Description and Objectives

This course having two parts / a theoretical and a practical field work/ is intended to
acquaint students with the basic notions procedures of slum upgrading programs. With
this,

FIRST. The different approaches principle of urban up grading is introduced in addition

the different techniques tools of analyzing slum areas will be discussed.

SECOND, students will be introduced with the different techniques applications and
procedures of upgrading and will be working on the preparation of a small area plan on a
selected site.

Data Collection Instrument

Check list for physical survey
The main objective of this observation checklist is designed in order to filled using personal
visual survey and physical observation of the case study area. The physical survey serves as the
basic skeleton towards to analyzing and explore the ground reality; how Urban Land-use
planning and implementation impact on Physical, Social, Economic and Environmental
development. And how can influence on an area user, practitioners and developers on core,
transitional and suburban areas of the city, particularly on, Inner cities in Addis Ababa.

General directions: -
1. Allocate the study area geographically,
2. Explain the study area historically, socially and economically.
3. Demarcate the study areas.
4. Update with Google MAP and Digitalize the study area with AutoCAD/ GIS software.
5. Prepare updated map for each type of analysis with known scale (in soft and hard copy).
6. After physical, Social, Economic and Environmental, etc., analysis produce constraint and
integrated map.
Direction:
o When you are observing the site; please sketch, take picture and notes.
o Observation and counting are very important to understand the percentage between
different categories e.g. age, gender (men and women), others.
o Interview – by formally or informally asking – owners, users, inhabitants, passersby…
others.
A. Physical analysis
Get a topographic map in 1:500 or 1:1000 scale and mark physical feature and other land uses
1. Identify the type of building by using Colors, Name, Code, etc.
A/ Residential (Res) B/ Commercial (Com) C/ Retail (R) D/ Office (O) E/ Manufacturing
G/ Administration H/ Service I/ Storage J/ Forest K/ Park L/ Agriculture M/ Other
2. Show the building height on the map using the colour, name, Code, etc.
A/ Single story structure B/ G+1, C/ G+2, D/ G+3 E/ G+4 F/ G+5 G/ G+6 H/ G+7
I/ G+8 J/ G+9 K/ G+10 L/ G+11 M/ G+12 N/ G+13 O/ G+14 P/ specify it.
3. Identify the building typology (shape or form): - Architectural Identity
A/ Traditional Ethiopian single story
B/ Pavilion type – freestanding
C/ Parameter block solid
D/ Parameter block podium and tower
E/ Service attached with back fence and main house
F/ Service attached with side fence and main house (Left or right)
G. Specify other
4. Indicate the plots shapes and state their impacts on the healthy development of the
neighborhood.
5 Calculate and create a maps
5.1/ The total area of the study area;
5.2/ Built-up to area ratio (BAR) for building, block, Parcel and plot; (use table)
5.3/ Floor to Area Ratio (FAR) for different type of building; (use table)
5.4/ Residential and other uses density and expressed as dwelling units per
Km2 (DU/Km2). (use table)
5.5/ Ratio of residential to non-residential land uses in km2. (use table)
5.6/ Solid void relationship. (use map)
5.7/ Block arrangement. (use map)

6 Identify and measure the width of pedestrian walkways, streets, road, access car parking, plaza,
ramp, stair, etc. (use table and map)
o Allocate the paths - roads or streets - used by public transportations.
o Allocate the stops of public transports --- bus and taxi stops
7. Count the number of pedestrian users’ volume, cars and other means of transport…; at
different
time per day, by weekdays and weekends. (use table and text)
8. Mobility characteristics
o Which time is a pick hour of mobility of that specific area- form where to where and
for which/ what purpose?
o Identify the users by age, gender and other.
o who is the majority user of the public, private transport--- and who is going where –
towards which direction?
o What time do you find the majority of different age group, gender (the female/
women) in the streets – doing what? Form where are they coming, for what purpose?
o What time do they spend on commuting-to reach here or to the place they are going?
9. Open Space and Street Infrastructure – soft-scape and hard-scape (seating areas,
 street lightings, public toilets, green areas
10. Indicate if any urban furniture/ amenity available in the study area.
11. Safety, comfort, accessibility: - are the residential areas (neighbourhood), outside and
within
the compound safe, comfortable and easily accessible for different age groups, gender
(women/
man) and others who are rent and live? - Time factor – when are they mostly difficult for
move, why?
12. Indicate access to the plot or building; and floor to floor with in the building.
13. Indicate the front facade/ main entry of the building that face to street.
14. Is the building interact (pedestrian friendly) with the street? Yes, or No….
o If yes, explain how interactive …...;
o (HOW – in terms of visibility and safety? – safe and friendly for whom? – Age,
gender (man or woman) and others;
o What type of space are there an open, closed, vacant spaces, narrow alleys/ passages
between buildings?
o What is their areas (L*W)? (if necessary include height (H))
o How are their conditions or what are they used for? Are they safe - to whom?
15. Are the buildings built with setback (Front, back and side)? Yes, or No,
a. If yes, what is the length of the setback ____ mts,
b. What activities are going on the setback? _________________________
16. Identify any physical obstruction in the study area.
17. Slope analysis: using the contour classify the slope, determine where urbanization is
allowed and where not. (use GIS for analysis and develop map and table)
18. Infrastructure facilities: Street network, Water supply, Electricity, Drainage, Sewer line,
etc. (use map and table)
19. Measure the distance of every services from the center of study area and compare with
residential and non-residential land use.
20. Sketch and show the connectivity of an area with each other and with other part of the
region.
(Main road, access road, shops, services)
21. Count number of land uses frequency obtained from in specific unit area.
22. Identify the number of key facilities for every 100 residents (key facility/100 residents).
23. Compute percentage of each land-use type of study area.
24. Calculate Percentage of specified number of uses and categorizes in to two, four or six and
more, etc. of study area.
25. Integration analysis: Nodal, intervention. (prepare map)

