CH6- Miscellaneous: Squatter Settlement etc.

(3 hrs)
 
Origin, growth, problems, planning issues.
Squatter Settlement
A squatter settlement can be defined as a residential area which has developed without legal
claims to the land and/or permission from the concerned authorities to build; as a result of their
illegal or semi-legal status, infrastructure and services are usually inadequate. There are
essentially three defining characteristics that helps us understand squatter settlement:
• The physical,
• The social and
• The legal with the reasons behind them being interrelated.
Squatter Settlement (Characteristics)
Physical Characteristics
• A squatter settlement, due to its inherent "non-legal" status, has services and infrastructure below the
"adequate" or minimum levels.
• Such services are both network and social infrastructure, like water supply, sanitation, electricity, roads
and drainage; schools, health centres, market places etc.
• Water supply, for example, to individual households may be absent, or a few public or community stand
pipes may have been provided, using either the city networks, or a hand pump itself.
• Informal networks for the supply of water may also be in place. Similar arrangements may be made for
electricity, drainage, toilet facilities etc. with little dependence on public authorities or formal channels.
Squatter Settlement (Characteristics)
Social Characteristics:
• Most squatter settlement households belong to the lower income group, either working as wage labour or
in various informal sector enterprises.
• On an average, most earn wages at or near the minimum wage level.
• But household income levels can also be high due to many income earners and part-time jobs. Squatters
are predominantly migrants, either rural-urban or urban-urban.
• But many are also second or third generation squatters.
Legal Characteristics:
• The key characteristic that delineates a squatter settlement is its lack of ownership of the land parcel on
which they have built their house.
• These could be vacant government or public land, or marginal land parcels like railway setbacks or
"undesirable" marshy land.
• Thus when the land is not under "productive" use by the owner, it is appropriated by a squatter for
building a house.
• It has to be noted here that in many parts of Asia, a land owner may "rent" out his land for a nominal fee
to a family or families, with an informal or quasi-legal arrangement, which is not however valid under
law.
Squatter Settlement
The Development Process of a Squatter Settlement
• The key question to be asked here is why do people squat?
• There are two reasons for this: one is internal to the squatter, and the other is external.
• Internal reasons include, lack of collateral assets; lack of savings and other financial assets; daily
wage/low-income jobs (which in many cases are semi-permanent or temporary).
• External reasons include, high cost of land and other housing services; apathy and anti-pathy on the part
of the government to assist them; high "acceptable" building standards and rules and regulations;
loopsided planning and zoning legislation.
• These reasons leave no option for the low-income householder to squat on a vacant piece of land.
• The actual squatting is done either by a "slum lord" or simply a initial small group of core squatters .
The slum lord appropriates a piece of vacant land, subdivides it and "sells" it to various households for
the purpose of building a house.
• Services like water-supply or electricity may be provided either by this person or by the organization of
the squatters, usually at the community level.
• The core group squatters are a small number of families who, almost overnight, occupy a piece of land
and build a rudimentary and temporary shelter.
Squatter Settlement
The Development Process of a Squatter Settlement
• Later, depending on the degree of threat of eviction, this may be upgraded to a permanent and more
families may join this group.
• There are two distinct processes involved in the formation of a settlement;
1.Organic Processes
The organic process refers to the forces and pressures which are initiated from within the settlement and
squatter. They evolve naturally, without any outside intervention and using internal resources of the
family or settlement for development, such as labour, locally available materials etc.
2.Induced Processes
• The induced process refers to the "inducement" set up by agencies and organizations which are external
to the settlement.
• Operating with objectives and goals on a larger, city-wide scale, they initiate programmes and projects
for the overall development of the settlement.
Both these put together act on the growth of a squatter settlement, through a series of consolidative
stages of development. These stages are conclusive in their outcome, in the sense that they represent a
continuum with one stage or process overlapping and even running parallel to each other. They are
also cumulative in their effects and not exclusive.
Squatter Settlement (Merits)
• Owners are very much involved in the construction
• It is affordable and suited to the needs of the owner
• Waste materials are used as building materials
• Strong community feeling in the provision of basic services
• Provides income earning opportunities to unfavorable personal characteristics
• Acts as secondary Labour market
• Offers a means to subsistence for recent migrants
• Represents a stop-gap arrangement for its participants
• Acts as supplier of cheap labour
Squatter Settlement (Demerits)
• It creates slum conditions in the city
• Substandard living condition directly affects quality of life
• The lives of the occupants are at risks due to substandard construction
• Cost recovery of the basic services are difficult
• Tenure ship of the plot is always at risk
• Often occupies natural disaster prone areas which further accentuated by man made risk
(congested housing- risk of fire and disease)
• Deteriorates the city aesthetics
• Difficult to solve the planning issue
Squatter Settlement
Approaches towards a squatter settlement.
• Considering the magnitude and scale of the housing deficit and the lack of concerted action or
inadequate response of government agencies, there is no doubt of the positive role that squatter housing
plays in housing the millions of poor families.
• The main question of land ownership and overutilized infrastructure and services will, however, always
remain unanswered.
• Successive generation of governments have recognized this and a number of approaches have been
adopted in finding a solution to the dilemma of squatting.
• The two popular approaches used by the public authorities have been;
1.Settlement Upgradation
Settlement upgradation has been an option where a compromise has been reached by the land owner and
on a sharing basis, the squatter has been allowed to continue on the land parcel, but with a significant
upgradation of the settlement's infrastructure and services, including, in some cases, land leases or
ownerships.
Squatter Settlement
Approaches towards a squatter settlement.
2.Sites-and-services.
• Where land compromises or sharing has not been possible, the squatters have been relocated to another location,
where varying levels of "sites"-and-"services" have been provided, with, again land lease or ownership.

