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NUPLEARNING MANUAL PARTICIPANT LEARNING

RESOURCE GUIDE

2 NUP LEARNING MATERIAL; PARTICIPANT LEARNING RESOURCE GUIDE

NUP LEARNING MATERIAL; PARTICIPANT LEARNING RESOURCE GUIDE

First published in Nairobi in 2019 by UN-HabitatCopyright © United Nations Human Settlements Programme, 2019

All rights reservedUnited Nations Human Settlements Programme (UN-Habitat)P. O. Box 30030, 00100 Nairobi GPO KENYATel: 254-020-7623120 (Central Office)www.unhabitat.org

HS Number: Financial Contribution and Support: Government of South Korea

Acknowledgements

Authors: Remy Sietchiping, Grace Githiri and Lee Ann ReaganLayout: Jean Robert GatsinziThe authors of the National Urban Policy (NUP) Pilot Learning Materials- Instructor’s Guide would like to thank the kind assistance and contributions of the Regional Metropolitan Planning Unit (RMPU) staff, including:

Kamel Bouhmad John OmwambaJackson Kago Themba PhakathiSeongho Kim Jane ReidJayne Kimani Carmen SanchezMichael Kinyanjui Runze WangEric Omaya Alberica Bozzi Thank you to the Capacity Development Unit, specifically Claudio Acioly and Lilia Blades, for their support and involvement.The NUP learning materials would not have taken the form they have without the feedback and thoughtful input of all of the online survey participants and those who agreed to be interviewed one on one.

Disclaimer The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers of boundaries.Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, the United Nations, or its Member States.

Excerpts may be reproduced without authorization, on condition that the source is indicated.

NUPLEARNING MANUAL PARTICIPANT LEARNING

RESOURCE GUIDE


Summary

Urbanization is rapidly and increasingly changing the economic, social, cultural and environmental dynamics in most developing countries. This transition may result in challenges as poverty, unemployment, draining of cultural heritage, climate change and environmental degradation among others. It may also accelerate economic opportunities, social cohesion, technological innovations, cultural diversity among other benefits. This necessitates the need for management of the urbanization process through tools such as NUPs. Up to 41 countries have requested UN-Habitat to support them in NUP process; more discussions on the demand for NUP are still underway. The NUP learning material is thus to meet a need of transferring the knowledge of NUP but also the ability to conduct the NUP process to the relevant stakeholders. The learning material is meant to equip policy makers and decision makers in NUP process through trainings and training of trainers’ events among others.

The NUP Participant Learning Resource Guide is designed specifically for participants of a training whereas the trainer has a separate material; the instructor’s guide. This material contains summaries of some of the resources already provided to use during the learning event. The Participant Learning Resource Guide has been organized in three modules: introduction to NUP, NUP process and assessment and thematic NUP application. By the end of this learning event the participants should be able to 1) understand the role of NUP towards sustainable urbanization 2) understand NUP Process and how this is conducted in practice 3) Understand how to asses NUP and finally 4) understand the thematic application of NUP. The material contains the vision and mission of the

unit of UN-Habitat offering this service and the pillars of the respective unit capacity development strategy. The road map, pedagogy, the assumptions in this learning event and the indicators of success are also included. Each of the module is a chapter on its own and gives a description of what the module entails. Before the learning event the participant will be engaged through the pre-engagement questionnaire

In every module, there are questions for the participant to test the level of understanding and the also learning events to be done in groups as directed by the instructor. There is also a sheet where in every module the participant should fill the highlights, actions, resources and pictures. In two modules, there will be case studies which the participants will be given in their learning package to apply their learning. Theory of change is a concept that this learning even is based on and will be applied throughout the learning event.

The first module will focus on what NUP is what a highlight of the phases, pillars and the principles. The participants are to get an understanding of these terms and concept since they will be relevant for the other modules. Module two cannot be done in isolation from module one as this module is the foundation of this learning event. The second module on the NUP phases answers (4/5Ws) where applicable; what, why, when, How, by who or for who. It gives the description of the activities that each phase entails in describing the How: the feasibility phase, diagnosis phase, formulation phase, implementation phase and monitoring and evaluation phase. The next module entails understanding how to review NUP in every phase.


This entails a checklist of the requirements for a successful NUP phase in practice and what the assessor or reviewer should look at in the output of every phase. The last module is on thematic application of NUP; where NUP could be developed, or reviewed incorporating particular themes. UN-Habitat has developed and is still developing thematic NUP guides

which users can use to incorporate these thematic areas with deeper detail in their national or sub-nation NUPs. The whole learning event will be practical in ensuring that the participants are engaged and are able to answer a few question as regards the various concepts learnt.


Glossary of Terms

These are the definitions of these terms as used in this document.

Theory of change (TOC): articulates and illustrates the causal relationship between the different level of results from the immediate results/outcomes/preconditions to the intermediate results/outcomes/preconditions to the desired change or long-term outcome. It was chosen as one of the key elements of the capacity development strategy in order to try to encourage systems change in the places where learning events are to be undertaken. UN-Habitat Results-based management hand book1 outlines and gives detailed information about the concept and application of theory of change.

Transfer of learning/ knowledge: refers to learning in one context and applying it to another, i.e. the capacity to apply acquired knowledge and skills to new situations. is another of the key elements of the capacity development strategy in order to increase the chances that the learning literally transfers to the workplace, that it gets applied and used and therefore has a greater chance of effecting change related to the subject matter, in this case NUP.

Learning and development: As opposed to training, “learning & development goes beyond study, information or knowledge transfer into the realms of ‘capabilities & sense-making’ that expand the options for action… embraces culture & context by recognizing that the same information & processes can lead to the creation of different meaning in different cultural traditions & perspectives.”

Capacity development is the process whereby people, organizations & society as a whole unleash, strengthen, create, adapt & maintain capacity over time.

ICT: Stands for “Information and Communication Technologies.” ICT are technologies that provide access to information through telecommunications. It focuses primarily on communication technologies which includes the Internet, wireless networks, cell phones, and other communication mediums.

A community of practice (CoP) is a group of people who share a craft and/or a profession. A CoP can evolve naturally …, or it can be created deliberately . CoPs can exist in physical settings, …, but they can also form a “virtual community of practice” (VCoP) when they collaborate online, such as within discussion boards and newsgroups, or a ‘‘mobile community of practice’’ when members communicate with one another via mobile phones and participate in community work on the go.

Pre-engagement Strategy: Catching and holding participant’s attention and engaging participants prior to the learning event not only builds interest but also ideally ownership of the process and the content.

Post Engagement Strategy: it recognizes that participants bring prior experience to the learning event and supporting that experience will help lead to application and integration of the learning.

1. https://unhabitat.org/books/results-based-management-handbook/


NUP assessment: This is the process by which the requirements of NUP product and process for every phase are checked to identify gaps and areas of improvement. In this guide the requirements for every phase derived from what every NUP phase entails have been highlighted and developed to form a checklist.

Stakeholders: is an organization and/or individual who has the capacity to influence or be influenced by the program, initiative etc. (in this case the National Urban Policies).

Target audience: From the stakeholders, not all would be appropriate to participate in a NUP learning event and thus they include the change agents who work with National or sub-national Governments or other organizations and/or can influence National Governments

@HARP: A tool for the participants to summarize what they learn in a session, this includes: Highlights, Actions, Resources and Pictures


Acronyms

NUP: National Urban Policy

NUF : National Urban Forum

NUP Learning event: occasion of application of the NUP Learning materials

NUP Phases: Feasibility, Diagnostic, Formulation, Implementation and Monitoring and Evaluation

NUP Pillars: Participation, Capacity development and Acupuncture projects

RMPU: Regional and Metropolitan Planning Unit of UN-Habitat


Table of Contents

SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8

TABLE OF CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12

I . CONTEXT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

II. Learning Material Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

III. Learning Objectives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

IV. Assumptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

V. Pedagogy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19

VI. Key success indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21

VII. Transfer of Learning - H.A.R.P.s© . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22

VIII. Self-reflection – Part One . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23

MODULE 1: INTRODUCING NUP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

1.1 What is NUP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

1.2. Reasons why NUP matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

1.3 How is NUP formulated and implemented. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26

1.4 NUP Theory of Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

1.5 Principles of NUP process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32

1.6 Stakeholders in NUP Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33

1.7 Summary of module 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33


MODULE 2: NUP PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .34

2.1 Feasibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .34

2.2 Diagnostic Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37

2.3 Formulation Phase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40

2.4 Suggested stages and outputs of the formulation phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41

2.4 Implementation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

2.5 Monitoring and Evaluation Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49

MODULE 3: THEMATIC APLLICATION OF NUP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54

3.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54

3.2 Guidelines for mainstreaming a theme to NUP using the Quick guides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .58

CONCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .64

APPENDICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .65

RESOURCES FOR FURTHER READING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .78

REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .79


Introduction

This Participant Learning Resource Guide is one part of the overall National Urban Policies (NUP) Learning Materials. We hope it is a helpful, engaging guide to your learning about and applying the NUP Process.

UN-Habitat defines NUP as “coherent set of decisions derived through a deliberate government-led process of coordinating and rallying various actors for a common vision and goal that will promote more transformative, productive, inclusive and resilient urban development for the long term” (UN-Habitat, 2014).

The NUP Participant Learning Resource Guide was researched and designed under the Regional and Metropolitan Planning Unit (RMPU), which falls within UN-Habitat. The work of UN-Habitat in this area and the development of guidance on National Urban Policies is rooted in the Governing Council resolution HSP/GC/24/5 which “requests the Executive Director in consultation with the Committee of Permanent Representatives to develop a general guiding framework for the development where appropriate of national urban policies, based on international good experiences, to further support member states when developing and improving their urban policies” and governing council resolution HSP/GC/25/4 which “requests the Executive Director to further strengthen partnerships, peer learning and a community of practice approach on national urban policies as means of supporting national and local governments as they develop and implement such policies”.

In consultation with partners, UN Habitat is developing tools to aid countries with undertaking a National Urban Policy: all throughout the feasibility, diagnostic, formulation, implementation, and monitoring and evaluation stages of the process.

UN-Habitat has received a range of requests to support national governments to develop, implement and/or track progress of their national urban policies. Thus, it is required to develop training and capacity development packages to support member states. A detailed report of the design of the NUP learning materials, and the feedback from the pilot, can be found in the NUP Pilot Learning Event report.

The NUP learning materials were designed to align with the RMPU capacity development vision, goals and principles and pillars (see the RMP capacity development strategy (in the resources for further reading) for more information).

