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InternationalGuidelines onUrban andTerritorialP LanningHANDBOOK

InternationalGuidelines onUrban andTerritorialP LanningHANDBOOK

International Guidelines on Urban and Territorial Planning (IG-UTP) HandbookFirst published in Nairobi in 2018 by UN-HabitatCopyright United Nations Human Settlements Programme, 2018All rights reservedUnited Nations Human Settlements Programme (UN-Habitat)P. O. Box 30030, 00100 Nairobi GPO KENYATel: 254-020-7623120 (Central Office)www.unhabitat.orgHS Number: HS/052/18EAcknowledgementsCoordinators: Shipra Narang Suri and Remy SietchipingContributors: Ulrich Graute, Frank D’hondt, Laura Petrella, Manka Bajaj and Andrea OyuelaDesign and layout: Herbert KIMANIDisclaimerThe designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoeveron the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, orconcerning 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 UnitedNations, or its Member States.Excerpts may be reproduced without authorization, on condition that the source is indicated.

IG-UTP HandBookForewordIn 2015, the UN-Habitat Governing Council approved the InternationalGuidelines on Urban and Territorial Planning (IG-UTP), a set of universalplanning principles for the improvement of planning and managementat all levels, from neighbourhood to city level, and beyond, to regional,national and transboundary levels. Urban and territorial planninghas been thought of as an exclusive competence of national andlocal authorities. However, as our cities continue to grow and theirstakeholders become increasingly diverse, planning needs to change.The Guidelines advocate for planning as an integrated and participatorydecision-making process to plan and manage our cities and territoriesin a holistic manner.I encourage countries, citiesand their citizens to makeuse of the Guidelines andthis Handbook, to harnessthe power of plannedurbanisation towardssustainable social andeconomic development,and the realisation of theNew Urban Agenda and theSustainable DevelopmentGoals.The IG-UTP are the single most downloaded publication of UN-Habitat.They are also explicitly referenced in the New Urban Agenda. These aretestimonies to the gap the Guidelines fill, and the quality of guidancethey provide. This Handbook has been designed as an accompanyingtool that will assist national governments, local authorities, planningprofessionals, and civil society organizations in collectively applying theGuidelines to improve planning frameworks and practice at all levelsof governance and across the spatial planning continuum. While theGuidelines advocate shared responsibilities and collaborative planning,the Handbook provides a breakdown of the process and elementsneeded to attain the outcomes, which the Guidelines ultimately aimto achieve.I encourage countries, cities and their citizens to make use of theGuidelines and this Handbook, to harness the power of plannedurbanisation towards sustainable social and economic development,and the realisation of the New Urban Agenda and the SustainableDevelopment Goals.Maimuna Moh’d SharifExecutive Director, UN-Habitat

IG-UTP HandBookTable of ContentsSUMMARY 11. INTRODUCTION 2Urban and territorial planning as one pathway for sustainable development 32. ABOUT THIS HANDBOOK 73. THE PROCESS: Planning as an integrative and participatory decision-making process 113.1 The urban and territorial planning process 123.1.1 Why do we need integrative and participatory planning? 123.1.2 Who plans? The four stakeholder groups 133.1.3 The enabling environment and other impact factors of urban and territorialplanning 143.2 Urban and Territorial Planning Components 153.2.1 Rules and regulations governing urban and territorial planning 153.2.2 Phases of planning 153.3 Conclusion 19Checklist for the process of integrated and participative planning 204. THE PRODUCTS: Policies, plans, and designs 214.1 What kind of Plans? 224.2 Policies, plans and designs at five planning scales 224.2.1 Supranational and transboundary planning 234.2.2 National planning 234.2.3 City-regional and Metropolitan planning 244.2.4 City-wide and municipal planning 254.2.5 Neighbourhood planning 254.2.6 Area & theme specific planning 26

IG-UTP HandBook4.3 Review of planning systems 264.4 Conclusion 27Checklist on policies, plans and design of integrated and participative planning 285. THE OUTCOMES: Fostering sustainable urban and territorial development 315.1 Sustainable development as outcome of urban and territorial planning 325.2 What does planning need to achieve? The main aim and its five qualifiers 345.2.1 Planning more compact places 345.2.2 Planning socially more inclusive places 345.2.3 Planning better connected places 355.2.4 Planning places that are more resilient to climate change and naturaldisasters 365.2.5 Integrated planning 375.2.6 Outcome indicators 385.3 Conclusion 38Checklist on outcomes 386. THE ROLE OF UN-HABITAT & PARTNERS 39LITERATURE AND RESOURCES 42