• Land sharing is an approach which has brought about considerable settlement improvement by the initiative of
the people themselves.
• The squatter, after having organized themselves into a viable organization, have initiated negotiations with the
land owner and have "shared" the land, giving the prime locations of the land (for example, the side facing a
road) to the owner and using the remaining for their housing, but in a more organized and improved manner.
• The role of non-governmental and voluntary organizations has to be emphasized in this respect, in mobilization
of the people into an organization, in training and educating them, in forming a link with the authorities, and in
various other catalystic ways.
• As a complement to this, the participation of the community of squatters, in improving the quality of their
settlement is also an important resource that has to be tapped for improvement.
• Commonly, community credit programmes, for example, are used as a rallying point for bringing the squatters
not only because money itself is important, but also because of the externalities that it can generate.
Land Development Techniques
• Most powerful tools that a government has to intervene in land markets is land
development.
• A government has two options for its intervention: it can either develop land itself or it
can promote land development through the private sector.
• The tools to efficient urban land management through land development in developing
countries could be understood through four widely used development techniques.
Land pooling/ readjustment
Guided land development
Site and services
Land-sharing
Land Pooling
• Land pooling, more commonly known as land readjustment
• The concept of land readjustment is to assemble small rural land parcels into a large land
parcel, provide it with infrastructure in a planned manner and return the reconstituted land to
the owners, after deducting the cost of the provision of infrastructure and public spaces by the
sale of some of serviced land
• A portion of the land is typically set aside for hard infrastructure but can also be allocated for
social infrastructure (schools, government buildings, etc.) and public amenities such as parks
and other open spaces.
• This urban planning tool is widely seen as a win–win solution whereby government can avoid
expensive or legally challenging land acquisition through eminent domain, which can displace
landowners.
• Landowners, in turn, must contribute a portion of their land for a public purpose, but they are
“compensated” through better access to infrastructure and higher land values.
• The process varies widely by country and by project, but the common objective is to maximize
the development potential of urban land while minimizing the displacement of landowners.
Land Pooling
Land Pooling (Benefits)
The potential benefits cited by planners and government practitioners in Nepal and globally for
using land pooling and readjustment in lieu of land acquisition or other planning tools (such as
guided land development or sites and services, mentioned earlier) are extensive
I. Self-financing schemes
II. Equitable projects
III. Inclusive process
IV. Well-planned growth
V. Livability
Land Pooling (Benefits)
i) Self-financing schemes
• A major benefit is that schemes are intended to be self-financing: higher-value plots are sold by
government to recover the costs of project administration and infrastructure.
• The self-financing nature of land pooling is one of its most attractive characteristics, giving it a
decided advantage over land acquisition, which is tedious, contentious, and expensive, and can cause
displacement.
• Significant resources are needed up-front for administrative costs and infrastructure, which are later
recovered through mechanisms to capture increased land values.
• Self-financing also requires expertise in real estate development and land value capture.
• The most basic model involves financing project administration and infrastructure up-front and
recovering the costs later by selling fully serviced reserve plots that have appreciated with the
provision of infrastructure.
Land Pooling (Benefits)
(ii) Equitable projects. Projects are considered equitable since landowners and government share
in the distribution costs and benefits of urban development. Government obtains land at a lower
cost, landowners share in the gain through higher land values, and displacement is reduced.
(iii) Inclusive process. Integral to the land pooling process is the participation of landowners, who
voluntarily contribute land and have a say in how the project develops.
(iv) Well-planned growth. Government is allowed to control growth patterns and provide more
efficient service delivery in this process than in one where growth happens organically. Projects
can guide future development, and provide a unified process of planning, servicing, and
subdivision.
(v) Livability. The city as a whole benefits from less sprawl, infrastructure can be provided more
effectively and efficiently in a planned area with rights-of-way, and public amenities such as
parks and other public goods can be provided
Land Pooling (Challenges)
• While the benefits can be far-reaching, however, land pooling can face challenges as well.
• Projects can take a long time to prepare and implement, given the need for the continued
participation of landowners and for consensus building.
• The long time lags can pose problems for financial viability, since the government’s
recovery of infrastructure costs depends on a portion of land reserved for sale by the
government.
• Additionally, projects involve considerable up-front costs that local governments may have
difficulty financing with their own resources. Without government intervention, land
pooling schemes may not end up as socially inclusive: for example, because land is
returned to the original owners, they will either remain or sell their newly serviced plots at
a higher price that low-income residents cannot afford without a subsidy.
Land Pooling Projects in Kathmandu
Land Pooling Projects in Kathmandu
Land Pooling Projects in Kathmandu
• As in other countries, the use of land pooling in Nepal has been an ongoing iterative process.
• Nearly 20 years passed between its introduction in the mid-1970s and the time when land
pooling gained wider use across the country (in the early 1990s).
• Most land pooling projects in the Kathmandu Valley were begun between 1991 and the early
2000s and projects also proliferated outside the valley during this time.
• However, land pooling in Nepal has since stagnated, with eight projects still ongoing more than
a decade after their approval.
• Among these projects are the Manohara Phant project (a 13-year project) and the Chamati
project (a 16-year project)
• Plots developed so far in the Kathmandu Valley number almost 16,000, but this falls far short
of the total needed for planned, serviced plots in a rapidly growing capital region
Land Pooling Projects in Kathmandu
• Land pooling has mostly been limited to residential projects, and while there are several
proposals such as the Outer Ring Road and Smart City initiatives in the Kathmandu Valley,
Nepal has struggled to use land pooling successfully for large-scale projects with citywide
impact
• Yet recent institutional reforms could help revive and scale up land pooling.
• Since 2017, Nepal’s municipalities have democratically elected mayors, with the authority to
carry out city planning.
• The Department of Urban Development and Building Construction (DUDBC) is supporting
185 municipalities in integrated urban development planning to provide municipalities with
land-use and investment plans.
• With technical assistance from the Asian Development Bank (ADB), DUDBC is also
promoting the adoption of urban economic corridor development strategies in three provinces.
• These plans take note of the critical importance of land availability for economic development,
and emphasize the use of land pooling as a tool for obtaining land for infrastructure, industry,
and urban planning
Gongabu Land Pooling
Project Description
• The Gongabu landpooling project is the first project implemented in Kathmandu valley.
• It is an example of effective implementation of byelaws for planned residential subzone
Gongabu Land Pooling
Gongabu Land Pooling
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
• The Kathmandu Outer Ring Road Project was launched by the MOUD in FY2004/5 to improve the
transportation network in the Kathmandu Valley.
• The project would involve the construction of a 72-kilometer-long, 50-meter-wide trunk road with eight
lanes, and the development of a 250-meter buffer on either side of the road through land pooling
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
The project’s strategic objectives include;
• Containing population growth over 15–20 years
• Creating a new bypass for the kathmandu
metropolitan area
• Defining a rural–urban boundary
• Creating an integrated infrastructure
development corridor including water,
electricity, telecommunications, and sewerage
facilities
• The road design itself includes highway lanes, a
service road, bicycle lanes, parking, a greenery
belt, and a pedestrian path, and would be the
first “complete streets”–style design in nepal
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
• Using land pooling for a project of this size is without precedent in Nepal.
• The project would require about 42–52 km2 of largely agricultural land, which, the MOUD
recognizes, would be socially complex, given that farmers depend on the land for their
livelihoods and the project has created a sense of “unease” among the affected population
despite potential financial gains from higher land values (MOUD 2017).
• The first 6.6 km phase (Chobhar–Satungal) would cover about 420 ha belonging to over 14,000
landowners, making this first phase alone about 10 times larger than the next-largest
completed project in Nepal, the 42.8 ha Naya Bazar Project.
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
Problems for Implementation of ORR
• There are few difficulties and complexities while implementing the ORR project.
• The people living in the peripheral areas where the ORR alignment runs are mainly depended on
agricultural occupation.
• So, a kind of unease has prevailed because a sudden and drastic change in occupation and lifestyle
would not be easy to cope with.
• This kind of a social complexity needs to be handled with carefulness and sensitive approaches.
• Besides there are other few problems regarding the environment changes and land speculation
which have brought complexities in the ORR project’s implementations.
• Few more problems arise when people misunderstand the land pooling approach and that’s why are
reluctant in signing consensus to the project.
• These problems are generating delays to the project implementations.
Land Pooling for Citywide Infrastructure— The Kathmandu Outer Ring Road
Project
Problems for Implementation of ORR
• Gaining the consensus of landowners needed for land pooling has been a challenge so
far, but the alternative of acquiring land by cash compensation is not financially
feasible, considering the scale and number of projects that are now required to cope
with rapid urbanization in Nepal.
• The Outer Ring Road project has already stalled for over a decade, largely because of
issues related to obtaining sufficient land, but the detailed project report was approved
by MOUD in 2017.
• JICA reports that in view of the difficulties in obtaining the land through land pooling,
the KVDA has shifted to a strategy that involves both land acquisition and land pooling,
depending on the current land use in different segments (JICA 2017).
Guided land development
• Guided land development (GLD) uses the provision of infrastructure as a mechanism to
guide urban development.
• It is a land management technique for guiding the conversion of privately owned land in
the urban periphery from rural to urban uses.
• The principle behind guided land subdivision is that the government agency entrusted
with urban planning or land development proactively selects the direction where it
feels urban development should take place and provides infrastructure in those areas.
• ‘Governments can use infrastructure investment policies to guide the direction of land
development, as well as, to ensure that land development is efficient, environmentally
sound and equitable.
• This encourages private land developers to develop land in that area.
• It is done in partnership with landowners who pay for the cost of servicing their land
through donation of land for public infrastructure and payment of betterment levy.
• It uses a combination of traditional government role of providing infrastructure and the
enforcement of land subdivision regulations. The key advantage of the approach is that
it is less costly .
Site and Services
• Site-and-services schemes provide the target group with a plot and basic infrastructure,
such as water, roads and sanitation facilities.
• The beneficiaries either lease or buy the allocated land.
• Often, they are provided access to a loan with reasonable terms as well as an additional
loan for the construction of a house.
• Although typically not included in the project, it is expected that the plot owner would
eventually build a house of reasonable standard.
• During the 1970s and 1980s, sites-and-services schemes were implemented in nearly
100 countries mostly on the behest of international agencies like the United Nations
and the World Bank
Site and Services (Nepal)
• Site and Services
• Dallu (ward no 15) and Kuleswor (ward No.14) located within the Kathmandu
municipality and Golfutar
• To “providing housing to lower level government employees. But out of the total
saleable plots, more than 25% were reserved for the second-class gazetted officers and
above (Schmitz, 1986).