RMPU capacity development vision: is to enable the Regional and Metropolitan Planning Unit to identify and expand internal and external stakeholder capacities through a focus on learning and development in order to instigate institutional and systems change through the Unit’s thematic programmes.


RMPU CAPACITY DEVELOPMENT GOALS AND PRINCIPLES

CAPACITY DEVELOPMENT GOALS LEARNING AND DEVELOPMENT PRINCIPLES

Increase engagement of stakeholders, targeted audiences and participants

Implement a holistic view of learning and development, as well as capacity develop-ment

Collaboration: Look for ways to increase collaboration

Continuous: Design for continuous and joint learning.

ICT-Enabled: Include the strategic use of social media and ICTs

Flexible: Include a wide range of learning and development, that includes institutional development, subject matter expertise and training of trainers

Inclusiveness: Design for socially inclu-sive learning materials that have �exibly methods of delivery

Participatory: Design for increasing participant ownership and use prior learning assessment to gauge zones of proximal development

Be innovative

Ensure learning materials are connected

Ensure learning materials are relevant

Ensure learning materials are useful and practical


This Participant workbook is one component of the National Urban Policy (NUP) Learning Materials. The other components of the Learning Materials package include:

Instructor Guide

National Urban Policy: A Guiding Framework

NUP flyer

Pre-engagement Strategy learning materials

Case studies (including participant case studies)

Post-engagement Strategy learning materials

PowerPoint presentation

Access to the online learning resources portal

NUP Pilot Learning Event report

If, after completing the NUP learning event, you are interested in enquiring about becoming a NUP learning event instructor please contact [email protected].


National urban policies (NUP) have increasingly been adopted by countries in enhancing sustainable urban development and the achievement of the global agendas as the sustainable development goals (SDGs) and the New Urban Agenda (NUA) among others. NUP was selected as one of the ten thematic policy units affirming the instrumental nature of the NUA in preparation of habitat III.

The NUA also put emphasis on NUPs as one of its five pillars of implementation and encourages the need for capacity of the governments to develop and implement these policies. NUPs have also been proposed to be used as monitoring tools for the SDGs through indicator 11. a.1. UNECA in the regional approach to leveraging urbanization for Africa’s structural transformation publication2 notes that in order to respond effectively to urbanization, strategic, cross-sectoral and multi-scale approaches with effective policies and institutions with planned coordination between local, national and regional actors is key. This publication also indicates that opportunities to leverage urbanization exist but would require deliberate, effective and proactive policies and strategies. Steering urbanization towards inclusive and sustainable growth requires strengthening policy and planning capacities at regional, national and subnational levels.

These reasons therefore present a need for the capacity development of the countries to develop, implement and review their policies; and the learning materials both the Instructor’s Guide and Participant Learning Resource Guide would play this role.

I. Context

Out of the 150 countries which UN-Habitat conducted a NUP study, half of them (76) have adopted explicit NUPs and the rest (74) have partial NUPs. Out these countries; 92 of them are already in the process of implementing their NUPs; whereas, 58 of them are in the process of developing their policies. In terms of the NUP phases/stages only 19 countries are at the monitoring and evaluation phase of NUP. the regions where most countries are at the implementation stage are countries in Europe and North American regions.

This is in comparison with the African and Asian regions where 40% of these countries are in the stages of developing NUP. In terms of an agency in charge of NUP implementation; majority of countries do not have a specialized urban agency. Of the 150 countries with NUPs, only 57 have specialized urban agency and 83 have a general planning authority to oversee policy. Having a specialized agency is one of the indication of the level of political attention given to urbanization in a particular country. There are several challenges in implementing NUP successfully which include: lack of resources (human, institutional, financial) and inadequacy of policy instruments and institutional capacities to coordinate and implement NUPs.

Source: Global state of NUP 2018; pp21

2. UNECA; 2017, A Regional Approach to leveraging urbanization in Africa’s structural transformation; Publication section Economic commission of Africa; Addis Ababa, Ethiopia


UN Habitat seeks to achieve sustainable urbanization through four major intervention areas: Reduced poverty and spatial inequality of the urban and rural communities, Enhanced shared city prosperity and regions, strengthened climate action and improved urban environment and Effective urban crisis prevention and response. NUP seeks to ensure sustainable urbanization addressing urbanization challenges in urban areas tackling the all thematic areas.

This is also being enhanced with quick guides on how the various challenges can be mainstreamed in NUP. Therefore, NUP are formulated with the aim of tackling the urbanization challenges while offering sustainable solutions to sustainable and prosperous cities.


The modules of the Participant Learning Resource Guide are:

Module 1: Introducing NUP

Module 2: NUP Process and Assessment

Module 3: Thematic Application of NUP

The NUP participant learning resource guide seeks to achieve 4 objectives:

1. Understanding of what NUP its role towards sustainable urbanization

2. Understanding NUP Process and how this is conducted in practice

3. understand NUP assessment

4. understanding how NUP relates with other sectors

The following assumptions guide the NUP learning event; both the assumptions of NUP process and learning process.

• Incorporates three key pillars: participation, capacity development and acupuncture projects

• NUP process is both political and technical requiring a political process of mobilisation and sustained effort and a technical process of building institutional capabilities, procedures and financial instruments

• Acknowledges dense integrated urban development requires focused effort

• Utilizes the approach that it is better to plan ahead than to rectify afterwards

• Promotes and supports participation and transformative projects

II . Learning Material Summary

III . Learning Objectives

IV . Assumptions


• Recognizes complexity – complexity of environments, stakeholders, etc.

• Is based on institutional capacity building

• Focuses on learning and development, over training

• Recognizes that one size doesn’t fit all – there is not one way to complete a NUP and therefore we emphasize process over content.

• Supports the process as iterative, interwoven, integrated and has multiple entry or access points.Learning Process Assumptions:

Learning Process:• Recognizes the learning materials as living documents – that is, based on current learnings, they are meant

to be continuously edited, updated, added to etc.

• Recognizes the conundrum of creating resources that are specific enough to fit contextually, while at the same time general enough to be applied in a wide variety of contexts.

The NUP Process Learning Materials are based on the following pedagogies:

• Collaboration - everyone is both a teacher and a learner, we will emphasize peer to peer learning

• The process - learning from examples then customizing those to your context

• A non-linear approach – echoing the iterative policy design- the learning materials focus on an organic, non-linear, iterative process. For example the 3 NUP pillars are meant to be woven into the entire policy process.

• Perspective taking – because understanding various stakeholder’s perspectives is key to working collaboratively, holistically and contextually

V . Pedagogy


• Transfer of learning (ToL) is key – we will incorporate accountability partners as well as peer to peer presentations to ensure the learning is mobilized and applied

• Continuous joint learning – we are planning for ongoing learning, including, as much as possible, tools to assist you in continuous, joint, ongoing learning

• Asset based – we are taking an asset based approach, building on what already exists

• Holistic approach – we are incorporating a holistic approach, recognizing that many interrelated elements go into creating a NUP

• Context based – we are including a highly contextual approach, including an appreciation and incorporation of culture, and existing capacity

• Cross-cutting – we are incorporating, where possible, appropriate attention to cross-cutting issues (gender, youth etc.)

• Technical skills – we recognize that technical skills are only one component of capacity in complex situations (As the NUP Policy process is both political and technical – see the previous assumptions for more information.)

• Demand-driven capacity development – we emphasize demand-driven capacity development

• Social media and ICTs – in order to encourage ToL, engagement, transparency etc. We are committed to incorporating appropriate social media / ICT’s.


VI . Key success indicators

We’ll know we’ve been successful in this learning event if it is:

• Relevant – the learning materials and the learning approach are relevant to the goals we set out to achieve.

• Efficient – the learning process is efficient and learner’s time is well used.

• Effective – the learning materials and learning process are effective in building, transforming and applying new knowledge and skills.

• Practical / useable – the learning materials are practical and useable and therefore enable the NUP Process to be put into practice

• Customized – the learning process can be customized to meet specific contexts

• Transfer of learning – clear action plans are in place that transfer the learning, support effecting change and support creating and continuing a community of practice and culture of learning.


VII . Transfer of Learning - H .A .R .P .s©

Focus on:

This tool is an example of how to transfer your learning. Harness your muse. Like a beautiful piece of music where all the strings strum together to produce sound, so too can your learning. Use your H.A.R.P.© so you can capture, transfer and transform your learning.

Highlights Actions

Resources Pictures

Figure1. Transfer of Learning


The following questions are meant to help you digest, process and apply your learning.

1. Is there anything you need to do to help you focus and relax into the learning event? Yes No

If so, kindly give two of these?

2. Give 2 areas out of the 4 objectives which you would like mostly to learn about the NUP Process or in the

NUP Capacity Development and Learning event?

3. Take a moment to reflect on the learning objectives. Please comment on them as you wish. Are there any

other learning objectives you would like to set for yourself and/or your institution?

Please feel free to add them below.

Understanding of what NUP its role towards sustainable urbanization

Understanding NUP Process and how this is conducted in practice

Understand how to review NUP

Understanding how to use the NUP thematic guides

4. Please give two aspects that will assure you if the learning event has been a success?

5. Highlight 2 aspects of the training that will strengthen your institutional capacity?

6. Tell us two things you are looking forward to in the learning event?

7. What 2 questions would you like answered by the end of the day?

VIII . Self-reflection – Part One


This section will achieve four objectives

• What is NUP;

• How is NUP formulated and implemented;

• Who is involved and;

• Why is this conducted

1 .1 What is NUP

A NUP is an essential tool for national and sub-national governments, which, when developed in consultation with all the relevant urban stakeholders, it can provide an opportunity to control urbanization and capitalize on opportunities of urbanization. The value of a NUP is not only in the product, but is also in the process. The development of a NUP can promote good practices, such as stakeholder consultation, capacity development and evaluation of country policy processes.

A NUP is an important tool for governments that seek to manage and direct rapid urbanization, and to tap into urbanization’s positive effects while accommodating its inevitable stresses. According to UN-Habitat, a NUP is:

A coherent set of decisions derived through a deliberate government-led process of coordinating and rallying various actors for a common vision and goal that will promote more transformative, productive, inclusive and resilient urban development for the long term (UN-Habitat, 2014)

Currently there exist two forms of NUP proposed by UN-HABITAT namely: Explicit/Formal and Partial. Explicit NUPs are observed where a policy has a title of “National Urban Policy” or a variant such as “National Urbanisation Policy” or “National Urban Strategy” or “National Urban Development Strategy” examples include: Jordan National Urban Policy, Rwanda Urbanization policy and Vietnam National Urban Development Strategy. Partial NUPs refer to a policy form in which many elements of a NUP exist but they are not yet brought together as a formal/explicit NUP; examples are: Japan National spatial strategy, Zimbabwe growth point/rural service center strategy and Singapore concept plans. This distinction may be more conceptual and organisational, rather than a definitive difference, but it is ultimately useful to review the degree of clarity with which a NUP is spelled out.

