Understand the NUP phases, the aim of each NUP phase, who is involved in each NUP phase and when and how the phase is conducted.

1. UN-Habitat & National Urban policies
Module 2 – NUP process
THE MODULE AIMS TO ACHIEVE 5 OBJECTIVES:
Understand the NUP phases
The aim of each NUP phase
Who is involved in each NUP phase
When the NUP phase is conducted
How each NUP phase is conducted

2. UN-Habitat & National Urban policies
Module 2 – NUP process
THERE ARE 5 PHASES:
Feasibility Diagnostic Formulation Implementation Monitoring and
Evaluation

3. UN-Habitat & National Urban policies
2.1 Feasibility phase
Feasibility phase determines the viability of a NUP while providing the
framework and direction for its development and delivery; different
countries are unique
What does the phase achieve:
It focuses on research, analysis, facts gathering and dissemination
Helps map and consult all relevant stakeholders
Focuses on analyzing, clarifying and resolving key issues
Analyzing alternative concepts and approaches to address urban
sustainability
Understanding the local political economy of urbanization
Provides a road map to achieve urban sustainability
Identify and prioritize the risks to maximize the realization of
opportunities

4. 2.1 Function of Feasibility Phase

5. UN-Habitat & National Urban policies
2.1 Feasibility phase- step by step process

6. MODALITIES OF FEASIBILITY PHASE
Country profile: economic, social and environmental analysis
Urban profile: urban trends, urban governance analysis and urban finance
assessment
Capacity gaps assessment
2.1 Feasibility phase

7. SUGGESTED FEASIBILITY PHASE ACTIVITIES AND TIMEFRAMES
2.1 Feasibility phase
Source: UN-Habitat (2018) National Urban Policy Menu of Services

8. 2.1 Feasibility phase
OUTPUTS OF THE FEASIBILITY PHASE

9. UN-Habitat & National Urban policies
2.2 Diagnostic phase
This phase 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 defined

10. UN-Habitat & National Urban policies
2.2 Diagnostic phase: Process step by step

11. The contents of a diagnostic report

12. UN-Habitat & National Urban policies
2.3 Formulation phase
FORMULATION CAN BE VIEWED AS THE DESIGN PHASE
• Policy makers make sure they agree on the policy’s vision,
objectives, principles, options, strategies and actions to be
taken
• Consultation is key
• Tools such as workshops and urban for a can be used to
engage stakeholders, exchange ideas, improve human
capacity, discuss various proposals, test different scenarios
and make recommendations

13. UN-Habitat & National Urban policies
2.3 Formulation phase
WHAT TO CONSIDER BEFORE ENGAGING ON NUP FORMULATION:
Lead agency: responsible agency/ministry/department
Quality of data and information (collection and analysis
Stakeholder, public participation and engagement
Availability of resources
Coordination and institutional feasibility
Local relevance

14. UN-Habitat & National Urban policies
2.3 Formulation phase
STEPS AND OUTPUTS IN FORMULATION PHASE

15. UN-Habitat & National Urban policies
2.3 Formulation phase- detailed step by step

16. UN-Habitat & National Urban policies
2.3 Formulation phase
HOW TO DETERMINE THE BEST POLICY OPTIONS
• Consistency with government priorities
• Alignment with international development agenda
• Effectiveness in addressing urban problems, harnessing the opportunities and
supporting the intended outcome
• The economic cost/benefits
• Strategic impacts (economic, social, environmental)
• Feasibility of implementation

17. UN-Habitat & National Urban policies
2.3 Formulation phase
PLANNING FOR IMPLEMENTATION
• Formal adoption by the national government followed by a lwa passed
Lower endorsement processes
• Approval by cabinet
• Decree by the head of state, prime minister, minister in charge
• Amendments of existing legislation, rules, regulations, administrative instructions
• Expression as policy statements or manifesto

18. UN-Habitat & National Urban policies
2.3 Formulation phase
SUGGESTED OUTLINE OF THE NUP DOCUMENT

19. UN-Habitat & National Urban policies
2.3 Formulation phase
STRUCTURE AND CONTENT OF THE NUP
• Urban governance
• Spatial sustainability
• Financial sustainability
• Economic sustainability- infrastructure
• Social sustainability
• Environmental sustainability

20. UN-Habitat & National Urban policies
2.4 Implementation phase
NUP REQUIRES A CLEAR IMPLEMENTATION PLAN
Policy directions should be translated into tangible and
positive changes
NUP implementation plan should be produced
alongside NUP drafting or right after drafting
This implementation plan could be a stand alone
document or be part of the main policy statements

21. UN-Habitat & National Urban policies
2.4 Implementation phase
NUP IMPLEMENTATION PLAN SETS OUT:
Agreed NUP actions and timeframes
Coordination framework for agencies and institutions responsible for NUP
Appropriate identification of a monitoring agency for implementation
Clear mechanisms for funding and financing NUP actions
Ongoing monitoring program of the NUP including indicators frameworks
Evaluation program for the NUP progress against commitments
Explicit efforts to build government and urban sector knowledge capacity
Alignment of national monitoring with key global urban frameworks

22. UN-Habitat & National Urban policies
2.4 Implementation phase
This phase depends on the previous ones and more specifically to the formulation
phase which lays down a policy plan
The implementation analysis of the policy plan aims at determining the way
forward for execution; it also guides on the administrative structure of NUP
actualization
The implementation gaps are derived from the analysis
An implementation plan containing the tasks, agencies responsible and timelines
In this phase the resources are allocated
The intent of the policy is also translated into legislation in this phase

23. UN-Habitat & National Urban policies
2.4 Implementation phase- step by step process

24. UN-Habitat & National Urban policies
2.5 Monitoring and evaluating 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 ensures that the whole process and product are a success
Evaluation relies heavily on the baseline data, i.e data collected before
implementation
NUP as a product and process should be evaluated differently

25. UN-Habitat & National Urban policies
2.5 Monitoring and evaluating phase- process step by step

26. UN-Habitat & National Urban policies
2.5 NUP Phase by Phase Assessment
THE FOLLOWING CHECKLISTS PRESENT THE REQUIREMENTS FOR EACH PHASE:

27. UN-Habitat & National Urban policies
2.5 NUP Phase by Phase Assessment

28. UN-Habitat & National Urban policies
2.5 NUP Phase by Phase Assessment

29. UN-Habitat & National Urban policies
2.5 NUP Phase by Phase Assessment