Projects Total area Household Project Project Executing

Name Covered to be Start Completion Agency
ha served
Kuleswor 26.5 664 1978 1990 KVTDC

Galfutar 11 ha 511 1978 1990 KVTDC

Dallu* 17.5 779 1978 2001 KVTDC

Land-sharing
• Land sharing has been implemented with success in Thailand and to a lesser degree in
the Philippines.
• The concept behind land sharing is that the landowner and the land occupants
(squatters or tenants) reach an agreement whereby the landowner develops the
economically most attractive part of the plot and the dwellers build houses on the
other part with full or limited land ownership.
• Land-sharing offers several advantages as governments are finding it increasingly
difficult to find land for site-and-services and other public housing schemes in locations
near income-generating activities, and eviction is increasingly becoming an
unacceptable method to clear land for development projects.
Land-sharing (Characteristics)
• Densification. The occupants will be re-housed on a smaller area

• Reconstruction. Densification typically implies that new buildings will replace older
structures.

• Participation. The transformation of the plots will require a comprehensive negotiation

process with community participating in it

• Cross-subsidy. The development generates sufficient surplus to cover a deficit

(community's inability to pay the cost of land, infrastructure and possibly housing).
Land-sharing (Problems and issues)
• Availability of land
The shortage of land may force the building of walk-up apartments which are generally
unpopular among slum dwellers.

• Lack of Community cohesion.

Slum dwellers come from different socio-economic background.

• Complex and time-consuming.

The necessity of community participation and agreement throughout the complex
process is very time-consuming
Structural planning
• A structure plan is a framework to guide the development or redevelopment of
an area by defining the future development and land use patterns, areas of open
space, the layout and nature of infrastructure (including transportation links),
and other key features and constraints that influence how the effects of
development are to be managed.
• Structure plans comprise one or more maps, plans or diagrammatic
representations of the proposed layout, features, character and links for areas
being developed or redeveloped.
• The maps or plans in structure plans do not typically go into such detail as to
define individual lot boundaries or the physical form of buildings and structures.
• The maps, plans or representations are usually supported by text explaining the
background to the issues that initiated the structure plan and the approaches to
manage those issues.
Structural planning
Issues that may be managed through a structure plan include:
• Urban consolidation and greenfield expansion
• The type and location of land uses that will be permitted, including development type, density and
staging
• Multi-modal transport links and connectivity (such as roading, rail, sea and air links, public transport,
cycle and pedestrian access)
• The location, type, scale and staging of infrastructure required to service an area, including
stormwater, water and sewerage
• Integration of new development and growth with infrastructure and existing urban development
• Landscape character and amenity
• Reserves and open space networks
• Natural hazards
• The provision of community facilities
• The protection of sites, features or values (which may be cultural, ecological, historical or amenity
related)
• Areas of contamination
• Provision and location of network utilities.
Structural planning
Master planning
• A master plan is a dynamic long-term planning document that provides a conceptual layout to guide future growth
and development.
• Master planning is about making the connection between buildings, social settings, and their surrounding
environments.
• A master plan includes analysis, recommendations, and proposals for a site’s population, economy, housing,
transportation, community facilities, and land use.
• It is based on public input, surveys, planning initiatives, existing development, physical characteristics, and social
and economic conditions.

Master planning can assume some or all of these roles:

 Develop a phasing and implementation schedule and identify priorities for action
 Act as a framework for regeneration and attract private sector investment.
 Conceptualize and shape the three-dimensional urban environment.
 Define public, semiprivate, and private spaces and public amenities.
 Determine the mix of uses and their physical relationship.
 Engage the local community and act as builder of consensus.
Master planning
• It is important to consider the master plan as a dynamic document that can be altered based on changing project
conditions over time.
• For example, in the case of the Santiago repopulation program, the municipal master plan was modified 29 times
during the implementation phase.
• These changes sought to either allow for more density and height in some areas, or to restrict and lower the height
of the buildings
• Master plans can have an important role in determining the shape of the urban environment. If not well conceived,
they can lead to problems in the future.
• For instance, one of the criticisms of Santiago’s master plan was that it was too flexible in setting standards for
beautification and building volume design.
• Hence, the quality of these buildings in terms of architectural design and construction materials was considered one
of the weaknesses of the repopulation program
• The residents also criticized the unpleasant contrast of the high tower buildings with the existing historic urban
fabric, as well as the fact that the new towers are not well integrated within the traditional neighborhoods.
• All of these issues could have been addressed well in advance as part of the master plan.
Urban Design
• While many assume urban design is about the
process of designing and shaping the physical
features of cities, and regional spaces, it is also
about social design and other larger scale issues.
• Linking the fields of architecture as well as planning
to better organize physical space and community
environments.
• Some important focuses of urban design on this
page include its historical impact, paradigm shifts,
its interdisciplinary nature, and issues related to
urban design.
• Urban design deals with the larger scale of groups
of buildings, infrastructure, streets, and public Model of Dubai Sports City in Dubai, United Arab Emirates
spaces, entire neighbourhoods and districts, and
entire cities, with the goal of making urban
environments that are equitable, beautiful,
performative, and sustainable.
• Urban design is an interdisciplinary field that utilizes
the procedures and the elements of architecture
and other related professions, including landscape
design, urban planning, civil engineering, and
municipal engineering.
Urban Design
• In more recent times different sub-subfields of urban design have emerged such as strategic urban design,
landscape urbanism, water-sensitive urban design, and sustainable urbanism.
• Urban design demands an understanding of a wide range of subjects from physical geography to social science,
and an appreciation for disciplines, such as real estate development, urban economics, political economy, and
social theory.
• Urban designers work to create inclusive cities that protect the commons, ensure equal access to and distribution of
public goods, and meet the needs of all residents, particularly women, people of color, and other marginalized
populations.
• Through design interventions, urban designers work to revolutionize the way we conceptualize our social, political,
and spatial systems as strategies to produce and reproduce a more equitable and innovative future.