B. Social analysis
Get a topographic map in 1:500 or 1:1000 scale and mark every social activities’
1. Indicate every Social facility institution.
2. Analyze the adequacy and/or shortage of he services and facilities against the standards
set by existing regulations.
3. WHO are the OWNERS of the following social service infrastructure (Government,
Public, Kebele, private (men/ women), Non-government (NGO), others? … formal/
informal; type and condition, etc.
o Education: (nurseries, daycare, KG, elementary, high-school, colleges, universities,
etc.,), libraries.
o Sport and Recreation centers for different groups in age (children, youth, men, old,
etc.), gender (women/ men), other.
o Worship places
o Health, Religious,
o public services, cafes, parks, seating areas,
o administration...
o others.
4. Who are the users (for each services)– inhabitants of that area or coming from other areas?
5. If so, from which portion of the city frequently came? why they came?

6. Housing analysis
6.1 Indicate Plot sizes and make analysis of the different house sizes.
6.2 Indicate the Orientation of plots to control climatic conditions.
6.3 Physical condition of the house (standard Vs substandard, condition of housing facilities
(toilet, kitchen, etc.), Age of housing units, etc.)
6.4 Indicate the construction materials used for flooring, walling, and roofing.
6.5 Classify the Housing/ Building conditions into three categories: - Good, Fair/Medium, Poor.
6.5.1 Identify and Categorize the HH type: nuclear, extended, single person
6.5.2 Typology – architectural identity, size and number of floors ….
6.5.3 Ownership status - private (female or male), public, community, kebele, rental…,
formal and informal housing,
6.5.4 Allocate any facilities that are built specific to different age group, gender (women
or men)? - if there are any collective housing…. a number of
houses that are rented within a plot…, for what purpose.
6.5.5 How many residential houses in the study area?
6.5.6 How many rented for commercial /office use in the study area, etc.?
6.5.7 How many houses in a plot (area of the plot and size of houses);
6.5.8 How many houses (service quarter) rented in a plot?
6.5.9 How many families or singles live in one plot?
6.5.10 What is the exact family members that having one household in study area?
6.5.11 What is the current rental price of the houses (the whole compound and the single
service quarter in m2)?
 6.5.12 House – includes what facility – shared or included in the rooms.
7. Demographic characteristics of the site: population characteristics (size, age in different
category (children, youth, adult, old, etc.,), gender (female and male), disable, living status,
education level, religious, etc.,
8. Social spaces – Open/Closed; Squares, Informal and Formal, hard and soft space, public
infrastructure used for social activities …)
9. Identify and list the NGOs and Community Based Organizations (CBOs) such as Idir and
Equb,
Mahiber, Youth, and Women's associations etc. (present in the project area and their past,
current and potential future roles
10. Identify the Level of unemployment (Number and Percent)
11. State Crime levels as Critical, Moderate or Negligible by consulting key social Groups
12. Identify the Household income and Categorize the into three income/Affordability levels
(Low,
Medium and High Income Group or e.g., <Birr 400; 400-2000; and >2000 Birr per month),
Indicate the sources of income.
13. Indicate expenditure on Housing and related issues in the last 3 years (for purchase,
maintenance, rental,)
14. Identify the Housing Need/Demand Gap