IG-UTP HandBookList of AcronymsAFINUAAction Framework for Implementation New Urban AgendaAgenda 2030Transforming our world: the 2030 Agenda for Sustainable DevelopmentCCCIUN-Habitat’s Climate Change InitiativeCSOCivil society organizationESDPEuropean Spatial Development PerspectiveESPONEuropean Spatial Planning Observatory NetworkEU European UnionGHG Greenhouse gasGISGeographic information systemIG-UTPInternational Guidelines on Urban and Territorial PlanningNGO Non-governmental organizationNTPNational territorial plansNUANew Urban AgendaNUPNational urban policiesSEZSpecial economic zoneSDGSustainable Development Goals (part of the 2030 Agenda)SWOTAnalysis of strengths, weaknesses, opportunities and threats/challengesUN United NationsUN-HabitatUnited Nations Human Settlements ProgrammeUTPUrban and territorial planning

IG-UTP HandBook1SummaryThis handbook for the International Guidelines onUrban and Territorial Planning (IG-UTP) is part of aseries of tools designed to improve planning practice.The guidelines themselves are not a blueprint foran imaginary ideal planning process. Instead, theprinciples and recommendations of the guidelinesgive advice on what is most important to successfullycoordinate an integrated and participatory planningprocess for sustainable development. This handbookprovides an overview of the scope of topics coveredby the IG-UTP and puts special emphasis on planningprocesses, products and outcomes. In addition, itrefers to additional tools, literature and resources forplanners, civil society and policy makers at nationaland local levels.Chapters 1 and 2 of this handbook provide anintroduction and guidance on how it can be used.Chapter 3 elaborates on the conditions of successin the various stages of planning evaluation). It demonstrates that integratedand participative planning is not only necessaryto promote local democracy, participation andinclusion, transparency and accountability, but that itis also a pre-condition to informed decision-makingand effective implementation. It is only throughsuch an integrative approach and the inclusion of allstakeholders that the risk of failure can be minimized.Furthermore, planning phases are iterative and notnecessarily linear. Monitoring and evaluation mayidentify deficits, which requires another look at theprocess to improve diagnosis and plan formulationor to improve capacities for the implementation.Chapter 4 provides guidance on designing effectiveplanning products (policies, plans and designs) thatsupport sustainable planning outcomes. In the phasesof production and realization of policies, plans anddesigns, a number of visions, strategies and actionstake shape and transform cities and territories. Rapidurbanization and other dynamics generate newsituations, challenges and opportunities. Therefore,the review of planning processes and the systemsthemselves is a constant challenge to find evenbetter ways to achieve integrated and participativeplanning. With respect to the content of plans,there is a general distinction between planningproducts at the higher levels, which are moreholistic and comprehensive, and those at the city orneighbourhood level, which are more specific.Moving further, Chapter 5 discusses challengesrelated to planning for sustainability. Planningby itself cannot ensure that sustainability will beachieved. However, applying the principles of theguidelines can support the development of diverseplanning approaches adapted to different contextand scales aimed at sustainable development. Tomonitor if planning is on track for more sustainableurban and territorial development, UN-Habitatidentifies five qualifiers which are described in thechapter: planning aims at: (1) compact, (2) inclusive,(3) connected, (4) resilient and (5) integrated places.The chapter closes with a discussion on outcomeindicators.Chapter 6 provides guidance on the role of UNHabitat and partners in supporting implementationof the guidelines. Chapter 7 refers users to additionalliterature and resources that could be beneficialin reviewing and improving urban and territorialplanning in their respective contexts.

2 IG-UTP HandBookI. Introduction

IG-UTP HandBookThe role of urban and territorial planning in theachievement of a sustainable future cannot be overemphasized. Urbanization is progressing rapidly. By theyear 2050, 70 per cent of the global population willbe living in urban areas. The urban form determinesthe distribution of a population’s density and activities,and is therefore a key determinant of the per capitacost and consumption of limited resources, such asland, water, energy and infrastructure.3groups; hence, such regulations can, ironically,become obstacles in the path of economic, socialand environmental goals. In many cases, planningadministrations were set up in colonial times or indifferent socio-economic and political circumstancesand may not fit the present scenario of availableresources and needed capacities.Figure 1: Urban and rural population of the world, 1950 – 2050 (United Nations 2015)In developing countries, where much of this urbangrowth will take place, the projections for 2030 showthat, while the urban population will double, the areacovered by cities could triple.Most countries practise some form of territorialplanning to influence urban forms and functions.However, it is unclear whether these instrumentsand processes are effective, what type of outcomesthey are delivering and for whom? Sometimes, plansare not implemented or building standards and landtenure options are not feasible for all populationIn developing and transitioning countries, particularlyurban and territorial planning predominantly regulatesformal activities and is unable to meet the emergingneeds of new residents and workers in the city. Moreover,as planetary limits are becoming more evident, there is agenuine drive in government and the private sector totry to do more with fewer resources. Still, even thoughthese factors paint a grim picture, the good news is thatthere is now a strong global consensus that sustainabledevelopment is a shared goal. With this idea, there isalso a formal recognition of the role for integrated andparticipatory urban and territorial planning with someguidance on how to “re-invent” planning.