Vienna Ring Road, Vienna

Urban Design
• Urban design is about making connections between people and places, movement and urban form, nature and the
built fabric.
• Urban design draws together the many strands of place-making, environmental stewardship, social equity, and
economic viability into the creation of places with distinct beauty and identity.
• Urban design draws these and other strands together, creating a vision for an area and then deploying the
resources and skills needed to bring the vision to life.
• Urban design theory deals primarily with the design and management of public space (i.e. the 'public environment',
'public realm' or 'public domain'), and the way public places are used and experienced.
• Public space includes the totality of spaces used freely on a day-to-day basis by the general public, such as streets,
plazas, parks, and public infrastructure.
• Some aspects of privately owned spaces, such as building facades or domestic gardens, also contribute to public
space and are therefore also considered by urban design theory.
Compact Settlement & Dispersed Settlement
• Settlement can be divided into compact and dispersed settlement
Research Design and Process
• Research is "creative and systematic work undertaken to increase the stock of knowledge".It involves the collection,
organization and analysis of information to increase understanding of a topic or issue. A research project may be an
expansion on past work in the field
• Research design is the framework of research methods and techniques chosen by a researcher. The design allows
researchers to hone in on research methods that are suitable for the subject matter and set up their studies up for
success.
• Research design includes three process;
1) Exploration -the action of exploring an unfamiliar area
2) Description-a spoken or written account of a person, object, or event.
3) Explanation-a reason or justification given for an action or belief.
Research Design and Process
Types of research as per characteristics
• Condition
Analyze the current situation of the unit. (eg. Age, income, health condition, marital status, education)
• Orientation
Analyze the characteristics of unit in terms of their likes, dislikes, beliefs, policies, purpose, religious belief, political
motivation etc.
• Actions
Analyze the activities and action of unit eg. Buying, selling, voting, travelling etc
Research Design and Process
Time dimension in research
Explain whether the research results is valid only for the research period or some other time frame. In terms of time
dimension studies can be:
• Cross-sectional
studies are undertaken at one point in time (eg. National census and other surveys conducted during a single time
frame)
• Longitudinal
Studied over an extended period of time. Types;
o Trend studies-collecting information and attempting to spot a pattern.
o Cohort studies- shows change among a specific sub-group (cohort) over time e.g. effect of global warming on
agriculture on different period of time
o Panel studies- same as cohort studies but sample studied are same all the time
Research Design and Process
Units of Analysis
Unit of analyses can be various types;
• Individual (people, animal, etc)
• Groups (individual families, cities, wards, regions etc)
• Organisations (academic institutions, offices, corporation, departments etc)
• Social artifacts (books, journal, paintings, vehicles, buildings, roads, or social interactions such as; marriage,
friendship, religion etc)
Process of undertaking research
1. Conceptualization
2. Choice of research method
3. Operationalization
4. Sampling
5. Observation
6. Data Processing
7. Analysis

