99252 Cities Alliance Project Output The Evolution of National Urban Policies: A Global Overview Reshaping the City Agenda: A discussion paper on the evolution and formulation of national urban policies P144713 This project output was created with Cities Alliance grant funding. The Evolution of National Urban Policies A Global Overview The Evolution of National Urban Policies A Global Overview First published in Nairobi in 2014 by UN-Habitat Copyright © United Nations Human Settlements Programme 2014 All rights reserved United Nations Human Settlements Programme (UN-Habitat) P. O. Box 30030, 00100 Nairobi GPO KENYA Tel: 254-020-7623120 (Central Office) www.unhabitat.org HS/005/15E ISBN Number (Series): 978-92-1-133366-4 ISBN Number (Volume): 978-92-1-132640-6 Disclaimer The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers of boundaries. Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, Cities Alliance, the United Nations, or its Member States. Excerpts may be reproduced without authorization, on condition that the source is indicated. Cover photo: Accra, Ghana © Cities Alliance Beijing, China © Flickr/ahenobarbus Girls in Pune, India © Cities Alliance/Susanna Henderson Acknowledgements Coordinators: Remy Sietchiping (UN-Habitat) and Rene Peter Hohmann (Cities Alliance) Task Manager: Themba Phakathi Principal Author: Ivan Turok Contributors and Reviewers: Almut Nagel, Anaclaudia Marinheiro Centeno Rossbach, Dhiraj Ajay Suri, Elkin Velasquez, Jago Dodson, Julian Baskin, Marie-Alexandra Kurth, Nancy Lozano-Gracia, Okju Jeong, Raf Tuts, Robert Buckley, Kamel Bouhmad, Rubbina Karruna, Jane Reid, Serge Allou Editors: Tom Osanjo and Victoria Quinlan Design and Layout: Austin Ogola and Thamara Fortes Assistant: Caroline Murihia Financial Support and Technical Contribution: Cities Alliance The Evolution of National Urban Policies A Global Overview ii | The Evolution of National Urban Policies: A Global Overview Foreword More than half of the world’s population currently A National Urban Policy is a coherent set of decisions live in cities, and a projected 70 per cent will be derived through a deliberate government-led process living in urban areas by 2050. Urban settlements are of coordinating and rallying various actors for a growing and will continue to grow whether this is common vision and goal that will promote more planned or they simply spread. transformative, productive, inclusive and resilient 2 urban development for the long term. As such an Much of the way in which cities progress, stagnate national urban policy is often an interactive process. or become dysfunctional depends on the extent to which their evolvement is planned, coordinated and This publication provides an overview of urban well-managed. These factors, in turn, depend on policies and how they have been developed in the skills, money and political will being available and selected countries from different regions. Specific used in the best possible way to improve the lives of problems and how they have been dealt with are millions of people. The alternative is poor transport illustrated and the promising ways of dealing with networks, insufficient water supplies, public health some specific issues are drawn from the examples. crises and slum settlements, among other things. You will find in the publication selected efforts currently being made around the world to manage Governments in many countries have taken the urbanization. From this review, some important initiative and have developed policies to coordinate principles and lessons emerge that can be applied in and manage the process of urbanization in their many contexts. Being aware of them could mean the respective countries. Because of the different difference between vast amounts of money and time contexts, histories, skills capacity and other features, being lost and having a national urban policy that each country’s urbanization process is different, with paves the way to sustainable, stable and dynamic varying goals and unique challenges. There is no cities. one urbanization policy that fits all scenarios, but there is much to be learned from other countries’ In the context of the elaboration of a New Urban experiences. Agenda as an outcome of the third United Nations Conference on Housing and Sustainable Nevertheless, achieving sustainable urban Urban Development (Habitat III) in 2016, national development requires that stakeholders, through urban policies are key opportunities to establish a a participatory process, foster urban policies that connection between the dynamics of urbanization promote more compact, socially inclusive, better and the overall process of national development for integrated and connected cities that are resilient to the next 20 years. climate change. The Evolution of National Urban Policies: A Global Overview | iii Contents Nairobi, Kenya © UN-Habitat Medellin, Colombia © Cities Alliance Partnership for development in Dhiggaru, Maldive Traffic in downtown Hanoi, Vietnam © Cities Alliance © UN-Habitat/Veronica Wijaya iv | The Evolution of National Urban Policies: A Global Overview Summary...............................................................................................................................................................2 01 Introduction....................................................................................................................................................4 02 Resurgent interest in national urban policies.....................................................................................8 03 The history of national urban policies.................................................................................................14 3.1 An evolutionary policy cycle........................................................................................................................14 3.2 A brief history of urban policy....................................................................................................................17 3.3 Contemporary urban policy.........................................................................................................................25 04 Urban policies in individual countries...................................................................................................30 Asia......................................................................................................................................................................31 