The Implementation Of The Principles Of Planned Urbanization: A UN .

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable Urbanization4SDG-11 and HabitatIII: Call for SustainableUrbanization5Planned and SustainableUrbanization is by Choice, Notby Chance.The Istanbul Declaration on Human Settlementsrecognizes that:The New Urban Agenda proposed by UNHabitat argues that some ways of maximizingthe transformative outcome of urbanizationare more successful than others. For example,adopting certain sustainable and inclusiveprinciples and approaches may emphasize“better” ways to plan, design, build, engage, andmanage cities and towns that are more effectiveand sustainable over time.cities and towns [are] centres of civilization,generating economic development and social,cultural, spiritual and scientific advancement. Wemust take advantage of the opportunities presentedby our settlements and preserve their diversity topromote solidarity among all our peoples.14The 2030 Agenda for Sustainable Development,adopted in September 2015, recognizes thepower of urbanization to transform the currentmodel of urban development and admits thatthere can be no sustainable development withoutsustainable urban development. In particular,Sustainable Development Goal 11 (SDG-11) setsa target to “make cities and human settlementsinclusive, safe, resilient and sustainable.” 15 Othergoals and targets are also important as they makeclear that the SDGs and other urban agendasmust be underpinned by a fundamentally propoor agenda.In parallel, and as a first step in the implementationof SDG-11 in particular, Habitat III, theUnited Nations International Conference onHousing and Sustainable Urban Development,is an opportunity to define a new urban policyagenda as global trends of urbanization are beingquestioned and challenged. The New UrbanAgenda16 should discuss two key issues. First,that a new way of managing cities is needed, andsecond, that this new approach – understandingplanned urbanization as a source of prosperity– has the potential to be both more inclusiveand extraordinarily productive and effective indelivering positive urban conditions for all, andespecially for the most vulnerable groups.Current planning practices in many rapidlyurbanizing countries are opting for buildingtypologies with small footprints (5-10%),thereby creating the characteristic “tower in thegarden.” In the 1970s and 1980s, academicsand experts, including Jane Jacobs, WilliamWhyte, and Oscar Newman, among manyothers, examined the failure of existing modelsof urbanism and called for a new urbanizationbased on the principles of density, compactness,variety of uses, and social diversity. In parallel,a number of cities and towns, especially indeveloping countries, are repeating masshousing schemes to provide affordable housingthat is built on cheap and peripheral land wherepeople usually have limited access to services,jobs, and opportunities. The result is that, inmany countries, the stock of vacant houses isincreasing even when millions of people havenowhere to live.17 The combination of thesemodels is contributing to social, environmental,and financial costs far beyond what the majorityof cities and towns can afford.The capacity of urbanization to become a toolfor prosperity and wealth creation is not theresult of an abstract or generic vision, but ofpractical action informed by knowledge, data,past experience, and local conditions. Managingurbanization will impact politics, social norms,institutional change, and the broader financialsystem.18 Planned urbanization that is sustainable7