1. Conceptualization
Conceptualization is the process of not only selecting a topic, but formulating a defensible and
researchable research problem; it is more than simply generating a list of interesting topics 
Process of undertaking research
2. Choice of research method
field research, content analysis, existing data, experiments, surveys, etc.
3. Operationalization
It gives the clear picture of what to analyse, unit of analysis, how to measure, related indicator and range
to consider
4. Sampling
Sample is a group of people, objects, or items that are taken from a larger population for measurement.
The sample should be representative of the population to ensure that we can generalise the findings from
the research sample to the population as a whole. There are various types of sampling (eg. Random,
systematic, stratified etc) and based on research design one has to select the appropriate one.
Process of undertaking research
5. Observation
Observation is a systematic data collection approach. Information is gathered by collection, manipulation
and rearrangement of raw data through statistical and mathematical methods. Information is now used to
develop some desired level of understanding. Intelligence is the ability to gather essential factors from a
complex set of information and data.
Data + Information + Intelligence = Knowledge
6. Data Processing
Data Processing refers to converting raw data into meaningful information, involves collecting, Recording,
Organizing, Storing, and adapting or altering to convert the raw data into useful information.
Process of undertaking research
7. Analysis
Data Analysis is the process of systematically applying statistical and/or logical techniques to describe
and illustrate, condense and recap, and evaluate data to draw conclusions. Types;
• Univariate analysis-simplest form of analyzing data, It doesn't deal with causes or relationships and
it's major purpose is to describe; It takes data, summarizes that data and finds patterns in the data.
• Bivariate analysis-involves the analysis of two variables (often denoted as X, Y), for the purpose of
determining the empirical relationship between them
• Multivariate analysis-involving more than one type of measurement or observation. It may also mean
solving problems where more than one dependent variable is analyzed simultaneously with other
variables
Housing development in Nepal
• The type of owner- builder system is predominant in Nepal.
• As until now, formal or private housing delivery system has not been developed with an exception of
few land development schemes.
• Practically, the participation from both the private and public sector in the production of serviced land
and housing had been very low.
• Therefore, it is the owner builder who acquires a plot of land, organizes, manages and supervises the
construction of house.
• The dwelling units are built and expanded incrementally over a period of time as both the family and
income grow higher.
• The absence of institutional capacity and appropriate housing policies has attributed to such a situation.
Similarly, it is also due to the reason that housing has never been realized as a potential productive
sector in the socio- economic development of the nation.
Housing development in Nepal
• Government of Nepal started formal housing programme in the mid seventies by implementing for the
first time three Site and Services (S&S) projects namely Kuleswor, Galfutar and Dallu in Kathmandu
through Kathmandu Valley Town Development Committee (KVTDC) under the Ministry of Physical
Planning and Works (MPPW).
• After popular movement in 1990 in Nepal, Dallu Housing Project was converted into Land Pooling
Project although it was originally designed for Site and Services.
• Kuleswor and Galfutar two sites and sevices projects produce a total of 1111 developed plots covering
an area of about 38 hectare in Kathmandu.
• Town Development Act 2045 (1988) provides a legislative framework for implementing land
development programmes consisting of three model approaches :
i) Sites and Services (S & S),
ii) Guided Land Development (GLD) and
iii) Land Pooling (LP).
Housing development in Nepal
• All these land development programmes are concentrated in Kathmandu Valley catering the needs of
mostly middle and high income families.
• There is no special provision in land pooling for low income families in general and urban poor in
particular.
• Government of Nepal is basically playing three important roles for the management of housing and
urban development i) planning support role ii) formulation of policies and acts and iii) implementation of
projects through its different agencies.
Housing development in Nepal
With the alarming growth rate of urbanization, urban poverty is growing so as the housing need of the
urban poor. The key challenges in providing access to housing and basic services to the poor are as
follows:
• Haphazard and unplanned urban development
• Scattered population of the urban poor
• Inadequate policy on housing the poor and improving access to basic services for them
• Inadequate knowledge and capacity to address the low income housing issues
• Weak rural – urban linkage
Housing development in Nepal
With the alarming growth rate of urbanization, urban poverty is growing so as the housing need of the
urban poor. The key challenges in providing access to housing and basic services to the poor are as
follows:
• Haphazard and unplanned urban development
• Scattered population of the urban poor
• Inadequate policy on housing the poor and improving access to basic services for them
• Inadequate knowledge and capacity to address the low income housing issues
• Weak rural – urban linkage
Planning Approaches in
Nepal
PLANNING APPROACHES IN NEPAL
Development Planning in Nepal
 Not long history
 First time Judha Samsher in 1940s A.D formulated 20 years plan
 In 1949 A.D Mohan Samsher formulated 15 years plan
 In 2008 B.S. finance minister presented budget
 In 2013 B.S. formally plan development started
 In Nepal's first five-year plan (2013-18)
 Plan holiday [FY 2047/48 and 2048/49 B.S, due to political instability]
 Implemented (9) five year plan and (5) three year plan
 14th plan completed and 15th plan running
 1st plan to 7th plan [guided by welfare and state controlled development concept]
 8th plan to now [Economic liberalization]
PLANNING APPROACHES IN NEPAL
Development Planning in Nepal
 Emphasis on poverty alleviation since 10th plan
 Linked annual plan with periodic plan since the 10th plan
 Upgrade to developing nations by 2022
 Upgrade to medium income country by 2030
 Upgrade to high income country by 2043
 Followed more participatory approaches than ever before
 Adopted both “top down” and “bottom up” approach
 Started to formulate more strategic and result-based planning
 Inclusive development
PLANNING APPROACHES IN NEPAL (History)
Ancient Period
• In Nepal, the village administration is as old as the village itself which used to take care of local problems
and decide on the local disputes.
• Historically, the Kirantis were the first to rule over Nepal and their rule, in fact, marked the origin of
Nepalese culture. During their period, Nepal was a welfare state under a monarchy. The King was at the top
of the administrative system
• Lichhavis
•The Kirantis were followed by the Lichhavis.
•The King was the supreme ruler during the period of Lichhavis.
•The Lachhivi era had different state officials both at the central and field levels.
•The Kingdom was divided into three local administrative units known as Dranga, Tala and Grama.
•Each Dranga consisted of some Talas and each Tala comprised of some Gramas.
•The Tala roughly corresponded to the present day district unit
•Each Grama, which formed the lowest local administrative unit, had at least one headman. In addition to
whom, it also had a village committee called Panchali which decided cases and disputes and discharged some
administrative and public welfare functions like digging canals, construction and maintenance of temples,
collection and remittance of state revenue on land and agriculture products.
PLANNING APPROACHES IN NEPAL (History)
Medieval Period
• Growth factor was entrepot trade with India and China through Tibet.
• Influence of sub-routes of silk route between Benars and China through Tibet helped to grow Kali
Gandaki Valley
• The Lichhavis were followed in the medieval period of Nepalese history by the famous Mallas. The
Kingdom was split into divisions and sub-divisions, which were respectively governed, by Pramana
and Nayaka or Dware.
• The capital was the center of the Kingdom. An official called Desh Nayaka governed the semi-
urban areas. The Malla era is famous for various progressive measures for socioeconomic and legal
development.
• The Malla King Jayasthiti Malla enacted a code and laid down rules for land evaluation and
taxation. The Malla Kings‟ governance was limited to only the Kathmandu valley and its
surroundings
• Malla towns grew taking the advantage of lying on trade route and served as administrative as well
as trade center
• Along with prominent Malla towns various other small scale trading centers grew along trade route
like Olangchungola, Marpha, Mustang
PLANNING APPROACHES IN NEPAL (History)
Modern Period
• After the Unification of Nepal
• Rana Period
• After the Revolution of 1951
• Developmental Efforts of the first Elected Government 1959
• After the Restoration of Multiparty Democracy
• Federalism
PLANNING APPROACHES IN NEPAL (History)
Modern Period (After the Unification of Nepal)
• The modern Nepal was formed in the eighteenth century when King Prithivi Narayan Shah
brought together a number of small states at the foot of the Himalayas under his rule.
• The Shah dynasty was, however, soon embroiled in a protracted power struggle that culminated
in the emergence of Jung Bahadur Rana in 1846, who introduced the system of hereditary prime
minister, giving rise to the powerful Rana oligarchy.
• Settlements started developing in places where the ruling regime established their district level
administrative headquarters
• Main Rana administrative centers: Dhankuta, Palpa - Tansen, Siliguri - Doti
• Other small administrative units: Ilam, Bhojpur, Okhaldunga, Dolakha, Nuwakot, Gorkha,