MODULE 1: INTRODUCING NUP


1 .2 . Reasons why NUP matters

UN-Habitat has identified more than 20 reasons why NUP matters for any country or region. NUP is an important tool that helps address key planning questions such as population trends, urban trends and the benefits of urbanization at a national or sub-national level. It should also be noted that NUP is a pro-people process that contributes to increasing opportunities for all ensuring No one and no place is left behind. NUP also give the national government authority and framework to devolve functions to not only the local authorities but also other urban actors. It also creates a common vision for urbanization at the national and sub-national level while transforming the mindsets of all stakeholders. NUP if well implemented in good coordination among all the respective authorities results into huge long-term returns. It also contains action-oriented political statements towards urban development.

NUP also results in balanced development at both the national and sub-national levels through the robust and continuous iterative process. NUP is a cross-sectoral tool ensuring no issues are left out by the national and sub-national government’s discourse. NUP is pro-active in that it is able to anticipate forthcoming challenges while preparing the conditions for reaping the potential benefits and opportunities. NUP is a framework that steers a national or sub-national entity towards a uniform urbanization direction while supporting cities and human settlements. NUP supports the implementation of the SDGs and the NUA in promoting more transformative, productive, productive, inclusive and resilient urban development. It also provides an overarching coordinating framework for addressing urban challenges. NUP enhances national socio-economic benefits while also giving an effective management framework. It also promotes inclusive urban development while also providing a precautionary

Source: 20+ Reasons why National Urban Policy Matters; http//:urbanpolicyplatform/

3. 20+ Reasons why National Urban Policy Matters

3


framework for national or subnational development. Good urban policies provide the conditions to reduce poverty and spatial inequalities for all ensuring no one and no place is left behind. NUP can involve programmes to strengthen the connectivity and cooperation between cities and their hinterlands. NUP finally also is a key instrument in reasserting the importance of the territorial and spatial dimension in policy-making.

1 .3 How is NUP formulated and implemented

This section describes the framework for NUP formulation and implementation, NUP supporting pillars and NUP process.

1.3.1 Framework for NUP formulation and Implementation UN Habitat seeks to achieve sustainable urbanization through four major intervention areas 4Ps: (People)Reduced poverty and spatial inequality of the urban and rural communities, (Prosperity) Enhanced shared city prosperity and regions, (Planet) strengthened climate action and improved urban environment and (Peace) Effective urban crisis prevention and response

NUP seeks to ensure sustainable urbanization addressing urbanization challenges in urban areas tackling the all thematic areas. This is also being enhanced with quick guides on how the various thematic areas can be mainstreamed in NUP. Therefore, NUP are formulated with the aim of tackling the urbanization challenges while offering sustainable solutions to ensure sustainable and prosperous cities. These intervention areas of UN-Habitat form the basis for NUP development despite there being the possibility of adopting them to the local context based on local needs. They have also been detailed to entail the following which can assist policy makers in developing NUP ensuring that no key area is left out in the policy proposals:

a) Reduced poverty and spatial inequality of the urban and rural communities (People): This entails increased and equal access to basic and social services, and sustainable mobility, increased and equal access to land, and adequate and affordable housing, Increased and equal access to public space and enhanced social integration, inclusive communities and effective urban regeneration

b) Enhanced shared city prosperity and regions (Prosperity): Improved spatial connectivity and productivity of cities and regions, increased and equal access to decent jobs and livelihoods, increased and fairly distributed


locally generated revenues and expanded deployment of frontier technologies and innovations for urban development

c) Strengthened climate action and improved urban environment (Planet): Improved protection of urban biodiversity and ecological assets, Reduced greenhouse gas emissions and improved air quality, Improved resource efficiency and sustainable waste management and Effective adaptation of communities and infrastructure to climate change

d) Effective urban crisis prevention and response (Peace): Secured Housing Land Property Rights, Enhanced social cohesion and Inclusive planning for conflict prevention and recovery, Improved living standards and inclusion of migrants, refugees and internally displaced persons and Enhanced resilience of the built environment and infrastructure

Discussion guide: Present your highlights to the large group and discuss.

• Highlight at least one way in which each of the 4Ps relate your country’s NUP development/assessment

1.3.2 The Supporting Pillars of NUPNUP Process is based on three key pillars which are: Participation, Capacity development and acupuncture projects. These pillars must be applied throughout the NUP process and not in a particular stage of the policy process. These pillars are key in the overall sustainability and effectiveness of the policy. Participatory approach entails engaging the public throughout the process of policy formulation, implementation, monitoring and evaluation. The degree of public engagement varies from publicity to public partnership as shown in the continuum in figure 2.

Capacity development entails improvement/enhancement of the capacity of all levels of government among other stakeholders towards building a sustainable policy; should be throughout the policy process. It is through the assessment and enhancement of the financial, human and institutional capacities that it is possible to ensure that a NUP can successfully be developed, implemented, monitored and evaluated.


Acupuncture projects are the quick wins of the NUP the policy proposals are implemented. This ensures that the policy directives are relevant but also implementable. It also gives an opportunity for revision of the policy if challenges are encountered thus promoting an interactive policy design. This is also conducted throughout the policy process. It includes small projects like say as regards improving the transport infrastructure in rural and peri urban areas; there being evidence of transport projects being executed in say a small town or a village. Others include if it’s the required capacity development of the human resource

Discussion guide:

◊ Is there a specific pillar you feel is most important to apply in your context? Give at least one reason why.

◊ Give at least one way in which you would incorporate each of the pillars in your country’s NUP (development/assessment)?

◊ Briefly describe how each of these pillars would bring about a cycle of changes giving a specific example of a project/program that would be borrowed from NUP.

Present your highlights to the large group and discuss; or this could be done using mentimeter.

Figure2. Continuum of participation

Publicity Public education Public input Public interaction Public partnership


4. I Love NUP, National Urban Policies

brochure, UN-Habitat.

1.3.3 The phases of NUPFeasibility: The goal of the Feasibility Phase is to make the case for a NUP. In the Feasibility Phase the solidification of the coordination role of national governments, the benefits for international competitiveness, and the gains that are seen through the process of NUP development can be clarified.

Diagnosis: The NUP Diagnostic Phase is the phase in which key evidence is collected which will act as the foundation for choices and decisions that will be made by policy-makers and stakeholders in the NUP process. An understanding of the context is developed, problems and opportunities can be identified, policy goals can be defined and stakeholders can be mapped.

Formulation: The NUP Formulation Phase will facilitate a mapping of what will occur between definition of the policy problem(s) and attainment of the policy goal. It will be the point in the process that will evaluate policy options and make decisions regarding the way in which the policy goals will be achieved.

Implementation: The NUP Implementation Phase is the phase in which the policy plan is actioned. The implementation phase should make clear to all stakeholders their roles and responsibilities and ensure that all stakeholders have the capacity (human, financial and institutional) to implement the policy as planned.

Monitoring and Evaluation: The NUP Monitoring and Evaluation phase should not be considered the “last” phase in the NUP process. Monitoring should be undertaking through the policy process and lessons learned from an evolution of outcomes and of process can feedback into the policy cycle and promotes systems change and institutional learning4.

Reflection guide (individually):

◊ Which of the 5 Phases do you know the most about, feel most confident in and/or have the most experience in? Which of the 5 Phases does your institution know the most about, feel most confident in and/or have the most experience in?

◊ Which of the 5 Phases do you know the least about, feel least confident in and/or have the least experience in? Which of the 5 Phases does your institution know the least about, feel least confident in and/or have the least experience in?

Feasibility

Diagnosis

Formulation

Implementation

Monitoring& Evaluation


◊ Knowing that we will be covering each phase in turn and in order to mobilize your and your institution’s learning, what is one question that you have related to each phase, that you’d like answered by the end of the learning event? Record your questions below (individually).

o My Feasibility Phase question is (one question):

o My Diagnosis Phase question is (one question):

o My Formulation Phase question is (one question):

o My Implementation Phase question is (one question):

o My Monitoring and Evaluation Phase question is (one question):

1 .4 NUP Theory of Change

The Theory of Change as an approach is a guiding framework for all stages of planning (thinking),implementation (action) and performance management (accountability and lessons learning) when intervening in social change processes. NUP should play a major role in bringing in change, this could be in sectors as: economic development, spatial structure, human development, environmental sustainability and climate resilience. NUP of different countries may emphasize either of this sector based on the situation or the need on the ground. Nevertheless, the impact of the policy should be defined in a way that the immediate outcome, intermediate outcome, domain of change and desired change is clear.

For example, in the illustration; NUP desired change or outcome in the end is a strengthened enabling environment in human settlements to improve coordination, accountability, resource distribution for sustainable urbanization. Towards achieving this there is a series of other several changes that should take place some which are immediate and others intermediate. NUP does not operate in a vacuum; therefore, there are building blocks that should be adjusted for the impact to take place. Some of these include the capacities for NUP process, participation and adoption by the relevant stakeholders. So, if any country/region intends to develop or has developed a NUP; there is a vision which is towards sustainable urbanization considering the continuum of human settlements. It is from this vision/goal that a policy maker should devise what changes could bring this end impact and that’s how this the theory of change portrays. In the illustration doesn’t show the activities and inputs towards these changes which should be taken into consideration. It is therefore key for the policy makers to have the intended impacts of NUP. this theory of change could be adapted depending on the context of a particular location.


Strengthened enabling environment (in human settlements) to improve

coordination, accountability, resource distribution for sustainable urbanization

Strengthened

institutional capacity,

including adoptiuon or

revision of NUP

Improved inclusiveness

and participation of

stakeholders in NUP process

Improved acceptability of

the benefits of sustainable

urbanization development

amongst key stakeholders

Strengthened

human

capacity

Strengthened

financial

capacity

Strengthened

legislative and

regulatory

framework

Increased access

to and exchange

of relevant

information for

stakeholders

Improved

mapping of key

stakeholders

are known

Improved

understanding

of benefits

of SU for

stakeholders

Improved

methodologies to

demonstrate the

benefits of SU to

stakeholders

Intermediate

outcome or

precondition

Identified

capacity gaps

Identified resource

streams and

governance processes

Enhanced methodologies

and tools for inclusive

collection and sharing of

information

Inclusively

identified areas of

benefitsIntermediate

outcome or

precondition

Domain of

change

Desired change

Assumptions

Assumptions

Assumptions


1 .5 Principles of NUP process

UN-Habitat advocates for five key principles in the NUP process.

