This module should enable a learner to understand: What NUP is; including the definition and phases thereof Why NUP Matters How NUP is formulated and implemented Who is involved and The significance of NUP in a certain national/sub-national context

1. UN-Habitat & National Urban policies
Module 1 - Introducing NUP
BY THE END OF THIS MODULE THE LEARNERS SHOULD BE ABLE TO UNDERSTAND:
What NUP is; the definition and phases thereof
Why NUP Matters
How NUP is formulated and implemented
Who is involved and
The significance of NUP in a certain national/sub-national context

2. UN-Habitat & National Urban policies
1.1 What is NUP
‘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’
FORMS OF NUP
Explicit NUP: 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”
Partial NUP: a policy form in which many elements of a NUP exist but they
are not yet brought together as a formal/explicit NUP

3. Source: Global state of NUP 2018; pp21
1.1 UN Habitat and National Urban Policies
UN-Habitat and OECD analysis
of the state of National Urban
Policy

4. 1.2 Why NUP
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)
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.

5. 1.2 Why NUP Matters
• +20 reasons

6. UN-Habitat & National Urban policies
1.3 How NUP formulated and implemented
The framework of NUP formulation
and implementation;
Four domains of change/Goals (which are overlapping
and mutually reinforcing) are based on the 4PS as:
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
Peace: Effective urban crisis prevention and response

7. Participation
Capacity building
Acupuncture projects
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.
1.3 How is NUP formulated and implemented
PARTICIPATORY APPROACH

8. 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.
1.3 How is NUP formulated and implemented
Participation
Capacity building
Acupuncture projects
CAPACITY DEVELOPMENT

9. 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.
1.3 How is NUP formulated and implemented
Participation
Capacity building
Acupuncture projects
ACUPUNCTURE PROJECTS

10. • FEASIBILITY
aims at making the case for a NUP and to clarify the
following: 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.
• DIAGNOSTIC
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.
1.3 How is NUP formulated and implemented

11. • FORMULATION
facilitates 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
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.
1.3 How is NUP formulated and implemented

12. • MONITORING AND EVALUATION:
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 learning.
1.3 How is NUP formulated and implemented

13. 1.3 Where we work: UN Habitat and National Urban Policies
UN-Habitat is working on urban policy at different levels, supporting 1 Global programme, 1 Regional programme (Arab States), 36
National Urban Policy processes and 3 sub-National Urban Policy processes.
4 additional countries: Bolivia, Guinea, Haiti, Solomon Island.

14. UN-Habitat & National Urban policies
1.3 NUP Theory of Change
NUP should play a major role in
bringing in change in sectors as
economic development, spatial
structure, human development,
environmental sustainability and
climate resilience.
The Theory of Change is a
guiding framework for all
stages of planning,
implementation and
performance management
when intervening in social
change processes.

15. UN-Habitat & National Urban policies
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.
1.4 Principles of the NUP process

16. UN-Habitat & National Urban policies
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.
1.4 Principles of the NUP process

17. UN-Habitat & National Urban policies
1.5 Stakeholders in NUP process

18. THE SUPPORTING PILLARS
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.
1.5 Exercises – Group discussion

19. THE PHASES OF NUP
• 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?
1.5 Exercises – Individual reflection

20. THE PHASES OF NUP
• 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).
My Feasibility Phase question is: ……
My Diagnosis Phase question is: …..
My Formulation Phase question is: ….
My Implementation Phase question is: ….
My Monitoring and Evaluation Phase question is: ….
1.5 Exercises – Individual reflection