Bandipur, Pokhara, Baglung etc.
• During late 19th century country was influenced by British Colonial Power in India
• Nepal-India border touched by railway lines which help in growth of various small trade
settlements like Bhadrapur, Biratnagar, Janakpur (not in boarder), Birgunj, Bhairawa, Nepalgunj
for exchange of goods.
PLANNING APPROACHES IN NEPAL (History)
Modern Period (Rana Period)
• Only few tiers of administration, the final authority was in the hands of hereditary Prime
Ministers
• Treated the country as their private property
• State revenues were spent on unproductive purposes on building ostentatious palaces and
importing luxuries from abroad. Alternatively, they were invested in Indian industries
• For the first time in 1926 that an Act, which made provisions for the establishment of local
Panchayat institutions, was initiated to maintain law and order, motivate villagers to cultivate
land, supervise the canals and dams for irrigation and so on.
• At the last lap of Rana rule, effort was made to draft a written Constitution, which envisaged for
the Gram (village), Nagar (Town) and Zilla (District) Panchayats, But the Constitution could
not be implemented due to the strong resistance from the hard-liner Ranas
PLANNING APPROACHES IN NEPAL (History)
Modern Period (After the Revolution of 1951)
• The people of Nepal tasted multi-party democracy for the first time in their history
• The first ever annual budget of the country was announced in 1953 and the first development plan was launched in
1957.
• Tribhuvan Gram Bikas (Tribhuvan Village Development) Program.
o Attempts for rural development since early 1950s
o Inception of a Village Development Training Center to train manpower for village development was
established in 1952. The graduates of the Training Center, after completing a six-month course were
compelled to work at the satellite stations outside Kathmandu and also train multipurpose Village
Development Workers.
o The Program was a multifaceted activity intended to cover various aspects of rural community‟s need. The
implementation strategy of this program was based on a three-stage village development approach.
1. The first stage was to identify the remote villages where the infrastructural facilities were to be
developed. These were called Nucleus Development Areas.
2. The second stage was to provide improved seeds, fertilizers, livestock development facilities, schools,
drinking water and irrigation in the identified areas.
3. The third stage, called the intensive stage, was to provide scientific farming assistance, extension of
health services, establishment of cottage industries and cooperatives.
PLANNING APPROACHES IN NEPAL (History)
Modern Period (After the Revolution of 1951)
• At the district level, a District Development Board was responsible to carry out development works.
• Nepal followed a planned development system to improve the living conditions of its people since 1956, when it
launched its first periodic plan, 1st Five Year Plan 1956-61.
• Rural development strategy was worked out in the plan.
• The country was divided into 150 blocks averaging about 200 villages in each block faming to implement village
development activities.
• Experiments were carried out for the institutionalization of village co-operatives for economically strengthening
the rural communities and to infuse them a sense of self-help.
PLANNING APPROACHES IN NEPAL (History)
Modern Period (Developmental Efforts of the first Elected Government 1959)
• A separate Ministry of Development was formed
• Free primary education and basic health care services were initiated and measures leading
towards a limited land reform were started.
• Crucially, legislation that would abolish birta tenure, the tax-free landholding system so heavily
exploited by the Ranas, was enacted by the Koirala government. These were progressive
measures, undertaken at a slow and measured pace in order to smooth the transition to a more
equitable society.
• The government initiated the process of institutionalization of democracy at the grass-root level
by implementing the policy of decentralization. The proposed decentralization scheme of the
government had apparently intended to create 14 provinces, 69 sub-districts and 35 districts
• As the political instability intensified, King Mahendra dismissed the democratic government of
Nepali Congress Party in 1960 . The Tribhuvan Village Development Program was terminated
after this
PLANNING APPROACHES IN NEPAL (History)
Modern Period (Panchayat)
• Local Panchayats in the areas of maintaining law and order, controlling corruption, handling land
administration, forestry management, agriculture, health, education, transport and communication,
revenue collection and judicial authority
• The practice of pursuing socio-economic development through five-year development plans was
consolidated, with emphasis on physical and social infrastructure
• Control many crucial prices, and the monopoly of production activities was vested in public
corporations, thereby precluding the growth of the private sector.
• In the course of implementing the periodic plans (during the 4th Plan, 1970-75), the country was divided
into five development regions with the purpose of allocating the national budget and undertaking
development programs in all the regions in an equitable manner.
• Newly created regional centers in 70s and 80s – sleeping villages like Surkhet and Pokhara got boost.
• Growth of population in Terai-Malaria eradicated in Terai with technical and financial assistance of
USAID.
PLANNING APPROACHES IN NEPAL (History)
Modern Period
After restoration of the multiparty democratic system in 1990, especially after 1999, LBs managed this
responsibility per the Local Self Governance Act (LSGA),
• The restoration of democracy in 1991 coincided with a decisive shift towards a liberal economic regime
and ever-closer economic relationship with India.
• One of the major programs of this kind is the Remote Area Development Program (RADP) initiated in
1992. By the late 1990s, this program covered twenty two districts, with major emphasis on the
development of infrastructure. There were also provisions for skill development, training of women, and
training in horticulture and vegetable farming. This program was supposed to complement the process of
decentralization that the government of Nepal attempted to reinvigorate at the same time.
• The Special Area Development Program (SADP) was introduced in 1998 -to promote agriculture and
livestock in addition to infrastructure.
• Micro Credit Project for Women (MCPW) was started in 1994.
• Launched different programs viz. 'Build Our Village Ourselves' (Afno gaun afain banaun), 'Bishweshor
with the Poor' (Garib sanga Bishweshor), social security program etc.
• New constitution gave recognition to federal system and inclusiveness. As per the three levels of
governments viz. local, provincial and central, the governments could execute their functions as per the
provisions made in the constitution
PLANNING APPROACHES IN NEPAL (History)
Modern Period
Contact at international level resulted in various projects like;
Kathmandu Beautification
• The state visit of British Queen Elizabeth to Nepal in 1962
• superficial visual improvements in Kathmandu carried out along with straightening of the
street from Airport to Sital Niwas
• Barriers were created to hide unpleasant visuals
UN technical assistance
• In 1962, with the UN technical assistance, Nepal set up the Town Planning Office for
Kathmandu Valley. (town planning experts from UNDP).
• Start of conservation works
• Saving Kathmandu Monuments
PLANNING APPROACHES IN NEPAL (History)
Modern Period
Various policies, plans and approaches:
• Town Development Committee Act, 1963 to ensure planned urban development
• Building Code was drafted in 1964 for the enforcement of Land use proposals mainly to
densify the urban core area.
• Kathmandu Valley Physical Development Plan (PDP) prepared in 1969
o First Comprehensive planning documents in Nepal.
o Govt. of Nepal with the assistance of UN expert Carl Puruscha reviewed the overall
situation of Kathmandu Valley which served as official guidelines for urban development
in three valley towns until 1976.
• Kathmandu valley town development plan (KVTDC)led to the development of;
ring road,
o housing schemes at Kuleshwor, Galfutar, Dallu and in the saibu -Bhaisepati area.
o Landpooling and GLD (Guided Land development)
• Structure Plan of Kathmandu Valley: Providing guidelines for the physical development
PLANNING APPROACHES IN NEPAL (History)
Modern Period
Various policies, plans and approaches:
• Kathmandu Valley Urban Development Plans and Programs, 1991
o To develop KTM as a centre of culture, tourism and historic preservation, re-densification
of newly develop areas, preservations of agricultural land
• Kathmandu Urban Development Project (1994-1999)
o To enhance the infrastructure and environment improvement works, link road kathmandu
city development stratergy
• (Vision 2020) Long Term Development Concept for Kathmandu Valley
o Guided urban development strategy
o Consideration of whole valley as a single entity
o Delineation of rural and urban boundaries
o Decentralization, Concept of EIA
• Local Self Government Act (LSGA) 1999
PLANNING APPROACHES IN NEPAL (Current )
The Fifteenth Plan (Fiscal Year 2019/20 – 2023/24)
National Goal
The Fifteenth plan will provide a basis for achieving the Long-Term Vision of “Prosperous Nepal, Happy
Nepali”. Accordingly, the national goal of this plan is to create a basis for upgrading Nepal to the status of
a high-income country by transforming it into a 49 socialism-oriented welfare state with a prosperous
economy, social justice, and improved living standards
PLANNING APPROACHES IN NEPAL (Current )
National Development Plan (2077/78)
• Related to urban development
PLANNING APPROACHES IN NEPAL (Current )
National Pride Projects
• Sikta Irrigation Project
• Babai Irigation Project
• Rani-Jamariya-Kularia Irrigation Project
• Bheri-Babai Diversion Multipurpose Project
• Upper Tamakoshi Hydropower Project
• Budhigandaki Hydropower Project
• West Seti Hydropower Project
• Gautam Buddha Regional International