C. Economic analysis
1. Source of an income for Households (HHs).
2. Economic condition (Income level, category of the HHs, Saving behavior, others.
3. Ownership of the property/ land private (women/ men), jointly, public, community,
government, etc.
4. Identify the tenure system (Freehold, Leasehold, Public Rental, Squatter occupation, Squatter
Rental, etc.) and record the data on the site plan.
5. How many employed, self-employed; house wives/husbands, students, dependents– classify
by age, gender and other groups?
6 Types of jobs in study area – who is working on what categorize in age, gender (female/ male)
and disability, other?
7. Observation and counting - Economic infrastructure and activity that developed in the study
area.
 Any income generating and service giving infrastructure: all open and closed facilities.
 Existing service facilities giving functions for urban dwellers: Markets, Micro, Small and
Medium Enterprises (MSME); any large scale industries. Who is doing what - classify in
age, gender (men and women) and other.
 Formal and informal income generating activities in the area –– street vendors, ‘arquebe
shops’; artisans, garage, work-shops, cafes, BUNNA vendors, restaurants, stores,
supermarkets, shop/ souk, boutiques, ‘souk bederete’ ….
  Ownership by activities - Public and Private properties – rented spaces (shops, cafes,
restaurants, BUNNA vendors, private owned, government owned… classify in age,
gender (men or women), others.
 Users by activities - classify in age & gender (men or women), other.
 Time factor – which income generating activity starts at what time – Why?
 Owners and users – do they live in that area or do they come from other place – if so,
from where and why- can’t they afford to live there or where they displaced and coming
back for their ongoing work …?
8. Identify potential economic development opportunities
° Employment generation activities;
° Potential investment (private or public).
NB: - All of the above –observation and counting classified by Age, gender (men / women),
disability, others

D. Environmental analysis
Get topographic map in 1:1000 or 1:2000 scale.
1. Locate the site, Administrative boundary measure and record the Size, Shape contour and
other Topographic Features
2. Indicate the City Development Plan proposals and show areas of agreement and disagreement.
3. State how the City Development Plan Proposal may affect the Project
4. Assess and locate major Environmental Components
o Solid and Liquid Waste Disposal System and level pollution
o Presence of Air, Water and Sound Polluting Elements in the area
o Other Natural Features (Water Bodies, Swamps, Landslides, Flooding, Quarry Sites,
etc)
5. Vegetation: type, coverage and location (with in plot, parcel, street, etc.)
6. Soil type physical observation;
7. Climatic condition of the site: Temperature, Rainfall amount, Prevailing wind direction.
8. Natural future: Land scape element (field, forest, park, river, hill, etc.)
9, Open Spaces – Public and Semi-public spaces; Private and Semi private space
10. Hydrology and Geology feature of the area
11. Identify any environmental pollution (sound, noise, etc.) in the unit of analysis.

F. INSTITUTIONAL, REGULATORY AND FINANCIAL FRAMEWORKS ANALYSIS:

1. Policy and Regulation analysis of the study area:
1.1 Study area Vs Structural plan,
1.2 Study area Vs Intervention map of Addis.
2. Urban Development policy, Existing urban planning regulation and standards of building
height, set back, etc. (use table and text)
2.1Identify Government Institution, NGOs, CBOs (and a Private Company in a Renewal project)
 that could be appropriate to carry out the proposed project.
2.2 Identify the Human resource capability in these institutions (or possibility for mobilizing
from elsewhere) to carry out the proposed project (Urban Planners, Architects, Economists,
Sociologists, Technicians, Urban Management Experts, etc)
2.3 Compare the potentials resources against the standard requirements set.
3. Legal Framework Analysis
3,1 Identify the existing Urban Development and related Regulations (Land regulations,
Compensation and Relocation, Planning regulations, Construction permit regulations etc)
3.2 State whether they are opportunities or threats for the proposed project.
4. Financial and Economic Analysis
4.1 Calculate
o Land Costs
o Infrastructure costs,
o Building Costs, and
o Institutional and management costs
o Other development costs,
4.2 Identify potential sources to cover the costs
Tips to the Tasks
o The primary data collection should start from reviewing existing plans, documents and
ongoing projects. SP and LDP already in place give good framework to start with.
o For the socioeconomic data primary information may be obtained from Central Statistics
Authority (CSA) Abstracts and from NGOs with project implementation experiences in
the area or in the surrounding neighborhoods.

Major Deliverables
· Summary of data collection and analysis results
Key Checkup Questions
1. Have all the relevant data been collected and analyzed?
2. Have all key sources been exploited?
3. Are the key stakeholders consulted?