3. Key trends and characteristics of NUP

This section analyses forms of NUP. It examines NUPs in an explicit form and in other national-level policies with a spatial focus on urban areas or an important impact on urban areas.1 Examples of such policies include national development strategies with dedicated focuses on urban areas and national-level sectoral policies and plans (e.g. housing, energy, transport, land-use) with elements addressing the urban level (e.g. a national-level transport plan that incentivises the use of electric vehicles in urban areas or prioritises urban infrastructure development). It is crucial that such policies have been understood and analysed as NUP in this study in order to better reflect the broader spectrum of national level policies with an urban component.2 This approach has enabled a country without an explicit form of NUP to identify a policy which either provides the most comprehensive and strategic vision for urban development or affects urban areas the most. These policies were considered and analysed as part of NUPs for the country.

For this analysis, an explicit NUP is defined as a policy with “a title of ‘national urban policy’ or variant such as ‘national urbanisation policy’ or ‘national urban strategy’ or ‘national urban development strategy’. The definition is consistent with the 2018 report. The data was collected mainly through the country survey (86 countries) and complemented with desk research, including the UN-Habitat NUP database.

The 162 countries analysed in the report have a NUP in some form or stage. Of these 162 countries, 91 (56%) have or are developing an explicit NUP (Figure 3.1). This is an increase from the 2018 report, where 76 out of 150 countries (51%) had an explicit NUP (UN-Habitat/OECD, 2018[1]).

The survey data and desk research also indicate a regional variation in the distribution of explicit NUPs. Across the regions in aggregate, the Latin America and the Caribbean region led with the highest share of explicit NUPs (68%) followed by Africa (58%), Asia and the Pacific (57%), Arab States (53%) and Europe and North America (50%) (Figure 3.2).

The NUP country survey data showed that, regardless of whether a country had an explicit NUP or not, 91% of the 86 responding countries identified at least one other national-level policy with a major focus and impact on urban areas.

Non-explicit policies respond to urban issues across different sectors and scales, as is the case of the national economic and social development plans in Thailand, the national spatial development policies in Bulgaria, and regional and territorial development strategies in Armenia and the Czech Republic. Sectoral policies and programmes include the Investing in Canada Infrastructure Programme, housing policies in Eswatini and Nigeria, the national transport plan in Norway and the State Housing Plan 2018-2021 in Spain. Several other countries indicated they have a range of such policies.

In some cases, sectoral policies affecting urban areas (housing, sanitation and mobility) are managed within one ministry, such as the Regional Development Ministry in Brazil. However, given the broad sector issues and thematic areas identified with impacts on urban areas, in most cases such policies are spread across different government ministries and departments. This provides a clear indication of the multi-sector and dimensional focus and co-ordination required to achieve sustainable urbanisation.

In addition to forms of NUP, the report also examined the characteristics of NUPs. The NUP country survey collected responses from 86 countries, with 58 ‘explicit NUPs’ and 28 ‘other NUPs’.

Explicit NUPs evaluated from the survey demonstrate a high level of comprehensiveness. Among a wide range of characteristics elaborated out of NUP consideration in the New Urban Agenda and its Action Framework for the Implementation, the Habitat III Policy Paper 3 on National Urban Policies, and the OECD Principles on Urban Policy (see Chapter 1), the country survey found the three most common characteristics to be: i) “NUP defines strategic, long-term, and shared vision for national urban development” (52 out of 58 countries, or 90%), ii) “integrates and co-ordinates cross-sectoral policies” (48 out of 58, 83%), and iii) “applies an integrated territorial perspective, promoting a system of cities approach and connectivity between urban and rural areas” (48 out of 58, 83%) (Figure 3.3). However, a few other characteristics are nearly equally commonly selected, including “develops co-ordination mechanisms among and across different levels of government, clarifying roles, responsibilities and resources” and “ensures and promotes engagement and participation of sub-national governments and stakeholders”.

Fewer number of countries (36 out of 58, 62%) consider their NUP “develop implementation mechanisms with legal, regulatory and financial tools and support capacity development”. Laws are a primary means of NUP implementation. Clear legislative frameworks and instruments, including capacities to enforce and regulate, must be embedded in the NUP process. Likewise, combined with human resources, effective financial allocation can reduce implementation gaps and policy failures (UN-Habitat, 2014[2]). The NUP implementation mechanism will be discussed in Chapter 4.