Airport
• Pokhara Regional International Airport
• Second International Airport, Bara
• Pashupati Area Development Project
• Lumbini Area Development Project
• Mid-Hills Pushpalal Highway
• East-West Railway
• Terai Hulaki Marg
• North-South Koshi Corridor
• North-South Kaligandaki Corridor
• North-South Karnali Corridor
• Kathmandu-Terai Expressway
• Melamchi Drinking Water Project
• President Chure-Terai Madhesh Conservation
Area Program
PLANNING APPROACHES IN NEPAL
Basis of Plan Formulation
 The constitution of Nepal
 National long-term thinking
 Sectorial perspective plans
 Election manifesto of ruling political parties
 International Commitments and SDGs
 Major problems and possibilities
 Contemporary Challenges of the development
 Influential social /interest group/influential leaders
PLANNING APPROACHES IN NEPAL
Types of Plan
By Spatial/Geography/Level
 National periodic development plan
 Provincial periodic development plan
 Local level periodic development plan
By Time Frame (Period)
 Long term (perspective) plan [15-25 year]
 Medium term plan[3-7 year]
 Annual plan[1 year]
By Sector
 Sectorial plan
 Sub-sectorial plan
PLANNING APPROACHES IN NEPAL
Development Planning in Nepal
PLANNING APPROACHES IN NEPAL
Institutions Involved in Development Planning
 Periodic Planning: National Planning Commission
 Sectorial Planning: Thematic Ministry, National Planning Commission
 Long-term planning: Thematic Ministry, National Planning Commission
 Annual Plan: National Planning Commission, Ministry of Finance
 Provincial Plan: Policy Commission/ Finance Ministry
 Local Planning: Local executive
PLANNING APPROACHES IN NEPAL
Approaches of Planning
Traditional Approach
 State sponsored/Top down
New Approach:
 A participatory/bottom up
 Local, Provincial and National Level Consultations
 More inclusive [gender, ethnic groups, Dalits, Madhesis, minorities,
disabled, youth, political parties, development partners, NGOs/INGOs, CBOs etc]
 Result based planning
 Medium Term Expenditure Framework
PLANNING APPROACHES IN NEPAL
Plan Document Approval
 Preparation of Draft Approach Paper
 Presented to National Development Council (NDC) meeting
 Finalization of Approach Paper incorporating suggestions and guidance of NDC
 Submission of Approach Paper for the approval of the Cabinet
 Based on the Approach Paper detail Periodic plan is formulated
 PLANNING APPROACHES IN NEPAL
Issues and Challenges of Development Planning
 Not properly analyzed real grassroots context
 lack of desegregated data/ Not evidence informed
 Plans are not fully identified based on the needs of the people
 Minimum participation of people
 Lack of proper implementation mechanisms/ low institutional capacity
 Lack of continuous and effective monitoring and evaluation
 Lack of political and administrative will and commitment
 Political instability/politicization in formulation and implementation
 Not timely and properly mobilization of resource
 Not proper investment friendly environment
 Not properly estimation, projection and distribution of resources
 Centralized planning and donor driven
 Lack of cooperation and coordination
 Absence of economic discipline
Federalism
• Federalism is a mixed or compound mode of government that combines a general government
(the central or "federal" government) with regional governments (provincial, state, cantonal,
territorial or other sub-unit governments) in a single political system, dividing the powers
between the two.
• Generally, an overarching national government is responsible for broader governance of larger
territorial areas, while the smaller subdivisions, states, and cities govern the issues of local
concern.
• Both the national government and the smaller political subdivisions have the power to make
laws and both have a certain level of autonomy from each other.
• The constitution guarantees the authority of each tier.
• Objectives
o To advance and protect the unity of a nation
o To support regional diversity in a country
Federalism (features)
• Division of Powers: In a federal government the powers of administration are divided between
the centre and the units
• Separate Government: both the centre and the units have their separate set of governmental
apparatus.
• Written Constitution: :As a federation is a political partnership of various states and
consequently there must be a written agreement in the form of a written constitution.
• A Better Understanding of Local Issues and Demands – The central government has no true
way to understand what issues, demands and changes need to be made in every area of the
country. This is why federalism is such a great advantage. The smaller branches of the local
governments are right in the middle of the local society. They are better suited to deal with the
true things that need to be changed.
• Increasing Citizen Participation – By not centralizing all power into the hands of a national
government, but sharing that power with state governments, which are closer to the level of the
common citizen, our founders actually increased a citizen’s ability to affect their government,
government policy, and law-making
Federalism (features)
• As a Protection Against Tyranny – One of the most important points of federalism in dividing
the power between the national government and state governments, and spreading the national
government’s power among three branches that serve as check and balance on each other, is
that it serves as a deterrent to tyranny and runaway power.
• More Efficient – When some of the power of the government is dispersed among the states,
giving states the right to solve some of their own problems, you allow for more efficiency
within the system
• Innovation in Law and Policy is Encouraged – By allowing for many state governments,
different sets of policies can be tried, and the ones found most effective at solving its problems
can then be implemented in other states, or on the national level
• State Governments Can be More Responsive to Citizen Needs – The closer a government
entity is to its citizens, the more likely it is the respond to the needs of citizens. States are more
likely to listen to citizen needs, and respond to them, than the national government would be.
Federalism (limitations)
• Conflict of Authority – The biggest problem that arises when you have two bodies of
government in power is the power struggle.
• Regionalism Over Patriotism – The mark of a great country is just how patriotic and prideful
the citizens is to be a part of it. Federalism, since it promotes smaller level of government, it
also promotes smaller levels of pride.
• A Lack of Accountability – With the responsibility of the government being shared, it
becomes very easy for one sector to release responsibility for the other, and vice versa. This
can become a very large problem because if something goes wrong, both sides of the
government can relinquish control for the responsibility
• Inequalities Between States – The federal form of government allows for regional inequalities
between different states. For example, instead of education funding throughout the country
being the same, since it is a state issue, some states will spend more, per capita, on education
than other states, causing what could be considered a disparity.
• The Blockage of Nationalist Policies by States – States can fight against the existence of
certain national laws by challenging them in court, or going out of their way to not enforce
those national laws, or even deliberately obstructing enforcement of national laws.
Federalism in Nepal
• Nepal has been practising unitary form of government since unification by Prithvi Narayan
Shah.
• However, this system was not able to achieve the development goals of the country
• Federalism has been seen as the answer to solving regional inequality and reducing the
economic, social and religious discrimination; the country has transformed into a federal
structure as a result.
• Nepal has become the federal democratic republican state since 28 May 2008 (15th Jestha,
2065 BS).
• According to the concept of a federal system, Nepal has been divided into;
o 7 provinces
o 77 districts
o 753 local levels (6 metropolitan cities, 11 sub-metropolitan cities, 276 municipalities, and
460 rural municipalities.)
• Now each province has a separate government along with its federal government at the
centre.of the meanings
Federalism in Nepal
History
• In the aftermath of the 2007 People's Revolt II, the 240 years of monarchy was abolished in the
5th amendment of the Interim Constitution of Nepal, 2063
• The amendment was the first document to mention Nepal officially as the Federal Democratic
Republic of Nepal. It envisioned federalism as a prominent feature for a new Nepal.
• Nepal had been practicing a unitary form of the government under the Shah rulers (Prithivi
Narayan Shah). However this system was unable to support development of the country and
was seen as an "exclusive" form of rule.
Federalism in Nepal
Provinces of Nepal
• The seven provinces were formed by grouping the existing districts. The current system of
seven provinces replaced an earlier system where Nepal was divided into 14 administrative
zones which were grouped into five development regions.
Federalism in Nepal
Provinces of Nepal
Federalism in Nepal
Municipalities of Nepal
• Municipalities are places having at least some minimum criteria of population and
infrastructure and declared as a municipality by the government. There are 293 municipalities
in Nepal.
• Urban municipalities are categorized into 3 levels:
o Metropolitan city (Mahanagarpalika)
o Sub metropolitan city (Upmahanagarpalika)
o Municipality (Nagarpalikas)
• There are six metropolitan cities; the capital city Kathmandu, as well as Bharatpur, Biratnagar,
Pokhara, Lalitpur and Birgunj.
• There are 11 sub-metropolitan cities and 276 municipalities..
Federalism in Nepal
Municipalities of Nepal
Federalism in Nepal
Rural Municipalities of Nepal
• Rural municipalities (Gaunpalikas) were established in 2017, replacing the village development
committees (VDCs).
• The main purpose of a gaunpalika resembles that of a VDC, but it has more rights on collection
of royalty and taxes and has a higher annual budget than the VDC.