• Iterative and forward thinking: such a policy should have clearly defined long-term and short-term goals. In this way, a forward-thinking policy plans for the long term but implements in the short term. Short-term goals will build long term plans, but can be monitored, evaluated, and adjusted in order to promote an iterative policy process.

• Implementable: During all phases of the NUP process, it must be ensured that the policy that is being formulated is implementable. The factors to check include: finance capacity, human and institutional capacities, legal framework, policy dimensions and adequate stakeholder support.

• Joined Up: There is a need for both horizontal and vertical coordination; looking beyond traditional institutional boundaries in order to address the challenges and opportunities of urbanization; to ensure that the NUP is efficient and effective. To be successful, the cross-cutting nature of the NUP objectives should be defined during the diagnosis stage of the NUP process.

• Evidence based: All decisions associated with the NUP process should be based on relevant and up-to-date evidence. To ensure that the evidence base encompasses different views, all stakeholders should be involved and consulted during the collection of evidence, particularly during the Diagnostic Phase.

• Action oriented: Despite the policy process being identification of urbanization and challenges it is imperative, that clear actions are delineated during the Formulation and Implementation Phases so that goals are translated into actionable activities that can be monitored and evaluated.

Discussion guide:

o How do each of the five principles above relate to your institution’s development of a NUP?

o How will you incorporate each of these the principles into your institution’s development of a NUP?

Present your highlights to the large group and discuss or this could be done using mentimeter.5. National Urban Policy: A Guiding

Framework, UN-Habitat, pages 17-18.

5


1 .6 Stakeholders in NUP Process

Stakeholders in NUP include:

o National government

o Sub-national government

o Local government

o Private sector

o Non-governmental organization (NGO)/civil society

o Academic institutions

o Community based groups including vulnerable groups

1 .7 Summary of module 1

• NUP process has five phases namely: feasibility, diagnostic, formulation, implementation and monitoring and evaluation.

• NUP Process has three supporting pillars: capacity development, acupuncture project and participation

• NUP process and product should be in line with the 4ps which form the basis of UN Habitat focus; people, planet, prosperity and peace.

• The principles of NUP are : Iterative and forward thinking, Implementable, Joined Up, Evidence based and Action oriented

• The stakeholders in NUP process: national government, sub-national government, local government, private sector, civil society, academic institutions and community based groups.

6. National Urban Policy: A guiding Framework

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MODULE 2: NUP PROCESS

NUP process as introduced in module 1 entails five phases which have been discussed in detail in this module. For assessment of NUP please see appendix one.

The objectives of this module:

• Understand what the NUP phases entail

• Why each NUP phase

• Who is involved in each NUP phase

• When the NUP phase is conducted

• How each NUP phase is conducted

2 .1 Feasibility

Feasibility is the first NUP stage focusing on making a case and defining the need for NUP in a national or sub-national context, to assess this phase see requirements in appendix 1. The value of NUP is outlined and the specific vision for urbanization is determined. The key stakeholders are all the government levels; however, other relevant stakeholders are consulted in building consensus on the need for NUP. The consensus building entails defining the potential benefits of the NUP as a product but also as a process. Facts and figures in defining these broad urbanization concerns, challenges and opportunities are also gathered in this phase. It is also in this phase that the role of national government in urbanization should be clearly defined; to become a coordinating body.

Feasibility is a crucial phase for making sound decisions and setting directions. It is key as it: focuses on research, analysis, facts gathering and dissemination; helps to map and consult all relevant stakeholders; focuses on analyzing, clarifying and resolving key issues and areas of concern or uncertainty; very often involves analyzing alternative concepts and approaches; understands the local political economy of urbanization; provides a plan or strategy intended to achieve the goals of urban sustainability (roadmap); and identifies and prioritizes risks to maximize the realization of opportunities.

7. National Urban Policy: Feasibility Guide

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Map all the relevant stakeholders

De�ne the roles of the stakeholders and level of engagement

Develop a communication and outreach strategy

Conduct an overview of the existing situation-al analysis of the legal, regulatory and institu-tional framework of urban development/ issues e.g. existing urban related policies, institutions responsible

Outline the nature, extent, causes, positive and negative impacts of urbanization

Preparing a NUP Feasibility study report or Note to highlight the bene�ts of implementing a NUP

Identify ways of curbing the risks for maximizing the realization of opportu-nities for NUP

Identify and prioritize the risks to maximize the realization of opportuni-ties for NUP

Develop a plan or strategy intended to achieve the goals of urban sustainabili-ty (roadmap) through NUP

Identify the opportunities for NUP; how can NUP enhance urban sustainability

UN-Habitat acknowledges nine priority functions of feasibility phase; they include: building national consensus; defining the rationale for a NUP in a country context and identifying constraints; defining the role of national governments; defining the role of the mass media; defining the role of subnational governments; engaging academic and research institutions; defining the role of other stakeholders; developing a roadmap (strategy or plan); and developing a risk mitigation strategy.

Feasibility phase cold involve the following assessments: country profiles, urban profiles and capacity gaps assessments. In achieving this the phase would take between two and 12 months comprising of the following activities: preparing a feasibility study, preparing a NUP policy

note, National urban forum consultative workshop, communication and outreach strategy, National NUP campaign and finally developing the NUP report and NUP statement of intent. The outputs of the feasibility phase is thus comprised of: National urban policy note, communication strategy, discussion paper, feasibility study and political-economic analysis.

The benefit of this phase is that it Promotes a more thorough understanding of the context of urbanization within the country in order to base the National Urban Forums (NUF) and NUP processes on evidence and knowledge. While conducting this phase step by step process includes but not limited to:


Activity/Questions And Group Discussions And Sharing

1. Outline three reasons why you think it is important to conduct feasibility in your country context and how one can consider the three pillars in this phase; giving specific examples for every reason

2. In groups define one case for NUP in a country and give the steps of how as a policy maker you would conduct this phase including the stakeholders you would include (You can select one country or let the case be ideal)

3. In groups identify at least one success indicator of this feasibility phase as regards the specific case defined by the group (in question 2)

Case Study and lessons learntSee examples in NUP Feasibility guide page 42 and 43

2.1.1 Summary of part one; feasibility phase of NUP• Feasibility is the first NUP phase

• It entails making case for a NUP in a country and defining the role of the national government as a coordinating body in urbanization

• The phase can be summarized to comprise of: Mapping all the relevant stakeholders and their roles, Identifying and understanding the local context situation; e.g. existing policies, Understand the local governance of urbanization; Identifying opportunities for NUP, providing a plan or strategy intended to achieve the goals of urban sustainability (roadmap) through NUP; and Identifying and prioritizing the risks to maximize the realization of opportunities, Identify ways of curbing the risks for maximizing the realization of opportunities for NUP, Preparing a NUP Feasibility study report or Note to highlight the benefits of implementing a NUP .

• Feasibility phase has nine functions and the outcome of this phase could be produced in five different outputs


2 .2 Diagnostic Phase

This phase is meant to be thorough building on to facts and figures gathered in the feasibility phase. However, it is in this phase that policy and decision makers are informed and engaged and provided with evidence needed to design choices in NUP formulation process. It therefore not only involves data gathering but also stakeholder and institutional mapping and consultations, defining alternative approaches to the key policy problems and opportunities identified for NUP to address. The policy goals are defined in this phase and the costs and benefits mapped out as a preliminary step. The activities in this phase are highly dependent on the feasibility phase policy note which gives the basis for NUP; for assessment refer to appendix 1. All stakeholders outline in module one are involved and engaged in this phase. The activities have been sequenced but not limited to:

Conduct a desktop research and Rapid appraisal (preliminary understanding of the urbanization situation)

Conduct a SWOT Analysis of the urbaniza-tion in the respective country/region

De�ne strategies to curb the weaknesses and Threats of urbanization; de�ne alterna-tive approaches for NUP

Conduct a cost-bene�t analysis of the proposed alternative approaches/policy options for NUP

Prepare a diagnostic report

Disseminate diagnostic report to stakehold-ers for comments and contributions and conduct a validation workshop

Conduct a country/region (in case of sub-national NUP) Context Analysis

Conduct a Political Economy and Gover-nance Analysis for NUP

Conduct a NUP Stakeholder Participation and Engagement Analysis

Conduct a Regional Spatial Strategy Analysis

Plan and conduct �eld Surveys on urbaniza-tion challenges and opportunities


Description of the Analysis activities/Events in this phase

1. Country/region (in case of sub-national NUP) Context Analysis: To facilitate the collection of data for the Diagnostic phase, a context analysis, or “stock taking,” of the state of urban areas is required. This analysis can provide a broad overview of the state of urbanization, which involves, but is not limited to, an in-country/region review of the state of cities, an assessment of the political culture, legal and institutional assessments, an assessment of stakeholders, and a financial assessment. Data can be delivered in report format.

2. Political Economy and Governance Analysis for NUP: A Political Economy and Governance Analysis for NUP aims to better understand the prevailing political and economic processes in a given country. This analysis can then support the development of a more politically feasible and therefore more effective NUP strategy by setting realistic expectations of what can be achieved, over what timescale, and the risks involved.

3. NUP Stakeholder Participation and Engagement Analysis: A NUP Stakeholder Participation and Engagement Analysis can build on the findings of a NUF Stakeholder Analysis (in the previous phase), in order to identify additional stakeholders in the NUP process. The result of the stakeholder analysis process is not only a map of stakeholders but also an outline of the priorities of those stakeholders and recommendations on how to engage and include them in the NUP process. It is important that participation and engagement of stakeholders is streamlined throughout the NUP process and not isolated in one phase. The Stakeholder Participation and Engagement Analysis can suggest an outline for how stakeholder engagement can be undertaken throughout the NUP process.

4. Regional Spatial Strategy Analysis: This analysis can assist the NUP processes to setting out concrete actions that will help cities, regions, and systems of cities achieve their full potential by allowing for a more thorough understanding of regional planning dynamics and highlighting regional spatial trends. Understanding and improving regions and networks within regions will allow for better efficiency and promote more economically, socially, and environmentally sustainable growth.

5. Stakeholder Consultation and Discussion Paper Validation Workshop: Following the completion of the Context Analysis and NUP Discussion Paper, and drawing on the findings from the NUP Stakeholder and Engagement Analysis, it is recommended to hold a Stakeholder Consultation and Discussion Paper Verification Workshop in order to gather input from Stakeholders and get verification of the findings from the Context Analysis and Discussion Paper.


Activity/ Questions and Group Discussions and Sharing

1. Outline three reasons why you think it is important to conduct this phase; how can the three pillars be incorporated in the activities in this phase? Giving examples using two specific activities in this phase

2. From the group identify a country or ideal 3 urbanization challenges/opportunities define at least 2 alternative approaches to each of the challenges

3. Identify success indicators of each of these approaches.

2.2.1 Summary: Diagnostic phase• This phase entails building a thorough evidence for the feasibility phase

• It also entails stakeholder mapping and involvement in gathering the facts and figures

• During this phase the stakeholders are engaged in defining alternative approaches for particular urbanization challenges and opportunities

• The policy goals are also defined and the preliminary costs and benefits are also defined

• Activities diagnostic phase include: Conduct a desktop research and Rapid appraisal (preliminary understanding of the urbanization situation), Conduct a country/region (in case of sub-national NUP) Context Analysis, Conduct a Political Economy and Governance of urbanization Analysis for NUP, Conduct a NUP Stakeholder Participation and Engagement Analysis, Conduct a Regional Spatial Strategy Analysis, Plan and conduct field Surveys on urbanization challenges and opportunities, Conduct a SWOT Analysis of the urbanization in the respective country/region from the data collected, Define strategies to curb the weaknesses and Threats of urbanization; define alternative approaches for NUP, Conduct a cost-benefit analysis of the proposed alternative approaches/policy options for NUP, Prepare a diagnostic report, Disseminate diagnostic report to stakeholders for comments and contributions and conduct a validation workshop

• Events in this phase include: Stakeholder Consultations and Discussion Paper Validation Workshops (National Urban Forums-NUF)


2 .3 Formulation Phase

The phase entails defining what happens between defining the policy problems and attaining the policy goals. During diagnostic phase, various approaches/policy options are highlighted; they are to be evaluated in this phase and decision made about the way the policy goals will be achieved. This evaluation involves the measurement of the strengths, weaknesses, opportunities and threats of these policy options until the final ones are selected. The final best approaches for the various urbanization challenges and opportunities are compiled in a policy proposal. A policy proposal guides what (policy initiatives), why (objectives), how (action plan) and by whom (stakeholders) the policy should be implemented. It is comprised of the policy problems, policy goals, policy tasks breakdown, timeframe, stakeholder’s consideration for the various tasks, tentative cost and the sources of the funds. The policy proposal needs to be discussed and agreed by all stakeholders; thus, a need for consensus building which promotes better decisions, faster implementation of policy and generation of the necessary resources for the policy. The policy proposal developed should be able to address the challenges and opportunities in the previous phase. Action oriented policies are more successful since clear actions and persons responsible are indicated.

The policy proposal then undergoes validation by stakeholders in a workshop after which the final draft is prepared. To boost the implementation of the policy an assessment of the human, financial, technical and institutional capacities for the policy at hand should be conducted. This contributes to the development of the human, financial, technical and institutional capacity development strategies for the relevant stakeholders’ institution. These strategies build up to the development of the action plan for the policy; see appendix 3 for the template. The action plan contributes to the development of the monitoring and evaluation framework for the policy; refer to appendix 1 for the checklist to assess this phase.

A national government should consider various issues before any NUP formulation work begins; these include

• Lead agency: The selection of the responsible agency/department/ministry to facilitate the formulation and implementation of the NUP. The process should be ideally led by the executive arm of government with the capacity to coordinate and oversee other government departments. The government department in charge of urban development can play the technical and secretariat role.8. National Urban Policy; A practical Guide

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• Quality of data and information (collection and analysis). Quality data (quantitative and qualitative) is essential to formulate an evidence-based NUP. Relevant and appropriate data collected during the feasibility phase and more importantly the diagnostic phase could be used to establish baselines. Later in the process, an urban observatory, for example, could be established to support the monitoring and evaluation of the policy.

• Stakeholder, public participation and engagement: An implementable NUP is usually one in which all key stakeholders have been included and have actively participated. A strategy to engage stakeholders could be developed to ensure their participation, consultation and inclusion. This could feature urban fora, regional consultation workshops, thematic working groups, task teams, online platforms, debates could be used to promote stakeholder engagement.

• Availability of resources: Some of the key questions to be addressed include: Are there enough resources to ensure the successful formulation of the NUP; how to mobilize new resources; what are the personnel, institutions and specialized resources available and/or necessary for the formulation of the policy?

• Coordination and institutional feasibility: Inter-ministerial harmonization and the alignment of the NUP and national development priorities are crucial. It is also important that the development of the NUP is supported constitutionally and legally. The lead urban development authority/agency should have legal and institutional mandates and provide effective coordination across ministries as well as vertically between all levels of government.

• Local relevance: Thought should be given to how the NUP can address local needs and issues. Local representatives and civil society’s views and perspectives should be comprehensively considered in the formulation process, particularly when setting priorities.

2 .4 Suggested stages and outputs of the formulation phase

The implementability and effectiveness of a NUP depend on the quality and extent of the preparatory steps leading to its formulation, and the provisions made for its implementation. Government leadership, for instance through the ministry or department in charge of urban affairs, is fundamental as the government will be the


main supporting actor in NUP formulation and implementation. To ensure stakeholders’ “buy in” and that the various sectors agree to collaborate on the NUP’s implementation, the formulation process needs to be conducted in a participatory manner.

Before this, however, it is essential that a thorough diagnosis of the urban sector is carried out, with extensive data collection, review and analysis.

It is advisable to assess the capacity (human, financial, institutional and technical) to formulate and adopt the NUP, and risks assessment and mitigation of the formulation phase could also be done.

Below are suggested steps and outputs of the formulation phase as in the NUP formulation practical guide.

Steps Suggested Outputs

1. Establish the institutional and coordination mechanism to support the NUP formulation

Steering committee.

Advisory group.

Working groups.

Task team/force.

Drafting committee.

2. Refine the context through problem analysis and identification of key policy issues not dealt with during the diagnostic phase or that had emerged during consultations

Issue papers.

Policy options report.

Strategic impact assessment.

3. Awareness and communication Communication and awareness strategy.

4. Capacity development and consultation(s) with key stakeholders (e.g., 50 and 100 participants in most countries) to discuss the policy options, policy vision, agree on major problems and opportunities and propose general goals (long term, mid and short term)

Key stakeholder workshop(s)

Training sessions.

Vision statement.

5. First draft of NUP prepared by experts, including policy options under each building block

NUP draft.


Develop a policy proposal to guide how the policy will be undertaken includes: policy problems, goals, tasks and persons responsible, timelines and �nancial requirements

Develop a �nancial strategy of the policy

Develop a legal strategy to promote the implementation of the policy

Adoption of the policy

Develop a monitoring and evaluation framework of the policy

Formulate the action plan of the policyValidation and consensus building of the policy proposal by the stakeholders (workshop)

Formulate the �nal draft policy

Develop and implement a human and institution capacity development strate-gies of the policy

Assess the human, �nancial and institu-tion capacities to implement the policy

Conduct a SWOT analysis of the policy options/alternative approaches in the diagnostic phase until the �nal options are de�ned in a stakeholder workshop

6. Consultative urban forum (s) (often hundreds of participants in most countries) to discuss the first draft and build consensus on preferred options (to feed into the second draft)

National urban forum(s).

Various workshop per region, theme, sectors. stakeholders, etc.;

7. Pre-final draft of NUP prepared by experts NUP document.

8. Review and adoption of the NUP Final approved NUP.

9. Design of an implementation strategy/roadmap Action plan (this could be part of the policy itself), various strategies and systems (implementation, monitoring, evaluation, capacity development, resource mobilization).

The NUP Guiding framework provides detailed steps for formulation which entail but not limited to:


Description of the activities

Key Stakeholder Workshop to Develop and Evaluate Policy Options: In order to develop a policy proposal for NUP, policy options must be evaluated. Policy options should be developed and evaluated in a participatory and inclusive way. A Workshop can provide the space and time for stakeholders to contribute to the development and evaluations of policy proposals.

Baseline data collection to facilitate monitoring and evaluation: Collection of baseline data prior to the implementation of the NUP is necessary in order to facilitate the monitoring and evaluation of the NUP later in the policy process. Without this baseline data, there is no data which can be compared to data collected later in the process. Baseline data collected will be based on indicators developed in the policy Monitoring and Evaluation Framework.

Key Stakeholder Consultation Workshop to Verify Policy Proposal and Workshop report: Once the Policy Proposal has been finalized, it is necessary to gain the verification of stakeholders in order to build consensus and support for the Proposal. This can be undertaken in the form of a Workshop, facilitated by the same experts who aided in the formulation of the Policy Proposal. The experts can then develop a Workshop Report which includes recommendations for any amendments to the Policy Proposal based on inputs from stakeholders.

Development of Monitoring and Evaluation Framework: Once the Policy Proposal has been verified, it is important to develop a Monitoring and Evaluation Framework for the policy in order to structure the way in which the policy will be monitored and evaluated through the NUP process.

Development of monitoring indicators will be necessary to ensure the policy is monitored consistently.

Financial Strategy and Plan (including country/region specific costing for NUP): Having a clear financial strategy from the outset is essential to ensure that the proper financing is put in place to support the formulation, implementation, and monitoring and evaluation of a NUP. Based on prior country experience, UN Habitat is able to aid in the development of a Financial Strategy that includes the country specific costing of undertaking the NUP process.

Legal Strategy: Have a legal strategy developed during the formulation phase will assist with the implementation of the policy. Key legal actions to facilitate implementation and enforcement can be highlighted.

Capacity Development Needs Assessment: Following the development and verification of the Policy Proposal, it is necessary to undertaken a Capacity Development Needs Assessment in order to assess the institutional, financial, and human capacity levels of different actors prior to the implementation of the policy. Not undertaking an Assessment and subsequent Capacity Development can lead to gaps in capacity that can result in Implementation challenges.

Design of Capacity Development Strategy and Programme: Based on the findings from the Capacity Assessment, a Capacity Development Programme can be developed tailored to capacity needs. The Capacity Development Programme will target any perceived capacity gaps in order to facilitate smooth implementation of the NUP.

Formulation of Policy Proposal: Following the Workshop to Develop and Evaluate Policy Options (see above), it is necessary to develop a Policy Proposal.