The least considered characteristic by explicit NUPs was “relies on robust urban scale data and ensures regular monitoring and evaluation” (30 out of 58 countries, 52%). The result is consistent with one of the key findings of the first edition of the report, which identified inadequate access to the urban data, knowledge and tools for evidence-based policymaking as a key challenge (UN-Habitat/OECD, 2018[1]). Robust urban scale data should be a basis for the formulation, monitoring and evaluation of NUP, and is thus an essential part of NUP. This point was also emphasised during the Habitat III process; the Policy Unit 3 Policy Paper advised that NUP should be grounded in the most current and comprehensive qualitative and quantitative data and this in itself is a process of improving collection of disaggregated urban data (United Nations, 2016[3]). Continuous data collection and monitoring should be undertaken throughout the NUP process to be able to track progress over time and assess policy impacts. This will be further discussed in Chapter 5.

The top two characteristics of the reported NUPs in non-explicit forms are “to ensure and promote engagement and participation of sub-national governments and stakeholders” (19 out of 28 non-explicit NUPs, or 68%) and “to develop implementation mechanisms with legal, regulatory and financial tools, and capacity development” (19 out of 28, 68%), followed by “to develop co-ordination mechanisms among and across levels of government, clarifying roles, responsibilities and resources” (18 out of 28, 64%) (Figure 3.4). The overall result suggests that NUPs in non-explicit forms are more focused on the process, including an emphasis on stakeholder engagement and implementation and co-ordination mechanisms.

There are distinct characteristics between explicit NUPs and other NUPs. As discussed previously, explicit NUPs are often “defining strategic, long-term and a shared vision for national urban development”, whereas a much lower number of ‘non-explicit’ NUPs (17 out of 28 countries, or 61%) has such a character. Similarly, not many NUPs in non-explicit forms are “integrating and co-ordinating cross-sectoral policies” (15 out of 28, or 54%) or “applying an integrated territorial perspective” (15 out of 28, or 54%). This result is not surprising, as the policies analysed here focus on sectoral contents such as economic, spatial, human development, environmental sustainability and climate resilience rather than integrated urban development.

Finally, the NUP survey found that only 46% (13 out of 28) of non-explicit NUPs “rely on robust urban scale data and ensure regular monitoring and evaluation”. The result was similar to the case for explicit NUPs.

The NUP process has five stages: feasibility, diagnosis, formulation, implementation, and monitoring and evaluation. The NUP country survey and supplementary research evaluated the progress made by different countries in the NUP development process since 2018.

The result shows that NUPs have progressed to more operational stages since 2018. Out of 157 NUPs with available information, 38% were in the development stages (11% in feasibility, 7% in diagnosis, 20% in formulation) and 62% are being or have been implemented (46% in implementation, 16% in monitoring and evaluation) (Figure 3.5). These numbers are analysed at face value and need careful interpretation, as some countries are in the process of revising their NUPs or formulating a new one, and thus reported stages of development in flux rather than static. Compared to 2018, the largest progress was from the diagnosis to formulation stage, reported by countries such as Jordan, Myanmar and Zambia. NUPs in the diagnosis stage reduced from 12% to 7%, while those in the formulation stage increased from 11% to 20%. Countries such as the Czech Republic, Malawi, Saudi Arabia and Sweden reported progressing from the development to the implementation stage (Table 3.1). The share of NUPs in the implementation or monitoring and evaluation stages slightly increased from 61% in 2018 to 62% in 2020.

Out of 91 explicit NUPs, 9 (10%) are in the feasibility stage, 6 (7%) in the diagnosis stage, 22 (24%) in the formulation stage, 38 (42%) in the implementation stage and 16 (17%) in the monitoring and evaluation stage (Figure 3.6). In 2018, a larger proportion (30%) of the explicit NUPs were in early development stages (feasibility and diagnosis). The new wave of explicit NUPs is now reaching the formulation and implementation stages.

The majority of NUPs in non-explicit forms (65%) are operational (51% in implementation and 14% in monitoring and evaluation) and 35% are in the development stages (14% in feasibility, 7% in diagnosis and 14% in formulation).

Analysis of the thematic scope was undertaken for 113 NUPs with available data out of 119 NUPs that are in the formulation stage or beyond. For continuity with the 2018 edition, the same five broad thematic categories were analysed in 2020: economic development, spatial structure, human development, environmental sustainability and climate resilience. The level of attention given to each thematic area was assessed on a scale from low to moderate to extensive, with commonly defined principles (see Chapter 1). The data shows that spatial structure has the highest attention among the five thematic areas, with 80% of NUPs giving this moderate or extensive attention. Human development, economic development and environmental sustainability follow, with 78, 67 and 64% respectively (Figure 3.7). Climate resilience was the least considered thematic area among the five themes, with 48% of NUPs giving moderate to extensive attention to them.

In comparison to 2018, the analysis indicates that NUPs have become more comprehensive, covering wider thematic areas. Between 2018 and 2020, the shares of NUPs giving extensive or moderate attention to four of the five themes have remained high: spatial structure (78% in 2018 and 80% in 2020), human development (83% in 2018 and 78% in 2020), economic development (69% in 2018 and 67% in 2020) and environmental sustainability (68% in 2018 and 64% in 2020). In contract, the data indicates a large improvement in climate resilience, rising from 36% in 2018 to 48% in 2020. Although the results of the comparison need to be interpreted carefully,3 they indicate that NUPs have overall extended their thematic scope.

The analysis by five global regions indicates that the attention (moderate and extensive) to spatial structure was more evident in the NUPs in Europe and North America (88%), Latin America and the Caribbean (88%) and the Arab States (82%) and least evident in Africa (60%) (Figure 3.8). On the other hand, human development was more prevalent in NUPs from the Arab States (88%), Asia and the Pacific (83%), Latin America and the Caribbean (81%) and in Africa (80%). Interestingly, 80% of NUPs from Asia and the Pacific and 69% of those from Latin America and the Caribbean indicated to have moderate or extensive attention to environmental sustainability, implying the magnitude of the theme.

In addition to the analysis of the five broad thematic categories, levels of attention to 20 sub-themes were also analysed in the NUP country survey 2020 (Table 3.2). The results revealed more precise priorities in NUPs at the global scale, as well as some gaps across sub-themes within a broad thematic category. Under the theme of ‘human development’, for example, the data shows that relatively less attention is given to ‘promoting social cohesion and fighting against spatial segregation (with 24 NUPs with extensive attention), compared with other sub-themes such as ‘ensuring access to basic urban services and infrastructure (39 NUPs)’ and ‘ensuring adequate and affordable housing’ (32 NUPs). Under ‘spatial structure’, two sub-themes given the most extensive attention were ‘tackling urban sprawl’ (34 NUPs) and ‘sustainable mobility’ (32 NUPs), while slightly less attention was given to ‘promoting urban-rural connectivity’ (29 NUPs) and ‘developing public spaces’ (27 NUPs).

The NUP country survey 2020 also identified thematic focuses other than the five themes. Common answers were on education, culture and social integration, among others. NUPs in Bolivia and Mexico give particular attention to indigenous communities, while gender and inter-generational integration are key themes in the NUP of Brazil. In Finland, immigration and newcomer policies are covered by its NUP. Moreover, smart cities, smart technologies and urban innovation are reported as important themes in NUPs in the Czech Republic, Finland, Madagascar, Malawi and Portugal.

Regarding the institutions leading their NUP process (Figure 3.9), 54 out of 86 countries (63%) rely on a ministry or agency specialised in urban issues to lead the NUP process. These ministries or agencies are to a large extent specialised in housing, infrastructure, spatial planning, environment and urban development. Examples include the Ministry of Housing and Urban Development in New Zealand and Chile’s National Council for Urban Development. In 35 countries (41%) a ministry or agency in charge of general national planning or development is leading the process. Examples include the Ministry of Finance in Estonia, the Planning Administration in Israel, the Ministry of Transport and Local Government in Iceland, the Ministry of Sustainable Development and Tourism in Montenegro, the Federal Ministry of the Interior, Building and Local Community in Germany, and the Office of the National Economic and Social Development Council in Thailand. In Hungary, the Prime Minister’s Office is taking the lead. In some countries, the Ministry for Local Government is leading the NUP process, for example Norway and Zambia. Six countries reported that the ministry responsible for regional development is leading the NUP process: Brazil, Bulgaria, the Czech Republic, Latvia, Poland. In Austria, the Ministry for Agriculture, Regions and Tourism is co-ordinating the NUP process.