• Several VDCs were usually combined into each new gaupalika. There are 460 gaunpalikas in
Nepal.
Federalism in Nepal
Hierarchy of Planning in Federalism (Important)
• Region’s capabilities are different. Central government need to play responsible and catalyst
role.
Federalism in Nepal
1. National Plans and Programs
• As a central agency of Government, National Planning Commission (NPC) formulates national
development plan
• To formulate basic development policies and prepare periodic development plans accordingly
within the framework of a long-term development perspective.
• To explore internal and external resources along as well as indigenous and foreign technology
and to recommend suggestions to Government of Nepal (GoN) to accelerate the pace of
development.
• To explore innovative approaches for sustainable development based on the economic situation
of the country.
• To formulate annual programmes and assist GoN in their implementation.
• To advice GoN for the institutional development of monitoring & evaluation system, to monitor
the implementation of programmes and projects according to plan target and outlay, and to
carry out an imp`act evaluation of plans and projects.
• To provide guidelines, advice and suggestions to sectoral ministries, departments, other
agencies and local bodies and assist them in the plans and projects formulation.
Federalism in Nepal
1. National Plans and Programs
• To provide guidelines to collect data and to carry out action-oriented research necessary for the
evaluation of new policies and for the refinement of the planning process.
• NPC has to provide guidelines on policy targets and priorities regarding formulation of budget
for the coming fiscal year to the Ministry of Finance and all other line ministries before the
issuance of circular on budget formulation.
• Formulate a policy framework for approval of the district level projects by the secretaries of the
ministries.
• Approve Central level projects.
• Set policy targets on development programmes for the coming year within the month of
December.
• Provide advice to GoN offices for accepting any kind of aid in kind or cash or reaching an
agreement for foreign aid.
Federalism in Nepal
2. Provincial Plans and Programs
2.1. Formulating long term policies and plans
• Formulation of long term goals, roadmap, policy and plan with future vision for the overall
prosperity of the state
• Preparation of periodic policies and plans of strategic nature in the fields of economic, social,
physical infrastructure, environment and good governance
• In coordination with the concerned ministries and agencies, new state level development
programs and projects will be audited, pre-evaluated and tested and given consent.
• Project Bank (Project Bank) on the basis of various analyzes including profit and cost and work
related to project preparation and selection according to approved procedures
• Establishing, enforcing, provincial standards for estimating, projecting and distributing national
resources, economic, socio-financial, technical and environmental analysis of the project.
• To coordinate and facilitate the formulation of various sectoral policies and their
implementation by adopting the policy formulation process based on study, research,
• To study the macro-economy of the state and formulate policies and plans accordingly.
Federalism in Nepal
2. Provincial Plans and Programs
2.1. Formulating long term policies and plans
• To do the necessary work for the selection and preparation of projects to be implemented at the
federal, state and local levels,
• Selection of large state level projects,
• To carry out project related work in Engineering, Procurement Contracting, (EPC) Engineering,
Procurement, Contacting and Financing (EPCF) and Wild One Operate and Transfer (BOOT)
system of private sector and foreign investment projects in the state.
Federalism in Nepal
2. Provincial Plans and Programs
2.2. Monitoring and evaluation
• To develop a system of reliable and effective monitoring and evaluation of the policies, plans,
programs and projects related to the development of the state, results and impact and to make it
institutionalized by implementing it in various bodies of the state government.
• To assess the impact of thematic policies and priority programs and projects by determining the
necessary criteria and procedures for evaluation, and to make improvements at the policy and
implementation level based on that,
• To develop expertise in the field of monitoring and evaluation by developing a network
between government, public, independent evaluators and thematic professional associations,
civil society and development partners and sharing experiences in this regard.
Federalism in Nepal
2. Provincial Plans and Programs
2.3. Layered coordination
• Coordinating, assisting and facilitating the formulation and implementation of development
policies and plans at the federal, state and local levels,
• To coordinate and facilitate the operation of international aid,
• To agree on the sectoral policies of the state government,
• To work as project bank and public-private partnership unit for project plan preparation.
Federalism in Nepal
2. Provincial Plans and Programs
2.4. Study, research and exploration
• To conduct national and international level research and development by independent experts,
bodies or institutions on the relevance of the provincial policy or various aspects of the
development plan and program and to develop the related system,
• To provide academic encouragement and facilitation in research and study in the field of
development and implementation of policies and plans in partnership with public, private and
non-governmental sectors.
• To recommend factual policies, suggestions and proposals for economic, social, physical
infrastructure, water resources and energy development, natural resource management and good
governance and management, as well as various thematic areas to be transformed into product
and business structure, structure and technology,
• To cooperate in policy research with universities and other academic institutions
• Selection, removal of regional and thematic volunteers, training of trainees
Federalism in Nepal
3. Rural/Urban Plans and Programs
• Formulated by local government (Municipalities)
• Preparation of periodic and annual development plan in consultation with community and
stakeholders
• Focus on local development addressing local issues
• as per necessity, launch plans such as land-use, land-pooling and guided land development for
making the development of the municipal area balanced and planned
• In formulating the plans, Municipality shall gives priority to the following projects :
(a) Projects which are income-generating and from which consideration may be obtained sooner.
(b) Projects raising living standard, income and employment of, and giving direct benefits to, the people of
the Municipality, and contributing to poverty alleviation.
(c) Projects which can be operated with low cost and larger people's participation.
(d) Projects to be operated through local means, resources and skills.
(c) Projects providing direct benefits to the women as well as backward class and children.
(f) Projects that can contribute to protect and promote the environment.
Federalism in Nepal
3. Rural/Urban Plans and Programs
• In formulating periodical plans, the following matters shall have to be included :
(a) Geographical, economic and natural heritages of the town and present uses thereof.
(b) Possibilities of production in various sectors on account of comparative cost benefit.
(c) Areas comprising backward castes, tribes and poor people and various development works
done or required to be done in such areas.
(d) Income-generating and skills-oriented works for the women and children.
(e) Description of the completed projects under various sectors and provision on the operation
and maintenance thereof.
(f) Various sectoral short-term and long-term development works on the basis of development
possibility.
(g) Plans on human resources development in various subject areas to be formulated by the local
people themselves.
Federalism in Nepal
3. Rural/Urban Plans and Programs
• In formulating annual plans, the following matters have to be taken as the basis.
• (a) Directives received from the National Planning Commission and Provincial Planning
commission on national development policy.
• (b) Overall necessities indicated by periodical plans.
• (c) Suggestions received from the Ward Committee.
Federalism in Nepal
3. Rural/Urban Plans and Programs
• Feasibility Study of the Projects To Be Carried Out
• Selection of the Project
• Coordination among Municipality, Governmental and Non-governmental Agencies
• Operation of Municipal level Project
• Implementation and Management of Projects
• Appraisal and Evaluation of Projects
• Repair, Maintenance and Management of the Project
Four Functions of Dev’t Planning – Practiced in Nepal
1. Long Term Vision; Formulation of Policies Plans:
• Formulates national policies and priorities, and management systems for change and development.
• Decides duration of plan (short-term, medium-term, & long-term); and formulates periodic and annual
development plans
• Formulates goals and long-term targets, objectives, strategies, policies, and sectoral priorities
• Sets sectoral indicators, sectoral activities, & modalities
• Approves sectoral programs & projects (features: multi-sectoral; and longer period (BEP; ADS; PAF)
• Allocates resources according to national priorities; and sets strategies for resource mobilization (foreign,
domestic, and local)
• MTEF process contribute to realistic priority setting and resources estimation
• Allocates resources for plans, programs and projects at national and sub-national levels.
2. Monitoring and Evaluation:
assess the effectiveness and efficiency in implementation and provide feedback in improving formulation of plan,
programs, projects and allocation of resources.
3. Vertical Coordination with Provincial and Local Governments:
Focuses on the agglomeration of programs of macro, meso, and micro levels; Manage institutional coordination and
sets implementation strategies
4. Research and Study: