2. What challenges are faced during the expropriated the slum-dwellers due to the upgrading the
Housing condition of the city relatively livable?

3. What do you think the main reason for the unfairness of compensation for the displaced slum-
dwellers in the Peri-existing slum area? Discus

4. How do you see the livelihood conditions of the evicted Peri- existing slum-dwellers in terms of
socially and economically? Discus:

Economically----------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------.

Socially-----------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------.
5. If improving the housing condition is one of the driving forces of the redevelopment Process, what
have you planned for the low income people who live in the Kebele who cannot afford to pay down
payment for condominium houses?

a. Have you thought of cross-subsidization?

6. What roles have played the cities which are collaboration woreda administration and the regional
government in improving the livelihood of the affected Peri-existing slum-dwellers due to the shifting
of poor living standard to the minimum housing requirement of livable city?

7. In your opinion, what suggestions forward for the city planners and the policy makers towards
improving the socio-economic and livelihoods as well as relocation assistance of the affected slum-
dwellers due to the out ward growth of the inner city on the neighboring slum area?

3. Interview Guides for the City Council and officials

Administrative Level

Position: ________________

The following list of questions will be used as a starting point for key informant interviews of Council
and District Level Officials. In each question the researcher probes using a follow up Questions for
explanation.

For the third objectives (Implications of upgrading slum neighborhoods).

1. Due to different development activities slum-dwellers in the peri-existing slum area displaced from
their new construction of house in the inner city. Did these slum-dwellers all of them get/paid
compensation?

2. If your answer is No, what the reason for those they did not get?

3. What challenges and problems happened during encroachment of the upgrading slum
neighborhoods area in to the city administration?

4. In your opinion, what are the implications of upgrading slum neighborhoods or the conversion of
new construction housing to the city on neighboring slum-dwellers community benefits? Discus the
positive and negative Implications----------------------------------------------------------

5. How do you see the socio-economic conditions of the displaced slum-dwellers as compared with
their livelihood in the previous existing slum area with relative the current situation?

Educational Background:

- M.Sc. In Urban management; Ethiopian Civil Service University Addis Ababa, December, 2016
- B.A. in Accounting and finance applied Study, from Nazareth Tecnlogycal university, (Adama

University), July11, 1999

Contact Address:

P.O. Box: 4856, Addis Ababa, Ethiopia

Mobile Tel.: 251 (0) 912 28 89 44 / or 251 (0) 929 28 48 97

E-mail: nuruhussienseid902@gmail.com; nuruhussienseid902@yahoo.com

Current Website: www.ecsu.edu.et

Ethiopian Civil Service University