This can be done through an internal government committee (although sitting allowances and meeting costs must be considered), but can be aided by an international expert who has undertaken this process in other country contexts. To build capacity at national level, it is possible for an international expert to be paired with local experts

CASE STUDY: Activity/Questions and Group Discussions and Sharing

1. Outline three reasons why you think it is important to conduct this phase; how can the three pillars be incorporated in the activities in this phase? Giving examples of two activities in this phase

2. The two approaches to 3 (identified in part 3.2) urbanization challenges or opportunities should be evaluated measuring the strength and weaknesses of each and select one best approach; to be in the policy proposal

3. Identify the success indicators of the final approaches selected in (question 2) above

4. Develop a policy plan comprising of the policy problems (urbanization challenges/opportunities), policy goals, policy tasks breakdown, project time and financial budget and stakeholder’s consideration for the various tasks in the final approaches derived above.

2.3.1 Summary of formulation phase• This phase is linked to the previous phases

• The phase entails analyzing the means of attaining the policy goals

• The alternative approaches in the diagnostic phase are evaluated and the final ones for every challenge and opportunities defined

• The evaluation entails SWOT analysis of the various approaches to identify the best approaches towards the policy goals

• The selected approach(es) form the basis of the policy thus a policy plan/proposal is developed in this phase

• The policy proposal should undergo stakeholders’ review and validation for the final policy draft to be developed


• The final policy draft for this phase is completed and approved here

• The financial strategy for the policy and the stakeholders relevant for every task are defined in this phase

• The human and institutional capacity needs for the implementation of the policy are defined here

• A monitoring and evaluation framework should be developed

• An action plan should be prepared to provide a framework for implementation

2 .4 Implementation

This phase utilizes the policy and action plan completed in the formulation phase; to translate the proposed actions to reality. The first step is to understand if the action plan has been completed and approved by the relevant stakeholders. During this phase the priority interventions and acupuncture projects are determined and the relevant human and financial resources allocated. The human capacity development strategies should be executed to the relevant stakeholders; and the stakeholders should take up their respective responsibilities in policy. The legal strategies should be implemented to support the policy and the financial strategies applied through budget allocation for the respective policy objectives. The legal strategy should create a conducive environment for the implementation of the policy especially where significant changes are required. This could include laws being approved through the respective process to allow policy initiatives in a country or region.

The financial strategy on the other hand ensures that policy doesn’t fail due to lack of financial support. The financial strategies include fundraising and or distributing finances to all the relevant sectors. it could also include more decentralized financial allocation which goes hand in hand with the required human and institutional capacity enhancement. Human capacities would be met through specialized trainings or on-duty trainings for the respective stakeholders responsible. The institutional capacity enhancement could include additional persons working in a particular department or new departments with new qualified personnel coming in. In this phase, there should be continuous monitoring of the process and outcomes of implementation creating feedback mechanisms to inform future policy cycles. The monitoring plan should be comprised of clearly defined responsibilities, clear progress indicators and timelines, regular meetings among others; for assessment of the phase refer to appendix 1.


Ensure approval of the action plan by the respective stakeholders

Identi�cation of Catalytic and Priority Interventions

Implement the human capacity development strategies

Implement the institutional capacity devel-opment strategies; especially the lower levels of government for their respective roles

Develop a monitoring plan and capture lessons and changes required since it is an iterative process

Have the legal strategy approved

Implement the �nancial strategy and have �nancial allocation for policy activities

Con�rm the action plan of the policy is completed

The step by step process entails but not limited to:


Activity/Questions and Group Discussions and Sharing

1. Outline three reasons why you think it is important to conduct this phase; how can the three pillars be incorporated in at least 2 activities in this phase?

2. Develop an implementation plan for the final approaches for the three urbanization challenges or opportunities in part 3.3 above

3. Identify the success indicators of the implementation plan of the final approaches developed in question 2

2.5.1 Summary: Implementation phase• Depends on the previous phases; more specific to the formulation phase which lays down a action

plan of the policy

• The action plan of the policy needs to be approved by the respective stakeholders

• Priority interventions should be identified and the relevant actions undertaken

• The human and institution capacity development strategies should be implemented. This may take time but it is very foundational for the success of the policy

• The financial strategy should be implemented ensuring that the policy initiatives are allocated funds and other necessary financial actions taken

• The legal strategy creates an enabling environment for the policy implementation; thus should be approved by the relevant stakeholders

• A monitoring plan should be developed to capture necessary changes in the policy


2 .5 Monitoring and Evaluation Phase

Monitoring entails tracking changes in the NUP process throughout from feasibility to implementation. Monitoring ensures that nothing is left out in the NUP process and NUP product. During the NUP process therefore it is necessary to have a checklist of the sequential activities for every phase as outlined in appendix 1 and 2. The checklist ensures that all the activities are conducted but also that the process is supported by the necessary pillars; participation, capacity development and acupuncture projects. Monitoring assists in improving the NUP process and product through the feedback mechanisms that should be established throughout the NUP process. Mistakes on the policy process or product for future policy cycles are eliminated through monitoring.

Evaluation entails taking note of the changes that do not necessarily happen immediately but in the long term upon implementation of the policy. Evaluation defines the relevance and effectiveness of the policy in a particular context; national or subnational. This is to mean that the impact of the policy and changes thereof is what this entails. Evaluation should therefore look into the various policy initiatives and the expected outcomes in addressing urbanization challenges or opportunities. If not found effective over time a review of the policy could be done having captured the reasons for no impact. If effective in some thematic also other areas that may be drawing policy focus should be considered for example through mainstreaming.

The step by step process entails but not limited to:


Assess the outputs from a NUP phase versus the requirements; identify the gaps if they exist (see section 3.6)

Prepare a monitoring report highlighting the gaps and propos-als to curb them for the speci�c phase

Identify the indicators for success of a policy proposal by comparing the baseline infor-mation and after policy situation (collection of monitoring data after initial policy imple-mentation)

Inform the public on the success stories of NUP process and product; awareness campaign

Prepare an evaluation report of the implementation situation including the gaps (weaknesses, threats) and how to curb them

Engage stakeholders in identifying the strengths, weaknesses and impacts of the NUP process and product

Identify the requirements of a NUP phase

MONITORING EVALUATION


Collection of Monitoring data following initial policy implementation: Once the policy has been fully implemented, a set of Monitoring data can be collected in order to continue assessing the impact of the policy.

Stakeholder Consultation Workshop for Evaluation: A policy Evaluation report should be based not only on quantitative data collected during monitoring, but also on qualitative feedback collected from Stakeholders. A Workshop to assess the strengths, weaknesses, and impacts of the NUP process and policy can allow Stakeholders to give their input so it can be included in the Evaluation Report.

NUP Process Evaluation : Evaluation of policy should not only reflect on the impacts of the policy, but also evaluate the process that was undertaken to develop and implement the policy. UN Habitat will use evaluation methodologies particularly developed for the Evaluation of the Policy Process. The outcome of the NUP Process Evaluation will be a report which is developed with the view to inform policy revision/review for future policy interventions and will review the efficiency of policy development, institutional involvement, etc.

NUP Evaluation Report: A NUP evaluation report will bring together findings from the policy Monitoring, Stakeholder Consultation Workshop, and the NUP Process Evaluation into a final Evaluation Report. The Report should assess the strengths and weaknesses of the policy and the process. It should also give recommendation as to any activities that are necessary to sustain the outputs of the NUP.

NUP Awareness Campaign: An awareness campaign can highlight the NUP achievements and share these achievements with the public


Activity/Questions and Group Discussions and Sharing

1. Outline three reasons why you think it is important to conduct this phase; how can the three pillars be incorporated in atleast 2 activities in this phase?

2. Outline what at least 3 sets of data would need to be collected for the approaches identified in part 3.3 (formulation phase)

3. With specific examples of the data to be collected in question 2 above; highlight success indicators that these data would give for monitoring success

2.6.1 Summary: monitoring and evaluation phase• Monitoring is done in every NUP phase to improve the NUP process and product

• It would thus be key to have a monitoring plan where success indicators are defined for every phase to assess any gaps and respond accordingly

• Evaluation checks the impact of the policy

• Evaluation relies heavily on the baseline data and this means data collection before implementation would be very key

• NUP as a product and process should be evaluated differently


MODULE 3: THEMATIC APLLICATION OF NUP

The objectives of this module; indicate that the participants should be able to:

• Identify which thematic areas apply in NUP

• Understand how the thematic guides are used; mainstreaming process

Learning activity: Have each group identify and discuss a thematic area; on the issues about these thematic areas that need to be incorporated in NUP. Present to the larger group; use mentimeter.

3 .1 Overview

The quick guides by UN-Habitat aim to cover the various thematic areas that are relevant for sustainable urbanization. The available guides and others under development include: Climate change, participatory slum upgrading, social inclusion (under development), public space, urban and rural linkages, food systems, housing, green and smart cities, (Upcoming) humanitarian, transport; all these have been described in detail. They ensure that nothing that is a key theme is left out in the NUP whether national or sub-national levels. It also gives the countries/regions to learn from other countries that have incorporated the respective themes in their policies. The quick guides also highlight all the major aspects of a thematic area that should be incorporated in NUP and the users only pick out what is relevant in their context. The quick guides provide or make it easy to implement the thematic aspects in NUP from feasibility to implementation and monitoring and evaluation. These guides were developed through a detailed study of the concepts, discussions with experts in these fields and review of what countries are already doing. In this several NUPs or overarching policy documents were reviewed to identify ways in which these thematic areas can be incorporated in NUP. The guides should include a checklist on what to check in NUP during review of an already existing NUP and during development of a new NUP. However, this learning material will also provide a general checklist for mainstreaming a thematic area in NUP. Mainstreaming process should consider the following:

• The various thematic areas should be relevant to a country’s context

• The data on the challenges and opportunities of urbanization as regards this thematic area should be provided as evidence


• Strategies for addressing these challenges should be clearly pointed out in policy

• The relevant stakeholders in the thematic areas and their roles should be clearly indicated

• Financial allocation or willingness of financial allocation to the respective thematic area should be confirmed by the decision makers

• The capacity/skills required in executing these thematic areas in the coordinating or implementing agencies should be clearly defined

• The impacts of the outcomes of failure to mainstream; cost-benefit analysis; should be identified

• An implementation plan is very key

The various quick guides and those under development are described in detail; this is to make the participants to understand the context of each thematic area in NUP.

Quick Guides Description

Climate change This guides outlines the considerations that policy makers should incorporate in matters climate change. There are 26 recommendations to use categorized into climate adaptation, mitigation and governance for urban policy. The recommendations are boosted by policy excerpts on climate change policy considerations. The quick guide also highlights action points in every NUP phase

The aim of the quick guide is to build capacity and enhance commitments to incorporate the climate change dimension into urban related policies to ultimately promote sustainable, resilient and climate smart urban development. The guide seeks to enhance the understanding and knowledge about the relation between climate change and urban development; how climate change can possibly affect cities and how urban development decisions can be better aligned to local climate change threats. Up to 26 recommendations have been highlighted in the guide to guide policy makers on how to mainstream climate change in NUP. The guide also highlights how the climate change recommendations can be implemented in the various NUP phases.



Quick guide for mainstreaming climate change in Asia-Pacific region

The Asia pacific region based on their local/regional context devised a guide to guide the regions in this area on how to mainstream climate change in National Urban Policy. The guide is being used by the countries in the region in revision but also on new development of NUP. The NUP process is also discussed in detail on what to consider for climate change in NUP in the region

Public Space Public space is another key theme in urban areas as developments supersede developments. Policy need to address this ensuring that public spaces are considered in policy needs. This is so especially in urban areas; ensuring that public spaces including open spaces are not superseded the urban developments.

Participatory slum upgrading The National and City-wide slum upgrading and prevention through National Urban Policy quick guide provides urban decision makers with the key messages and actions as to why a National Urban Policy is an important process and outcome to support improvements to the lives of slum dwellers. In particular, the document outlines how a National Urban Policy supports the development of national and city-wide slum upgrading strategies. A National Urban Policy can help promote a positive mind-set towards slum dwellers and thus set a an inclusive and ‘pro-poor’ tone for subsequent legislation, regulation and planning frameworks. Both a National Urban Policy and the development of citywide slum upgrading strategies should be mutually enforcing processes. Both are important institutional developments that help foster the necessary institutional arrangements, platforms and forums to engage all key stakeholders, all of which work to improve the lives of slum dwellers. National Urban Policy supports the development of both National and City-wide Slum Upgrading Strategies through six ways highlighted in the guide.

Urban Rural Linkages This guide highlights gives 11 recommendations that policy makers would use in formulation of policy. Urban rural linkages strongly enhanced in the global agendas SDGs and NUA on the need for territorial approach to planning among other considerations. This guide therefore gives recommendations on how urban policy should aim to enhance urban-rural linkages in the spirit of SDG of leaving no one behind. UN-Habitat have developed together with partners 10 guiding principles on urban-rural linkages which complements this guide.

Food systems and Nutrition Food systems and nutrition is an aspect of urban-rural linkage but also very key in urban issues. This is because food has often been forgotten in urban planning and development and there is a need to have them included in policy. The guide which has been prepared in collaboration with FAO and other key food and policy stakeholders provides 17 recommendations of how the agenda of food can be incorporated in policy. It also includes excerpts from the existing national urban policies on how countries have addressed food and nutrition issues in policy. it also gives examples of impacts in some cities through the policy. Apart from that some activities in cities in relation to food are contributing to policy formulation capturing food and nutrition.



Social Inclusion Social inclusion is another key are in urban issue in ensuring that all urban participants are not left out in the decision-making processes and other relevant activities. This includes gender perspectives, people with disabilities, youths, refugees among others.

Migration and humanitarian The aim of this guide is to address a major category of persons that maybe left out in decision making. This is also because rural-urban migration is a major cause of rapid urbanization in most developing countries. The urban policies should outline ways in which the urban areas can be prepared for immigrants but also how to accommodate and integrate them in the urban areas. It should also include guidelines on how the migration can be curbed through for example rural development.

Health Health is continually becoming a major issue in urban areas and therefore this guide gives directions on how health can be incorporated in policy.

Housing Housing at the center approach of the NUA advocates for housing which includes the support infrastructure as a vehicle towards sustainable urbanization. The guide highlights that urbanization and housing are inter-related; when the challenges of housing are addressed then the future of cities and sustainable urbanization is assured. NUP have been developed as tools available to governments to guide urban development towards sustainable urbanization. NUPs have also been selected as indicators for monitoring the NUA and SDG 11.a. For housing to be incorporated in the national agenda; then this should be through the NUPs in as much as National housing policies exist. NUPs emphasis on the need for the NHP to be implemented. This guide will guide highly on how the NUPs should promote NHPs from formulation to implementation of the same.

Green and Smart cities This guide will direct how the countries can include green and smart cities in urban policies. This depends on context and thus this guide just guides how countries can incorporate the same in policy. This is due to the impacts of urbanization where the innovations should be enhanced through policies.

Transportation This guide will be instrumental in ensuring that connectivity within the urban areas and connecting to surrounding per-urban, other urban and rural areas is addressed in policy.


3 .2 Guidelines for mainstreaming a theme to NUP using the Quick guides

In mainstreaming the policy makers must start at feasibility despite the phase of NUP; this is because NUP process is iterative. All the NUP supporting pillars should also apply in the mainstreaming process; participation, capacity development and acupuncture projects. A key step is identifying the pressing challenges and opportunities in a thematic area for the respective context. This could be identified during diagnostics phase of NUP process as a pressing need or NUP implementation or monitoring and evaluation (leads to policy review) even without prior intention to mainstream a thematic area in NUP. Defining the key urbanization challenge however, provides a guidance on the NUP quick guide to use; it could be more than one. The process of defining major urbanization problems would; however, be known prior to the NUP process and the relevant NUP quick guide would be referred to from the beginning of the NUP process. It is key to note that the mainstreaming process overlaps the NUP process; causing no conflict, only special emphasis on a specific thematic area; figure 3. When the key thematic issues are identified during the NUP process it is necessary to introduce the quick guide for that area and refer to the initial stage; feasibility.

In NUP/policy review the same process outlined in figure 3 applies where the first step is feasibility; making case for mainstreaming a thematic area in NUP and gaining approval from the relevant stakeholders. A detailed review (analyze the existing urban policies/strategies/frameworks in the context of the specific thematic area- see in figure 3) of the available policy documents is also conducted to capture the specific policy gaps. This is to mean that the respective thematic area may be captured in policy but not wholesomely; or specific aspects of the challenges in thematic area may be missing. The policy review provides an opportunity to have conduct a detailed data collection of the thematic area and develop specific recommendations for policy including an action plan to be integrated in the broader policy document. An example of a specific process outlined in the quick guide for mainstreaming Urban-Rural Linkages in NUP is in figure 2.


Figure3. Example Mainstreaming process of Urban-Rural Linkages in NUP


Map all the relevant stakeholders for the thematic area

De�ne the roles of the stakeholders and level of engagement

Analyze the existing urban policies/strategies/frameworks in the context of the speci�c thematic area

Identify thematic area policy gaps

De�ne key challenges and opportunities in the thematic area for the region/country?

Analyze the capacities (human, �nancial, technical, institution) of the decision makers (government of�cials) in the thematic area and identify capacity gaps

Plan and conduct �eld survey for data gaps if they exist

Prepare an analysis report on the thematic area

Develop Capacities development strategies (of the gaps identi�ed)

Outline alternative strategies/approaches on curbing the thematic area challenges through policy (referring to recommendations in the guide)

Conduct preliminary research about the nature and extent (including causes and impacts) of the challenges

Guide for mainstreaming a thematic area to NUP process

Feasibility phase

Diagnostic phase


Identify the best approaches/strategies

Determine the capacity (human, �nancial, technical) needs for the best approaches

Prepare a detailed thematic area action plan for policy (including the �nancial and capacity needs strategy and monitoring and evaluation framework) for the strategies

Complete the thematic area policy proposal and merge with the broader policy proposal

Conduct a SWOT analysis of the alternative strategies/approaches

Identify thematic priority interventions/ acupuncture projects

Have the �nancial strategy for thematic area taken up by the responsible persons/institutions

Have the legal strategy approved for the thematic areas policy proposal implementation

Have the relevant stakeholder’s capacities improved for the thematic area policy proposal execution

Approval of the implementation plan by the relevant stakeholders

Have the relevant stakeholders take up their roles and responsibilities

Develop feedback mechanisms for the thematic area proposal to monitor the challenges and improvements

Formulation

Implementation


Figure4. Mainstreaming process in NUP process

Monitoring andevaluation

Have the human, �nancial, legal, institution, technical strategies been e�ective for implementation of the thematic policy proposal

Have the timelines been followed and are they e�ective

Has policy changed how national, regional or local government works including the institutions on the speci�c thematic area

Have the thematic area policy initiatives resulted in visible outcomes

Have all the stakeholders in the thematic areas taken up their roles and are they able to e�ectively execute them.


Learning activities1. Evaluate the case study; has it captured a particular thematic area, if yes is it satisfactory, if not is it necessary

to have it

2. If mainstreaming is necessary, develop ideas on what to mainstream (depending on the thematic quick guide available) and the policy options

3.2.1 Summary: Thematic application of NUP• This module outline the thematic areas that are relevant for NUP

• The relevance of having the thematic guides is to ensure that the aspects of the key sectors or all sectors in a country are not left out

• The guides have been developed through deeper research in to these sectors and what other countries have addressed in their NUPs or other overarching policy documents

• In using a thematic guide the following is necessary to consider: The various thematic areas should be relevant to a country’s context, The data on the challenges of urbanization as regards this thematic area should be provided as evidence, Opportunities for addressing these challenges highlighted, The relevant stakeholder in the thematic areas should be included, Financial allocation or willingness of financial allocation for this thematic area as regards the staff and projects and programs that may or should come up, The capacity/skills required in executing these thematic area in the coordinating or implementing agencies and The challenges of failure to mainstream; cost-benefit analysis.

• Upon selection of a guide the points to note in NUP review or formulation are: Identify and list the urbanization challenges in your country’s or region’s context in this thematic area, Check the recommendations in the guide, Check the examples from other countries from the excerpts, Identify and match any recommendations that address these challenges in your country’s or region’s context, From the NUP excerpts derive concepts of developing policy options and Derive policy options from these recommendations based on the urbanization challenge


After the selection of National urban policies as the monitoring tool for the SDGs and NUA the demand from countries has increased. This calls for a need to have more persons trained on the NUP process in as many regions as possible. This material therefore avails detailed step by step information on NUP development, implementation and monitoring and evaluation. It also gives the basis for NUP; the principles, phases, pillars and 4Ps for considerations in the NUP product and NUP process.

This learning material has been categorized into four major modules which are necessary for any category of users; government, academia, civil society, the private sector and Community based groups. These modules are categorized as introduction to NUP, NUP process, NUP assessment and thematic application of NUP. introducing NUP gives the learners a basic understanding of what NUP is and what they entail. During this phase basic concepts on NUP have been introduced without detailed just to welcome the learners to an understanding of what NUP is all about, who is involved, how it is implemented and why it is important. Examples of the existing NUPs are presented to the team to have a “feel” of this policy document.

The role of NUP is detailed out in this module by an understanding of the global normative as SDGs and NUA reference to NUP. The second module gets deeper into the NUP process; during this module the NUP phases are discussed in detail. The 5 NUP phases discussed are feasibility, Diagnostic, formulation, implementation and monitoring and evaluation. In all these phases the questions answered in the module are: what the phase entails and how it is conducted including all the activities that are involved in each phase. The third module gives the requirements for assessment in every phase; this to help the policy makers and reviewers to ensure that no important component of NUP phase is left out.

The final module introducers the users to the thematic application of NUP in understanding the various thematic areas that are very relevant for NUP based on the major urbanization challenges. During this phase the users use the available UN-Habitat NUP quick guides to assess the NUP case studies on the extent to which these thematic areas are tackled in their policies. The learners are given an opportunity to propose a few aspects of the theme that could be added to the NUP document based on the recommendations in the NUP quick guide. This exposes the learners to the ability to mainstream various aspects of a thematic area in NUP.

Conclusion


APPENDICES

Appendix 1: Check list for NUP Process Assessment

FEASIBILITY PHASE

I. Urbanization situation, problems and opportunities described

1. No 2. Partly 3. Yes

II. A clear description of the role of the national government in urbanization defined


III. Facts and figures as evidence for the challenges and opportunities of urbanization compiled Challenges: 1. No 2. Partly 3. Yes Opportunities: 1. No 2. Partly 3. Yes

IV. Benefits of the NUP process to the country outlined based on the challenges and opportunities


V. Evidence of consensus building process and support for undertaking NUP by the respective stakeholders; workshops held, photos, workshop reports


VI. Stakeholders mapped


SCORE


SCOREVII. Stakeholders roles defined


VIII. A communication and outreach strategy for stakeholders developed


IX. The existing situational analysis of the legal, regulatory and institutional framework of urban development/ issues e.g. existing urban related policies, institutions responsible outline


X. The nature, extent, causes, positive and negative impacts of urbanization described


XI. A plan or strategy intended to achieve the goals of urban sustainability (roadmap) through NUP outlined


XII. The risks towards the maximization of the realization of opportunities for NUP described


XIII. Ways of curbing the risks for maximizing the realization of opportunities for NUP outlined


XIV. A NUP Feasibility study report



DIAGNOSTIC PHASE

I. Urbanization situation, problems and opportunities from feasibility phase compiled


II. A desktop research and Rapid appraisal (preliminary understanding of the urbanization situation, challenges and opportunities) conducted and data gaps defined

Research: 1. No 2. Partly 3. Yes

Data gaps defined: 1. No 2. Partly 3. Yes

III. A country/region (in case of sub-national NUP) Context Analysis conducted


IV. Field Surveys (on data gaps) on urbanization challenges and opportunities conducted


V. Problems and opportunities (facts and figures from the field and desktop surveys) the policy will address described (situational analysis report)


VI. Strategies to curb the weaknesses and threats of urbanization and to enhance the opportunities/alternative approaches/policy options for NUP defined including regional Spatial strategies

o Curb weaknesses: 1. No 2. Partly 3. Yes

o Enhance opportunities: 1. No 2. Partly 3. Yes

o Regional spatial strategies: 1. No 2. Partly 3. Yes

SCORE


VII. A Political, Economy and Governance Analysis for NUP done (human, financial, institutional and technical capacity gaps identified)

o Human capacity gaps: 1. No 2. Partly 3. Yes

o Financial capacity gaps: 1. No 2. Partly 3. Yes

o Institutional capacity gaps: 1. No 2. Partly 3. Yes

o Technical capacity gaps: 1. No 2. Partly 3. Yes

VIII. Human capacity development strategy for the needs identified been developed?


IX. Finance strategy for the needs identified been developed?


X. Institutional capacity enhancement strategy for the needs identified been developed?


XI. Technical capacity development strategy for the needs identified been developed?


XII. A diagnostic report completed


XIII. A diagnostic report disseminated to stakeholders for comments and contributions and a validation workshop conducted



FORMULATION PHASE

I. The alternative approaches and strategies from diagnostic phase compiled


II. SWOT analysis of the policy options/alternative approaches/strategies


III. SWOT Analysis report finished


IV. A cost-benefit analysis of the proposed alternative approaches/policy options for NUP completed


V. A cost-benefit analysis report finished


VI. Final options selected and described


VII. URL policy proposal and action plan including: urbanization problems or opportunities, the strategies and persons/institutions responsible, timelines and financial estimates


VIII. List of the human, financial and institutional capacity needs to achieve the policy plan

o Human capacity needs: 1. No 2. Partly 3. Yes

o Financial capacity needs: 1. No 2. Partly 3. Yes

o Institutional capacity needs: 1. No 2. Partly 3. Yes


IX. Human capacity development strategy inclusive of the policy proposal needs completed


X. Financial strategy inclusive of the financial needs of the policy proposal needs completed


XI. Institution capacity enhancement strategy inclusive of the needs of the policy proposal needs completed


XII. Technical capacity development strategy inclusive of the policy proposal needs completed


XIII. A legal strategy to promote the implementation of the policy Proposal


XIV. Report and evidence of the validation and consensus building exercise of the policy proposal


XV. Baseline report of existing situation for monitoring



IMPLEMENTATION PHASE

I. Action plan/implementation plan completed from the formulation phase


II. Action/implementation plan approved by relevant stakeholders


III. Legal strategy approved by the relevant stakeholders and executed


IV. Identify the acupuncture projects/ Catalytic and Priority Interventions


V. Execute the acupuncture projects


VI. Human Capacity development strategy executed


VII. VII. The relevant stakeholders have taken up their roles and responsibilities


VIII. Financial strategy executed


SCORE


IX. Institution capacity enhancement strategy executed


X. Technical capacity development strategy executed


XI. A Monitoring plan developed


XII. Reports on implementation gaps



Appendix 1: Check list for NUP Process Assessment

I. Participation Pillar URL Policy process

Stakeholders Been included in decision making process of the policy proposal?

How many? (where applicable)

Been included in the policy proposal execution?

Is yes indicate how?

1. Beneficiary

2. Financier

3. Implementer

4. Partner

5. Other………

National government

Yes No Yes No

Sub-national governments

Yes No Yes No

Local governments

Yes No Yes No

Women Yes No Yes No

Youth Yes No Yes No

Civil societies Yes No Yes No

Private sector Yes No Yes No

Vulnerable populations

Yes No Yes No

Community groups

Yes No Yes No

Others specify Yes No Yes No


II. Capacity Development

I. Human capacity needs and implementation of the policy proposals of the relevant stakeholders been identified


II. Human capacity development strategy been developed for the policy proposal


III. Human capacity development strategy been implemented for the policy proposal


IV. If the Human capacity development strategy is not implemented issues/challenges identified


V. Necessary adjustments to the Human capacity development strategy to be made defined


VI. Have the financial capacity needs for and the implementation of the policy proposal been identified


VII. Finance strategy developed for the policy proposal



VIII. Finance strategy implemented


IX. If the Finance strategy is not implemented the issues/challenges have been identified


X. 10. Necessary adjustments to the Finance strategy have been made identified


XI. The institutional capacity needs and of the implementation of the policy proposal of the relevant stakeholders been identified


XII. Institution capacity enhancement strategy developed


XIII. Institution capacity enhancement strategy implemented


XIV. If the Institution capacity enhancement strategy is not implemented are the issues/challenges identified


XV. Adjustments to be made in the Institution capacity enhancement strategy identified



III. Acupuncture projects I. Quick win projects/programs identified


II. The required financial resources allocated


III. The required human resources allocated


IV. The required technical resources allocated


V. Defined timeline of the implementation


VI. Implementation report


VII. Description of challenges and lessons learnt


VIII. 8. Measures to address the challenges completed



Appendix 3: Action Plan (adapted from Ghana National Urban Policy Framework, 2012)

Policy objectives

Activities/Initiatives

Timelines Indicators of success

Implementing bodies/persons responsible

Leading organization or person

Cost estimates

Source of funding

1.1 Promoting

spatially

integrated

hierarchy of

urban centres

1.1.1 Undertake a

study and establish

a hierarchy of urban

centres for defined

functions and levels

of services

24 months Maps of the

hierarchy of

urban centers

• Department

of surveying;

Ministry of

land and urban

development

• Department

of engineering

(geospatial

engineering)

University

Ministry

of land

and urban

development

USD

200,000

• E.g. World

bank

• Government

revenue

1.1.2 Spatially

integrate regional

and district capitals

by transportation

and communications

facilities and other

relevant services

within the context

of the guidelines

provided in national

and regional spatial

development

frameworks

6months Spatial

infrastructure

plans

• Department

of surveying;

Ministry of

land and urban

development

• Department

of engineering

(Urban and

regional

planning)

University

Ministry

of land

and urban

development

USD 5000 Government

revenue


Resources for further reading

Please visit: http://urbanpolicyplatform.org/

1. UN Habitat Resource Based Management handbook

2. National Urban Policy; A guiding Framework

3. National Urban Policy; Framework for A rapid Diagnostic

4. Global State of National Urban Policy

5. NUP Regional Reports; Africa, Arab states, Latin America, Europe

6. 20+ Reasons why NUP matters

7. National Urban Policy; Feasibility Guide

8. How to Formulate National Urban Policy; a practical guide

9. Addressing climate change in National Urban Policy

10. Mainstreaming participatory slum upgrading in National Urban policy

11. Mainstreaming Urban-rural Linkages in National urban policy; (draft available)

12. National Urban Policy; Socially inclusive NUPs (Draft available)

13. How to mainstream Food systems and nutrition in National urban policy (under development)

14. Addressing migration in national urban policy (under development)

15. Mainstreaming Housing in National Urban Policy (under development)


References 1. The Organization of Economic & Cooperative Development (OECD) (2006). The Challenge of Capacity Development: Working Towards Good Practice, Development Assistance Committee Guidelines & Reference Series. Paris: OECD, p. 12.

2. Quoted from The GLTN Capacity Development Strategy, ‘Securing Land & Property Rights for All’, (date?), UN-HABITAT, p. 3.

3. Pearson, J. (2011), “Training & beyond: seeking better practices for capacity development”, OECD Development Co-operation Working Papers, No. 1. OECD Publishing, participant learning resource guide. P.18

4. UN-Habitat’s GLTN Good Practice Note Training, draft (will have to see if okay to include this)P 20


NUP, Framework for a Rapid

diagnostic framework

Global state of National Urban

Policy

NUP; A guiding framework

Resource based management

Handbook

For further information, please contact: UN-Habitat Regional and Metropolitan Planning Unit

Urban Planning and Design Branch (UPDB)[email protected]

www.unhabitat.org

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