4 IG-UTP HandBookUrban and territorial planning as onepathway for sustainable developmentGenerally, for every 10 per cent increase in urban sprawl, there is an equal increasein per capita hazardous pollution and a 5.7 per cent increase in per capita carbondioxide emissions (United Nations Economic and Social Council, 2016). Thus,in order to curtail the environmental footprint of urbanization, we will need(among other instruments) effective territorial strategies that discourage sprawland encourage urban forms and patterns conducive to sustainable development.Although many of the effects of inappropriate and inadequate planning ofsettlements (e.g. proliferation of slums, segregation, congestion, food insecurity,environmental pollution or health hazards) are experienced locally, much of theproblem solving requires action at larger geographical scales, including the globallevel. Recognizing the interconnectedness and complexity of several of theseissues, the 2030 Agenda for Sustainable Development identifies 17 thematicareas, or Sustainable Development Goals (SDGs), which countries have committedto attaining within the next 15 years. When applied to a specific geographicalarea or territory, most of these goals are relevant and hence overlap. Thus, citiesare affected by the entire 2030 Agenda as the bulk of SDG action (e.g. Goals 3,6, 7, 11, 12, 13) tends to be located in urban areas, which in the end, host themajority of the global population. In addition, one particular SDG (Goal 11: Makecities and human settlements inclusive, safe, resilient and sustainable) specificallyaims to deliver sustainable outcomes at the level of a human settlement, withspecific targets (11.a, 11.3 and 11.7) related to territorial planning.The New Urban Agenda is essentially an action blueprint for countries to achievesustainable development using an urban “lens”. The document identifies “planningand managing urban spatial development” as one of the three pillars of effectiveimplementation of the agenda, and contains more than 50 references to “urban andterritorial planning” throughout the text. “Urban and territorial planning and design” isalso identified in UN-Habitat’s Action Framework for Implementation of the New UrbanAgenda (AFINUA) as one of the five main ingredients to implement the New UrbanAgenda in support of the SDGs, putting emphasis on SDG 11 once again. The logicbehind this specific terminology is that urban and territorial planning and design shouldnot be limited to the planning of an urban settlement alone, as if it were an isolatedentity. Instead, urban settlements should be seen as part of a larger territorial fabric.Planning, then, is a tool to support effective urban-rural linkages as well ascomplementarities in functions of different settlements. An urban and territorialstrategy may, for instance, require cooperation between different municipalities inorder to cover functional urban areas spilling out of their jurisdictional boundaries.This would mean that infrastructure investments are informed by an urban andterritorial strategy rather than a single-sector strategy, which in turn, would requirecoordination and integration between urban and territorial plans and sectorstrategies. The New Urban Agenda points us to the recommendations of theInternational Guidelines on Urban and Territorial Planning for further guidance onthis subject (NUA, paragraph 93).

IG-UTP HandBookInternational guidelinesto support urban andterritorial planningUrban and territorial planning is complex andaddresses multiple challenges.Urban and territorial planning can be defined as adecision-making process aimed at realizing economic,social, cultural and environmental goals throughthe development of spatial visions, strategies andplans and the application of a set of policy principles,tools, institutional and participatory mechanisms andregulatory procedures”The International Guidelines on Urban and Territorial Planning, p2Different approaches to urban and territorial planning arebeing promoted and practised worldwide, including citywide strategic planning, master planning, communityplanning, land-use planning, etc. With the 2030Agenda and New Urban Agenda, urban and territorialplanning has emerged as a central instrument in supportof sustainable development. This is also due to the factthat UN-Habitat’s International Guidelines on Urbanand Territorial Planning (IG-UTP) were developed andadopted by UN-Habitat’s Governing Council in 2015,just as the discussions on the Agenda 2030 were gainingmomentum, and well in time for the development andnegotiations of the New Urban Agenda.The preparation of the Guidelines followed a twoyear consultative process which concluded in April2015 with Resolution 25/6 of the Governing Councilof UN-Habitat. In this process, representatives ofnational and local governments, civil society andassociations of planning professionals, convenedin the form of an Expert Group that met on threeoccasions, and agreed on a set of universallyapplicable principles to guide urban and territorialplanning in varying contexts around the world.The IG-UTP emphasize that whatever the approachchosen, successful implementation of plans alwaysrequires strong political will, appropriate partnershipsinvolving all relevant stakeholders and three keyenabling components:5(i) Enforceable and transparent legal frameworks(ii) Sound and flexible urban planning anddesign, and(iii) A financial plan for affordability and costeffectivenessThe Guidelines consist of 12 key principles and 114 actionoriented recommendations. These recommendationsare based on evidence gathered from 26 city-regions,and the lessons learnt have been documented in anaccompanying Compendium of Inspiring Practices.Thus, the guidelines provide a global framework forimproving “p

IG-UTP HandBook In 2015, the UN-Habitat Governing Council approved the International . UN-Habitat United Nations Human Settlements Programme UTP Urban and territorial planning. IG-UTP HANDBOOK 1 . areas, or Sustainable Development Goals (SDGs), which countries have committed to attaining within the next 15 years. When applied to a specific .

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