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable Urbanizationand inclusive is, therefore, the result of clearand strategic choices; it does not happen bychance. Planned urbanism creates the necessaryconditions to improve citizens’ lives and increasetheir chances of prosperity,19 although it maynot be enough to solve all the challenges andproblems that contemporary urban societies arefacing. Sustainable urbanization is accomplishedboth at the outcome level – a more equitableand sustainable city – and throughout theprocess – a better way to guide and leveragethe transformation of our cities throughexpansion and redevelopment actions.Itrequires institutional capacity, urban planning,and management tools, as well as the ability toemploy them and enforce their outcomes onexisting and newly-formed cities and humansettlements.Given the differences in context and conditionsbetween cities and towns around the world, wecannot ignore that the successful implementationof plans which deliver sustainable urbandevelopment processes and planned urbanizationoutcomes, particularly to address deeplyrooted structural social, economic, and spatialinequalities, requires strong political will, lawenforcement capacity, and partnerships with allrelevant stakeholders. It is important to recognizethat urbanization is not a politically-neutralprofessional practice, but the expression of aseries of collective social, economic, and politicalchoices. This realization highlights the need forpolitical leadership as such choice is not builton the absence of tensions and disputes amongdifferent interest groups. In this regard, creatingappropriate partnerships that are directed towardsustainable urbanization should be understoodas a process that is participatory and inclusive inits outcomes. Collective choices must recognizeand commit to the needs and demands of thepoorest and most vulnerable citizens within asociety.In this context, UN-Habitat’s approach and itsadvocacy for a New Urban Agenda provides anopportunity to review current urban planningand management practices and to proposethe adoption of fundamental principles andapproaches that promote planned urbanizationthat are, in essence, environmentally sustainable,spatially and socially-inclusive, legally-bound,rights-based, and economically and financiallysound.The United Nations Human SettlementsProgramme (UN-Habitat) is mandated topromote sustainable urbanization and humansettlement development, and to support nationaland local governments in this regard.20 National,regional, and city governments are struggling tocope with demographic pressures and increasingdemands for housing, land and infrastructure,services, and employment, while being pressed toaddress the dynamics of market forces operatingwithin the urban setting. Land, housing, andreal estate markets can generate developmentspeculation, social exclusion, and spatiallysegregated cities if not properly regulatedand managed. The inability to address thesechallenges and manage cities in a way that canguide them towards a planned and sustainableurban future adversely affects the outcomes ofurbanization. In other words, cities can becomea liability and lose the opportunities provided byurbanization, becoming more likely to developinto informal, congested, innefficient, polluted,segregated, and violent places to live.There is little to no room available forgovernmentstomanoeuvrearoundsocial,economic, and market forces in thedevelopment and management of cities. It is,therefore, high time for a paradigm change.The current global situation has triggered UNHabitat to bring forward a strategy for plannedurbanization. It proposes a review of planningtools and approaches, as well as the adoption ofprinciples structured around a Three-ProngedApproach (3PA) that will help cities follow apath of sustainable urbanization that is based ona plan to make serviced land available, a financialstrategy, and a solid regulatory framework. Inpractice, these principles will assist in the8

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable Urbanizationrealization of an urban/spatial plan that addressesdensity, land use, streets and public spaces, anddefines public and private domains throughurban design. They will encourage the creationof a legal plan that enforces what is buildable andnon-buildable land, and the rules for occupation.Finally, the Three-Pronged Approach will guidethe development of a financial plan to moblizeresources for a proposal’s realization. Theultimate goal of this proposed approach is toto achieve sustainable urbanization that will, inturn, provide wealth and prosperity for all urbancitizens.6An Integrated21 Approachfor Sustainable Urbanization:The 3PAThe advantages of sustainable urbanization, asdiscussed above, are generated by proper andadequate conditions of proximity, density, socialcohesion, and accessibility,22 among others. Theeconomies of scale and conglomeration thatare inherent in cities create opportunities forindividuals and businesses alike. However, thoseadvantages are not necessarily present in everyurban area and are not automatically maintainedas cities and towns evolve over time. There are,rather, planning and regulatory activities, designdecisions, engagement practices, strategicallysound public investments, and educationopportunities that are necessary to ensurethe establishment or preservation of idealconditions. Cities and towns, regardless of theirunique characteristics, are discovering that theycannot accomplish sustainable urbanizationsolely by relying upon existing master plans orconventional practices and methods of urbanplanning, management, or governance.23 Today,urban challenges require more than one lensthrough which to deliver urban solutions and toplan and build a city or town’s future.24Integrated approaches aim to combine manylenses and align them so that multiple anddiverse actors (inputs) can move forwardfrom common ground. Integrated planning isnecessary, but is not sufficient for progressingtoward sustainable urbanization.25 Sustainableurbanization does not happen effortlessly;it involves asking new questions, changingbehaviours, and shifting expectations. It alsorequires bringing new partners and materials tothe table where urban visions are being built,plans are being created, and decisions are made,in order to enrich assets, expand resources, andidentify options. Given these conditions, urbanpractices and tools cannot be isolated, but mustwork with each other in a process which entailsrethinking working practices and relationshipsbetween disciplines. Persistence and courageare essential in achieving collaboration betweendifferent practices and in applying sustainabilitytools throughout the process of designing andimplementing urban development. To a largeextent, it is a “learning-by-doing” exercise. 26In order to accomplish these goals, UN-Habitat isproposing a Three-Pronged Approach (3PA). The3PA is an integrated approach to the three maincomponents which are inherent to any urbandevelopment process: rules and regulations,urban design, and a financial plan. Such anapproach may not be sufficient for achievingsustainable urbanization, but it is necessary toimprove and impact the physical conditions inwhich development work is being undertakenin many countries. The 3PA does not attemptto undermine other methods of development,but seeks to encourage an integrated, interdisciplinary approach to problem solvingin which each action and decision is shapedaccording to the physical, social, economic, andecological context of a place.Rules and regulations are understood as theestablishment of a system of rules and regulationsthat provide a solid and predictable long-termlegal framework for urban development. Thisapproach includes rules for land allocation forurban development, defining what is public andprivate domain, norms for occupation, typologies9

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable Urbanizationof buildings affecting urban densities and codes,and regulations for designing and definingstreets, public spaces, residential areas, and soforth. Areas requiring special attention includeaccountability, implementation feasibility, andthe capacity to enforce the legal framework,where applicable.Urban design defines the fundamental layoutsof common urban spaces, which become one ofthe main contributors to the generation of urbanvalue. Equally important is the clarity of the blockand plot network, and the spatial demarcation ofwhat is buildable and non-buildable land thatinfluences the urban configuration for both infilland planned city expansion. Urban design toolsshould strive to facilitate and strengthen socialdiversity, human interaction, connection withthe cultural aspects of a city, and the aspirationsof citizens.A financial plan acknowledges that thesuccessful implementation of urban strategiesCOORDINATIONFigure 1. The 3PA as a coordinated processis dependent on a sound financial basis and theability of public investments to cover operationsand, ultimately, generate economic and financialbenefits for a city. A financial plan encompassesa strategy that draws on the assets of the city,including its land resources and comparativeadvantages, as well as outlining the fiscal toolsrequired for revenue generation.These three components must be consideredsimultaneously, working together in a system ofmutual interaction and interdependence. Thethree approaches are not solely theoretical, but arevital tools focused on practical implementationand to address specific needs. They should,therefore, be balanced in their application toensure positive and achievable urban outcomes.The Three-Pronged Approach should lead toincreased cross-sectoral synergies, deliveryfocused partnerships, and streamlined andeffective procedures. It promotes participationthroughout the process and inclusiveness withrespect to the outcomes.INTEGRATIONFigure 2. The 3PA as an integrated process10

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable UrbanizationFINANCIALPLANLAWS,NORMS,RULES ANDLEGISLATIONTHE URBAN PLANURBAN DESIGNTHE 3PA APPROACH OF UN-HABITATFigure 3: UN-Habitat 3PA to Planned UrbanizationThe Governing Council of UN-Habitat adoptedthe International Guidelines and Principles onUrban and Territorial Planning (IGUTP) andother policy instruments as a universal frameworkthat addresses the planning and design of theurban landscape. The 3PA endeavours tomatch the generic urban solutions and strategiesstemming from this framework with the existingsocio-economic conditions of places, citiesand human settlements, the structure of civilsociety, and political forces active at the locallevel. In doing so, it helps to deliver targeted andappropriate results contextualized to places, whiletaking into account technical and managementcapacity, political strength and commitment,social participation and inclusiveness, andfinancial resources.11

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable UrbanizationLAND MANAGEMENTLAND VALUE CAPTURE / VALUE SHARINGTERRITORIAL PLANNINGSTREETS & PUBLIC SPACELEGAL INSTRUMENTSLAND READJUSTMENTFigure 4: UN-Habitat Three-Pronged ApproachThe three components of the 3PAmust be evidence-based and, therefore,implementation should be based on dataand evidence in order for proposals to beresponsive to concrete problems and sensitiveto specific urban realities. This is in directopposition to a “one size fits all” solution.27Evidence must be derived from analytical,quantitative, and qualitative diagnoses drawnfrom local knowledge and expertise. The useof empirical data and concrete evidence in thedesign of urban solutions represents an attemptto overcome the limitations of abstract andsubjective problem analysis. It seeks to establishrealistic terms for development, while providingopportunities for impacted individuals andcommunities to have a voice in the process. Thisprocess enables well-informed participation thatstrengthens inclusion, improving the quality ofassessment of the options and expected results,while bearing in mind that solutions must reachthe most vulnerable.The City Prosperity Initiative (CPI), which hasbeen developed and applied by UN-Habitat, is atool to support the evidence-based 3PA. The CPIstrengthens the integrated urban managementcharacter of the 3PA by introducing the holisticnotion of urban prosperity. The CPI measuresthe performance of urban policies and helpsto monitor outcomes, while assisting policyand decision-makers identify problem areas12

Working Paper on the Implementation of the Principles of the PlannedUrbanization: A UN-Habitat Approach to Sustainable Urbanizationand shortcomings that require policy attentionand public intervention. The CPI helps definetargets and goals in a well-informed manner byemploying a set of indicators that are intendedto support the formulation of evidence-basedpolicies, including the development of cityvisions and action plans with measurableand objectively-verified results. When fullyintegrated into the Three-Pronged Approach,the CPI becomes a powerful tool to identify andvisualize problem areas, and to support citiesin defining policies and actions for prosperous,inclusive, and sustainable urbanization.The three components of the 3PA must not beconsidered as entry points, but as a holisticmethodology to facilitate well-plannedurbanization and to help cities move towarda sustainable urban future. This integrativeapproach produces not only a vision, but alsoa practical process to address today’s problemsand guide the future of urbanization, both atthe political and practical levels. This processshould be owned and implemented by localstakeholders, with special attention given to themost vulnerable groups. It is an active processthat defines the vision, identifies the resourcesneeded to realize this vision, provides the legaland regulatory frameworks which underpinall actions related to urban spaces, and whichsupports political urban actions, allowing themto take place in a consistent and sustainablemanner.The 3PA is a cross-scale and cross-disciplinary28approach to address the specific needs andchallenges of urban areas. As mentionedabove, this approach provides the main elementsneeded to guarantee coherent and successfulimplementation that generates positive change.The 3PA is an integrative approach that shouldnot be viewed as separate activities organizedin linear steps to prepare and implementa plan under the responsibility of separateinstitutions. On the contrary, the 3PA builds abroader understanding of the institutional andorganizational environments, governance, andmanagement that are needed to design andimplement urban development projects in aneffective way.The 3PA relates to all the thematic areasof UN-Habitat’s strategic plan. It meansthat all functional units responsible for thedifferent work programs must engage in theadoption of this methodology and furtherdevelop and share any knowledge gained.Putting this methodology to work requiresinput from a variety of fields and experts. It isnot only about urban design, urban planning,urban

4 SDG-11 and Habitat III: Call for Sustainable Urbanization 7 5 Planned and Sustainable Urbanization is by Choice, Not by Chance. 7 6 An Integrated Approach for Sustainable Urbanization: The 3PA 9 6.1Rules and Regulations 14 6.2Urban Design 16 6.3Financial Plan 19 6.4How Do These Three Components Interact with Each Other?