In some countries, two or more ministries are co-leading the NUP process. For example, in Finland the Ministry of Economic Affairs and Employment is co-leading it with the Ministry of the Environment. In Tanzania, the President’s Office, Regional Administration and Local Government, and two other ministries are involved in leading the NUP process.

Fifteen countries (22%) indicated that the NUP leading institution is ‘not clearly defined’ as there is not a national ministry with clear mandate for urban issues, and urban policy is dealt with as part of different sectoral policies at national level. This is the case for Costa Rica, Eswatini, Kazakhstan, Nepal, Netherlands, Rwanda, Saudi Arabia and Sweden.

The findings of this chapter indicate that NUPs have become more explicit, operational and comprehensive since 2018. Of the 162 identified NUPs, 91 (56%) are identified as explicit NUPs, compared with 51% in 2018; many NUPs have advanced from diagnosis to formulation and implementation stages; and the levels of extensive and moderate attention increased for four out of five thematic areas.

In light of the COVID-19 recovery, countries face an increasing need for strengthening place-based decision-making and coherence in urban development. NUPs should play a more explicit role in developing a strategic and shared vision and co-ordinating policies across sectors and levels of government. A more clearly formulated NUP can drive more coherence across different urban policies undertaken at the national level (OECD, 2017[4]), and provide more effective support to cities and towns to tackle their complex challenges (United Nations, 2016[3]).

In addition to explicit NUPs, the survey stressed the importance of other national level policies that affect urban areas, which interconnect to form a systemic NUP framework. Such policies were found to ensure and promote engagement, participation, co-ordination and implementation mechanisms.

Countries should also continue to make their NUPs more comprehensive, by giving attention to a wide range of themes reflecting their urban policy contexts. Growing attention to climate resilience as a thematic area of NUPs indicates that NUPs are becoming an integrated urban management and planning systems

Finally, the analysis highlighted the lack of comprehensive and disaggregated urban data as a key challenge in the formulation of NUPs. Strategies to improve the collection of disaggregated urban data need to be put in place as the basis of NUP formulation and to ensure regular and effective monitoring and evaluation of such policies.

References

[4] OECD (2017), National Urban Policy in OECD Countries, OECD Publishing, Paris, https://dx.doi.org/10.1787/9789264271906-en.

[5] OECD/UN-Habitat/Cities Alliance (2020), National Urban Policy Country Survey 2020.

[2] UN-Habitat (2014), The Evolution of National Urban Policies: A Global Overview, UN-Habitat, https://unhabitat.org/the-evolution-of-national-urban-policies.

[1] UN-Habitat/OECD (2018), Global State of National Urban Policy, OECD Publishing, Paris/United Nations Human Settlements Programme, Nairobi, https://dx.doi.org/10.1787/9789264290747-en.

[3] United Nations (2016), Policy paper 3: National urban policy, https://habitat3.org/wp-content/uploads/Policy-Paper-3-English.pdf.

Notes

← 1. In the 2018 report, two types of NUP were identified: explicit NUPs and partial (or implicit) NUPs. An explicit NUP was defined as a policy with “a title of ‘national urban policy’ or variant such as ‘national urbanization policy’ or ‘national urban strategy’ or ‘national urban development strategy’. The category of “partial, or implicit NUP” acknowledged that a policy document that is not explicitly labelled as NUP could in practice function as a NUP. A partial NUP was defined as having “many of the elements of a NUP but not yet brought together as a formal, or explicit NUP”.

← 2. In the 2018 report, such policies are not clearly defined and understood as NUPs. As a result, several countries indicated that they did not have a NUP (explicit or partial) in their urban policy landscape, even though there were national sectoral policies that have a spatial focus on urban areas.

← 3. Clearer guidance was provided to assess the level of attention (extensive, moderate or low) for the NUP country survey 2020 as well as for the analysis, compared with the analysis for the 2018 report (see Chapter 1).

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