South Korea..................................................................................................................................................31 China.............................................................................................................................................................34 India..............................................................................................................................................................37 Latin America......................................................................................................................................................41 Colombia......................................................................................................................................................41 Chile..............................................................................................................................................................43 Mexico..........................................................................................................................................................46 Brazil.............................................................................................................................................................48 Oceania...............................................................................................................................................................52 Australia.......................................................................................................................................................52 Africa...................................................................................................................................................................54 Morocco........................................................................................................................................................54 Ethiopia........................................................................................................................................................56 South Africa..................................................................................................................................................59 Rwanda.........................................................................................................................................................62 Ghana...........................................................................................................................................................63 Nigeria..........................................................................................................................................................66 Uganda.........................................................................................................................................................68 Kenya............................................................................................................................................................70 Malawi..........................................................................................................................................................72 Zambia..........................................................................................................................................................73 Mozambique................................................................................................................................................74 Angola..........................................................................................................................................................75 Mali...............................................................................................................................................................76 05 Keys for a new generation of NUPs........................................................................................................78 References..........................................................................................................................................................82 The Evolution of National Urban Policies: A Global Overview |v Public toilet in a public space in Mumbai, India © Thamara Fortes vi | The Evolution of National Urban Policies: A Global Overview Baguio, Phillipines © Flickr/julsnewton Street in Ica, Peru © Helene Fourniere Market in Jacmel, Haiti © Helene Fourniere The Evolution of National Urban Policies: A Global Overview |1 Summary Nairobi, Kenya © UN-Habitat Kuala Lumpur, Malaysia © Flickr/Trey Ratcliff The purpose of this publication is to review the 2. Implementation requires a sustained technical experience of national urban policies (NUPs) in process to develop the legal foundations, selected countries around the world in order to draw capable institutions and financial broad lessons that would inform other countries instruments to design and build more interested in formulating or implementing their own productive, liveable and resilient cities policies. The urban challenges and opportunities are and towns. In developing these capabilities, very contextually different, so the responses need to the public sector needs to work closely with vary accordingly. It matters a great deal whether a local communities, private investors and other country is urbanizing slowly or rapidly, in response to interests. Successful cities cannot be built by push or pull factors, with few or many resources to governments alone. invest in urban infrastructure and services, and with 3. Effective delivery requires active collaboration strong or weak institutional capabilities. There is no between spheres of government along with single model of NUP with a standard outcome and a the devolution of appropriate responsibilities and universal approach that can be replicated in different resources to enable city authorities to respond places. Nevertheless, there are important principles to conditions on the ground and get things that can be followed. done, with support from the centre and in collaboration with other stakeholders. The active The high-level lessons emerging are as follows: participation of cities is necessary to achieve 1. Governments need to be more sensitive to many national policy goals. the threats and opportunities posed by rapid 4. An important objective is to manage the urban growth. These cannot be addressed peripheral expansion of cities in the interests of by compartmentalized policy-making. Active more compact and inclusive urban growth, support needs to be mobilized across the with shorter commutes and less damage to different spheres of government to ensure a surrounding agricultural land, fresh water coordinated approach to planning and sources and other ecosystems. managing cities and towns. The argument that well-functioning urban areas can help to unleash the development potential of nations is more persuasive than the argument that urban policy is about alleviating poverty and meeting basic needs. 2 | The Evolution of National Urban Policies: A Global Overview 5. Urban consolidation requires pro-active efforts 7. Urban policy requires a broader territorial to increase the quantity and quality of land perspective on metropolitan regions, and property developed within the urban including stronger connectivity between core and along transport corridors, more cities, towns and rural areas, to promote their intensive use of well-located vacant land, and distinctive strengths and to encourage mutually upgraded urban infrastructure. It tends to go beneficial interactions between them in the hand-in-hand with more mixed-use development interests of national prosperity and inclusive and less segregation of land-uses. growth. 6. It is less socially disruptive and more cost- effective to plan for urbanization by Keywords: national urban policies; long-term preparing the land and infrastructure in developmental agenda; preparing for urbanization; advance, rather than trying to repair, redevelop organizational capacity building; institutional or relocate informal settlements once they are coordination; infrastructure and services; efficient established. Wherever possible, existing informal land management; effective city strategies, socially settlements should be formally recognised and inclusive, coordination. upgraded. New York, USA © Flickr/Jess Garrison The Evolution of National Urban Policies: A Global Overview |3 A section of Port-Au-Prince, Haiti © UN-Habitat/Julius Mwelu 1 Introduction The spatial concentration and growth of the global population in poor and middle-income countries during the twenty-first century presents important opportunities as well as major challenges. Large-scale urbanization has the potential to generate substantial benefits for economic development, social progress and efficient use of natural resources. However, burgeoning cities with high population densities also expose countries to heightened risks of social dislocation and environmental degradation. Either way, there is little doubt that the form and character of urban growth over the next few decades will have a major bearing on the well-being and life chances of several billion people. It will also influence global migration flows and international stability, and will affect the resilience of the world’s ecosystems in the context of climate change and increasing resource scarcity. The objective of this publication is to review the efforts of selected national governments around the world to plan and manage urbanization in a way that is more sustainable, productive and inclusive than in the past. A new generation of national urban policies (NUPs) is emerging that is more aware of the gravity of the issues at stake, more ambitious in 4 | The Evolution of National Urban Policies: A Global Overview scope, and more integrated in approach than earlier governments have, and what they actually do, urban policies. The specific purpose of this review within their towns, cities and metropolitan regions to is to inform the ongoing activities of UN-Habitat make them function better – economically, socially and other international development partners to and ecologically. This will help them accommodate support mainly lower-income countries experiencing future growth more efficiently and equitably so that rapid urbanization to formulate, implement and the welfare of citizens is improved and they are less review their own NUPs. Put simply, there are two vulnerable to hazards. NUP may cover a range of kinds of tasks involved: mobilizing the political and different policy measures and instruments that work institutional support for a concerted effort to shape best in combination, including plans, programmes, the trajectory of urban growth, and developing projects, regulations, organizational arrangements the technical capabilities, legal frameworks and and financial tools. These measures may accumulate financial instruments to implement this commitment and be refined over time. The sensitivities consistently. This process is likely to benefit if it is surrounding spatially selective policies of this kind seen as cumulative and sustained across political mean that they sometimes have a low profile or are cycles, i.e. if it has a long-term perspective. implicit. They may also be counteracted by other territorial policies or by sectoral policies, such as A national urban policy (NUP) should aim at defining the provision of spatially blind housing subsidies a vision, guiding principles and set of linked actions or the construction of freeways, which can distort by national governments to realize the positive urban trajectories by encouraging extensive forms of possibilities and to tackle the problems arising from urban growth. Having explicit objectives, targets and the concentrated growth of population and economic instruments for urban development can help to give activity. An NUP covers the overall intentions that cities and towns the focused attention they need to tackle their complex challenges. Dhaka, Bangladesh © Cities Alliance/William Cobbett The Evolution of National Urban Policies: A Global Overview |5 Urban policy has a long and chequered history in The publication is based on a desk-top study and some of the countries discussed in the publication. review of existing literature and other material on This includes periods of negativity, control and NUPs in 20 countries around the world, selected on coercion when the intention was to disperse people the basis that their experience is of wider relevance and activities away from the main cities, or to clear in some respect. Some countries have particularly poor communities from older residential districts to bold or innovative NUPs, or have overcome particular make way for commercial redevelopment under the hurdles to introduce an NUP. The focus is on low- and guise of “slum improvement”. One cannot assume middle-income countries in the South, rather than that urban policies mean the same thing in different in Europe and North America. Different sources of contexts simply because they are called urban evidence were validated by cross-checking wherever policies. There is also no single model or approach possible. Interviews conducted with participants from guaranteed to produce a desirable outcome that a wide range of countries attending two international can be replicated in different situations. Attempts workshops on urban policy in Madrid (Spain) and to introduce an NUP need to be responsive to the Medellín (Colombia) in March and April 2014 proved national context and sensitive to the political culture particularly useful in this respect. The workshop and appetite for such a policy. This makes it vital to participants included government ministers, senior understand the distinctive history and evolution of officials, academics, consultants and staff from urban policy in each place, including the role of other international organizations such as UN-Habitat, territorial, rural and regional policies. the World Bank, the Organization for Economic Cooperation and Development, and Cities Alliance. Some of them helped to arrange follow-up interviews with other key informants in their countries to gain further understanding. Reconstruction of a house in Bagh, Pakistan © UN-Habitat 6 | The Evolution of National Urban Policies: A Global Overview The gathering of relevant documentary evidence was to delivery. The symbolic function of these policies not a straightforward exercise for several reasons. can only be understood through interviews with There is a striking lack of objective historical accounts key informants. In one case, the latest version of of the evolution of NUPs in most countries. There is Nigeria’s urban policy states frankly that: “Despite a particular dearth of independent analyses of why the fact that Nigeria adopted a robust National such policies have changed and what impact they Urban Development Policy in 1992, there has been have had. Other problems surround the identification generally little achievement to show in terms of of relevant material. Foreign language barriers implementation” (Federal Republic of Nigeria, 2012, can make it difficult to identify an urban policy, p.4). especially if it has a strong sectoral emphasis and is officially defined as, say, a human settlements The structure of this publication is as follows: the policy. For example, Morocco has had an impressive next section outlines why there has been a revival programme to tackle slum housing for more than of interest in urban policy. Section three considers a decade, but there is limited information on it in the long history of government efforts to plan and English. Some governments do not give their urban manage cities, including the different approaches policies much prominence, perhaps because of their that have emerged. The fourth section reviews the sensitivity. For instance, it is hard to find anything experience of different countries to identify the about Ghana’s urban policy on the internet, despite diversity of contemporary practice. The discussion its formal approval in 2012. Perhaps most important, tends to focus on what is distinctive about each some NUPs appear to be significant on paper, but country. The conclusion distils broad lessons for the the reality is different, with limited follow-through design and implementation of NUPs. Diepsloot secondary city, South Africa © Cities Alliance/William Cobbett The Evolution of National Urban Policies: A Global Overview |7 Hong Kong affordable housing © Flickr/Design for Health 2 Resurgent There are several reasons why governments have become more interested in urban policy in recent years. The pressures and problems caused by large- interest in scale urbanization are probably the most important in many countries (UN-Habitat, 2010, 2012, 2014). national urban The growth of populations in cities is the result of two separate demographic processes: rural-urban policies migration and natural growth (births minus deaths). Their relative importance varies greatly between cities and nations. In China and several other Asian countries, migration outweighs natural change following the decline in population fertility in recent decades. In many African countries, the opposite is the case and natural change outweighs migration (UN DESA, 2012). The physical and statistical growth of cities also occurs through the incorporation of peri-urban settlements as the built-up area of the city expands and administrative boundaries are enlarged. Rapid population growth presents all kinds of challenges, especially when it exceeds the fiscal capacity of the government to fund additional public infrastructure (which is very costly) and it exceeds the absorptive capacity of the labour economy to provide jobs for the expanding workforce (Collier, 2007; Martine et al, 2008; Annez et al, 2011; Glenn 8 | The Evolution of National Urban Policies: A Global Overview et al, 2012; UN-Habitat, 2013; Buckley and Kallergis, and other natural systems. Sprawling low-income 2014). One of the consequences is the emergence housing estates built on cheap peripheral land of dysfunctional forms of urban development, which are difficult to convert into rounded settlements become “locked-in” and complicated to rectify with amenities and access to jobs because of their or reverse. For example, overcrowded informal marginal locations (UN-Habitat, 2010, 2013). settlements are often difficult to upgrade and Pressure to build housing on well-located land can reorganize into a more efficient spatial arrangement make it difficult for industry and other economic because of the complex social structures in such activity to find space in which to operate. Severe communities and the awkward negotiations required traffic congestion on major urban arteries adds to to move selected dwellings in order to install business costs and is very costly to tackle through underground infrastructure and access roads, let underground tunnels or subway systems. Therefore, alone to agree upon more widespread reconstruction. ignoring the spatial pattern of growth can undermine Unauthorized building in environmentally sensitive, the viability of human settlements because the high risk areas, such as steep hillsides and floodplains, cumulative effect of uncoordinated business and can pose many major hazards to the people living household location decisions is bottlenecks in there, yet people may still resist relocation to new public infrastructure, gridlock on road networks, neighbourhoods, especially if these are more isolated energy and water shortages, and increased risks from economic opportunities. of environmental damage from pollution. In short, serious negative externalities can arise from the self- Haphazard and unregulated urban development can interested decisions of individual investors, firms and damage sources of food supply, water catchments households. Road traffic in Hyderabad, India © Flickr/Nicolas Mirguet The Evolution of National Urban Policies: A Global Overview |9 Rapid urbanization can also have profound stronger collaboration and learning between consequences in form of human misery and distress firms and other economic agents (Jacobs, 1984; (Collier, 2007; Beall et al, 2010). The growth of Glaeser, 2011). The concentration of people, firms, dense concentrations of poor households living in infrastructure and institutions in one place means squalid conditions without basic facilities increases that resources of all kinds are used more efficiently vulnerability to the spread of infectious diseases, and creatively, thereby saving costs and promoting outbreaks of fire, flood damage and other hazards. innovation. This also boosts the competitiveness of Intense competition for scarce resources and the local and national economy (Buck et al, 2005; livelihoods in divided communities can foster a Glaeser and Joshi-Ghani, 2013). rising tide of frustration and conflict (Beall and Goodfellow, 2014). Social disaffection and political These “agglomeration economies” can be unrest are obvious problems in themselves, but summarized in three broad functions: matching, they also undermine the prospects for attracting sharing, and learning (Duranton and Puga, 2004; investment and threaten the welfare of society as Storper, 2010). First, cities enable firms to match a whole, particularly in parts of Africa (Buckley and their distinctive requirements for labour, premises Kallergis, 2014). A vicious cycle can emerge, whereby and suppliers better than smaller towns because population growth overloads the public infrastructure markets are larger and there is more choice available. and puts increasing strain on the social fabric, which Second, cities give firms access to a better range fuels popular unrest and crime, and deters productive of shared services because of the larger scale activity and jobs. This encourages informal forms of of activity, which generates scale economies for provision, which can undermine social protection infrastructure providers. There are better external and the quality of services, thereby reinforcing and connections to national and global customers and multiplying the original problem. An important suppliers through transport links to more destinations objective of NUP in these contexts is to disrupt the and more efficient logistics systems. Third, firms downward spiral by intervening to mitigate the benefit from the superior flows of information and adverse spillovers of urbanization. ideas in cities, which promote more creativity and innovation, and result in more valuable products and There is also a positive, developmental argument for processes. Proximity enables people and firms to NUP which is attracting increasing attention from compare, compete and collaborate, which can create governments (Cochrane, 2007; Turok and Parnell, a self-reinforcing dynamic that spurs growth from 2009; World Bank, 2009; UN-Habitat, 2012; Jha et within and enables adaptation to changing market al, 2013; Turok, 2013). This relates to the potential conditions and technologies. Positive feedback loops gains for productivity, job creation and higher living mean that the benefits go beyond one-off efficiency standards from the geographical concentration gains and can be cumulative in attracting more of population and economic activity. There is mobile capital and talent, and promoting continuous growing recognition that urban environments foster upgrading and technical progress. entrepreneurial dynamism and ingenuity, reduce transaction and transport costs, facilitate more intense trading between enterprises, and engender 10 | The Evolution of National Urban Policies: A Global Overview These advantages are not automatic or inevitable Harnessing the forces of agglomeration also depends (Turok and McGranahan, 2013; Buckley and Kallergis, on the “quality” or dynamics of urbanization, i.e. 2014). In practice, they may be undermined by rising the way in which businesses and people find their congestion, insecure infrastructure networks and place within cities (Turok and McGranahan, 2013). higher labour and property costs. These reduce the This means the position new arrivals occupy in urban attraction and retention of business investment and labour markets, housing systems, and education weaken local and national economic performance. and training systems. For firms it means the niche Much depends on the physical environment in product markets, supply chains and business premises which urban growth occurs and the investment they occupy when they are start-ups or relocate made by the public sector to improve the way cities to an urban economy. Flexibility to move on when function (UN-Habitat, 2012, 2013). It is particularly household or business requirements change is also important that infrastructure and services keep important. Cities which are good at accommodating pace with population and economic growth, that and absorbing new arrivals are likely to be more the location of housing and jobs is broadly aligned, productive, because people and firms that find and that proximity and density are promoted to fulfilling sites to occupy and rewarding roles to enhance productivity and growth. Explicit spatial perform will tend to be more energetic, enterprising plans and regulations can create a more predictable and inclined to invest. If they are consistently environment for private investors and help to prevent shunned and excluded from urban opportunities, the careless and haphazard development that generates outcome is likely to be frustration, anger and anti- negative externalities and higher costs. In the case social behaviour. This illustrates how urban equity of predominantly informal economies, there is also and inclusion can reinforce efficiency and growth. much to be gained from sensitive urban design and encouraging enterprises to organize themselves so that they can become more productive and successful over time. LRT system in Tenerife, Spain © Wikipedia/Axe The Evolution of National Urban Policies: A Global Overview | 11 The implication for policy is that it is important for National governments have an important role to play governments to create and maintain an enabling in rallying support for urban growth and securing environment for growth to occur, with supportive the resources to enable the process to become more infrastructure and competent institutions (Turok, efficient and equitable (Turok and Parnell, 2009; 2013; UN-Habitat, 2012, 2013; Buckley and Kallergis, UN-Habitat, 2012; Parnell and Simon, 2014). Part 2014). It means identifying and protecting different of the function of an NUP is to establish a shared types of serviced land and property for productive vision, set of principles and enduring commitment activities within cities, and encouraging more to build more integrated and inclusive cities. This intensive use of the land over time. It also means is needed to overcome the inertia, vested interests giving people real choices about where to live and the and silo-based decisions that perpetuate the status conditions in which to live, including assisting rural quo and obstruct compact urban development dwellers who want to access urban opportunities and transformation. It means trying to engage key to find affordable shelter. In circumstances of government departments, infrastructure providers, burgeoning populations, it will always be difficult to major property developers, financial institutions and manage the conflicting requirements for scarce urban other national stakeholders in a collective effort land from different sectors and groups. This makes that will be sustained over time and across political it particularly important to have fair and transparent cycles. Housing, transport, basic infrastructure and systems of planning and regulation in place to avoid other sectoral policies need to be adapted to local arbitrary decisions, to simplify land transactions, circumstances and coordinated more effectively to redevelopment and intensification, and to ensure that ensure consistency. a proper balance is struck between economic, social and environmental considerations, based on local knowledge and judgement of what is appropriate. Residents of Harar town in Ethiopia line up for water. © UN-Habitat 12 | The Evolution of National Urban Policies: A Global Overview National governments also need to create the legal To sum up, cities are too important to be left to their framework for urban land to be allocated and traded own devices, especially where city governments are efficiently, and for taxes to be paid by property weak, fragmented and poorly resourced. Cities need owners to fund viable municipal services (Napier et the support of national governments, just as they al, 2014). Governments need to create additional have a great deal to contribute to national economic financial instruments to support investment in vitality, social dynamism and sustainable ecosystems. new and upgraded water and sanitation systems, Some principles of NUP already emerging from this transport networks and other urban assets discussion include: (UN-Habitat, 2012, 2013). Governments also have a role to play in strengthening the technical capabilities Visible support for cities and towns as the locus of of city authorities to plan and manage the process urbanization pressures; of urban growth better (Smit and Pieterse, 2014). Cross-cutting policies that take each city or town Within the cities, different plans and budgets need seriously; to be aligned to ensure that priorities are consistent A forward-looking developmental agenda; and that plans are actually implemented. Without an Stronger city-level institutions to plan and manage organised and competent public sector there is little urban growth, and prospect of guiding private investment decisions in Robust legal and financial instruments to help order to achieve a more efficient spatial arrangement implement policies effectively. with higher density development in suitable locations, intensive renewal and retro-fitting of old established areas, and greater internal and external connectivity to other cities and towns (UN-Habitat, 2013). Public housing in Singapore © Flickr/Dickson Phua The Evolution of National Urban Policies: A Global Overview | 13 Open sewer in informal settlement in Dar es Salaam, Tanzania 3 © Ivan Turok 3.1: An evolutionary policy cycle The history of Looking back over the long history of urban policy during the last century or so, it is possible to detect a national urban simple cycle characterizing the alternating attitudes of many national governments towards their major policies cities. It stems in part from the relative size of the two entities, as well as the fact that most nation states are political units, whereas city-regions correspond more closely to natural economic entities. Figure 1 seeks to capture the broad shifts in thinking that can occur over lengthy periods of time. It is obviously a gross generalization of how policy can evolve across very different contexts and timescales as cities grow or decline1 (vertical scale) and attitudes become more positive or negative (horizontal scale). The timescale and strength of attitudes differ in detail between each country depending on their specific circumstances, but the broad pattern outlined here illustrates some of the dynamics at work. In essence, there appears to be a kind of “love-hate” relationship that alters over time as governments recognize the disproportionate contribution and status of their large cities, offset by the threat they pose to national identity, resources and power structures. Positive 1 Decline may be relative rather than absolute, and affect economic variables more than demographic. The population of many cities in the South may continue to grow despite anti-urban policies because of natural change (births exceeding deaths) as much as rural-urban migration. 14 | The Evolution of National Urban Policies: A Global Overview Figure 1: The evolutionary cycle of national urban policy and more in tune with emerging problems. National support for local initiative and experimentation may release a great deal of creative energy and Size, politics, congestion – growth control, rising prices, Decay and decline, ingenuity at the city level because of the real-world dispersal, neglect pessimism, palliatives challenges to contend with. Cities appear to be the places where things can be accomplished because the political imperatives to act appear to be greater and there is increasing power to make a difference. There may also be less interference from competing national bureaucracies with their highly developed Growth pressure - Falling prices, reinvestment, administrative procedures, which can slow down basic infrastructure nascent renewal and regeneration decision-making and obstruct innovation. As cities get bigger they are often perceived to recognition tends to result in tangible support, be more of a threat to national governments whereas political apprehension may mean ambivalent (top left of Figure 1). Their economic and political policies and attempts to control local autonomy. significance increases and civic leaders become bolder and more demanding. Local property prices Early on, as cities grow and develop, they tend tend to rise disproportionately because of the to make bigger demands on the public purse for benefits that households and firms obtain from a infrastructure funding and programmes to manage thriving metropolitan location. Growing congestion, the social challenges associated with concentrated shortages of building materials and labour, and populations. During this first phase (bottom left of pressure on land and infrastructure networks add figure 1) governments tend to respond positively to to the direct and indirect costs for governments. As the obvious dynamism and growth in output and these cities expand and become more crowded, the jobs apparent in these locations. Additional resources cost of living increases, and social tensions and crime are allocated to alleviate the emerging bottlenecks rates often rise, which can be another set of factors in water, sewage and energy systems, to reduce provoking a shift in attitude. Civil society becomes the pressure on road networks and refuse disposal, more diverse and fractured, social movements get and to tackle environmental health problems. The better organized and conflicts of interest within the national approach is essentially reactive because city become more apparent, sometimes resulting in there is little established knowledge or experience violence. Governments become more sceptical of of how to shape spatial development patterns in a the benefits of burgeoning metropolitan regions and more pro-active, forward-looking way. Nevertheless, start looking for ways to control their growth and the investment tends to be economically efficient divert investment elsewhere. They may introduce because it is addressing obvious growth constraints. physical restrictions on the amount of additional National governments are also inclined to land earmarked for development and deliberately strengthen the responsibilities and resources of local withhold investment in additional infrastructure governments because they are closer to the ground capacity in order to discourage people from The Evolution of National Urban Policies: A Global Overview | 15 moving to these cities and to deter businesses from employment may be offset by a rise in informal expanding within them. Governments’ doubts about activity and more precarious jobs and livelihoods. big cities may coincide with growing criticisms of an The quality of the environment may begin to decay “urban bias” from rural interests, who perceive cities and the infrastructure to degrade through lack of to be getting preferential treatment and excessive maintenance and renewal. More and more potholes investment. may appear in the roads and electricity blackouts may become more frequent. Informal service provision The coincidence of rising prices, escalating may come to replace traditional public services. infrastructure costs and government indifference can begin to discourage further investment and induce A mood of pessimism may descend in some parts firms to start dispersing towards other cities and of society and encourage short-term decision- towns (top right of Figure 1). A turning point may making and “fire-fighting” in the public and private be reached when local conditions generally start to sectors. A range of palliatives may be introduced deteriorate and an overall process of decline sets by government to alleviate rising unemployment in. This may be most apparent in the industrial base and poverty, and to stem social discontent and of cities, given the mobility of manufacturing and unrest. Efforts to consult local communities may be its sensitivity to local operating conditions. It will stepped up in order to understand their concerns not necessarily translate into absolute demographic and to involve civil society organizations in devising decline, or to a fall in land and property prices, if the solutions, recognizing the limits of the government national population is growing, as in many African going it alone. Civic leaders may be replaced and Asian cities. Nevertheless, incomes may stagnate and local governments restructured because it is from the economic slowdown and unemployment expedient to hold them responsible for the malaise increase relative to other areas. The decline in formal and looming crisis. Women enterprise project in Ushafa Clinton village Abuja, Nigeria © UN-Habitat/Julius Mwelu 16 | The Evolution of National Urban Policies: A Global Overview In due course, a process of renewal and regeneration 3.2 A brief history of urban policy may begin (bottom right of Figure 1). Land and Some examples are provided in the following section property prices may fall to such an extent that of countries that have followed this cycle. Before sizeable assets are written-off, development becomes that, there is a brief outline of the history of urban profitable again and businesses that depend on low policy. Some of the basic principles for designing and costs and narrow margins may move back to the city. regulating the use of space can be traced back to Private sector reinvestment may also be stimulated towns and cities in the ancient and medieval world by government incentives and promotional initiatives which were consciously organized and managed, designed to compensate for and reverse the negative rather than allowed to grow in an unstructured, image of the city. The national government may organic fashion. Water and fuel were supplied from realize the damage to the national economy from elsewhere, and there were formal ground plans under-performing metropolitan areas and that it is and geometric street layouts for mobile armies to counter-productive to deter industries that would be deployed or for functional or aesthetic reasons. be better off located in the big cities. The social risks For example, early Greek, Roman and Egyptian of mass unemployment, dilapidated infrastructure civilizations laid out many of their towns and cities and under-investment in public services may also across Europe and the Middle East according to fixed become apparent. By creating public-private plans with a regular structure to enable circulation partnership arrangements they may draw investors and centrally-located public spaces to glorify rulers. into decision-making, benefit from their insights, Rivers flowed through many of these cities, providing and restore confidence in the future. The promise water, transport and sewage disposal. Other of private sector financing may in turn encourage examples of deliberate street planning existed in cities higher levels of public investment, based on the during the Indus Valley civilization (in north-west leverage principle. Streamlining red tape and relaxing India and Pakistan) where there was a grid pattern excessive environmental regulations and building and a hierarchy of streets from major boulevards to controls may also prompt forms of (re)development residential alleys. There were also wells and drainage that would otherwise be infeasible. Other forms of systems for sanitary and ritual purposes. Many old urban innovation may be spurred by the development civilizations in Central America, such as the Aztecs, and application of new technologies in realms as also planned their cities with sewage systems and diverse as transport, buildings and public service running water. Early Chinese cities included rectilinear delivery. Bold leadership may reconfigure the urban street systems, specialized functional quarters in infrastructure and redesign whole neighbourhoods different districts, commanding central sites for and business precincts in order to transform the city’s palaces and civic buildings, and advanced systems of prospects. This may lay the basis for a new surge of fortification. investment and growth. The Evolution of National Urban Policies: A Global Overview | 17 The origins of contemporary urban policy are more essential services were available on site. In the United directly linked to the rapid growth of European cities Kingdom, for example, the late nineteenth century during the nineteenth and early twentieth centuries. was a period of considerable ambition and innovation These soon became the largest human settlements in the delivery of public services and amenities as in the world and therefore posed unprecedented powerful city leaders emerged to tackle the disorder challenges of physical coordination and social of the industrial city and the persistent threat of organization (Chandler and Fox, 1974; Hall and social unrest (Briggs, 1968; Hall, 1998; Hunt, 2004). Tewdwr-Jones, 2011; Collier and Venables, 2014). The problems caused by rapid industrialization and Urbanization was closely linked with industrialization urbanization induced technological advances in civil during this period, so there was strong demand engineering and the design of the built environment for labour which attracted people from the poorer – aqueducts to bring water from the countryside, countryside. The spatial form of cities was shaped water-borne sewerage systems, and minimum by the dominant mode of transportation at the building standards to reduce densities and allow for time. Most people walked to work, so towns and air and light inside people’s homes. In retrospect, cities had to be compact and residential densities there was an economic as well as a social rationale. had to be high to ensure accessibility. Households Rising life expectancy, higher workforce productivity lived close together and occupied confined living and greater economic prosperity were the outcomes spaces because this was all they could afford. Severe of what was, on the whole, a virtuous circle linking overcrowding coincided with air pollution and a urbanization with improved living conditions and lack of arrangements to provide clean water or to all-round development. remove refuse and sewage. This created insanitary living conditions conducive to the spread of disease Another powerful influence on urban policy has throughout the community. Water sources such as been land-use planning (Hall, 1988; Hall and wells were polluted by sewage, and waste remained Tewdwr-Jones, 2011). The origins of planning lie close to homes. Consequently, infant mortality rates partly in a broad movement for urban reform that were extremely high, life expectancy was low and arose as a reaction against the hardship and squalid periodic cholera epidemics had devastating effects on living environments of the working poor during the population. the nineteenth century, along with the chaotic character of rapid urban growth. An important idea Over a period of decades, government legislation was to separate incompatible activities to protect gradually resulted in the setting up of local residents from adjacent noxious uses and to make municipalities with responsibilities to provide clean the structural arrangement of the city more efficient. water, drainage, refuse collection and sanitation There was a social as well as a physical dimension systems to improve public health and welfare. This to the new thinking, influenced by a vision of infrastructure was very costly, so municipalities had harmonious communities living orderly lives that to develop systems of tax collection (property rates) harked back to a traditional rural lifestyle (Hall, 1988). to generate revenues. Some were also responsible Planning was also a response to a tendency for cities for improving the standards of construction of to start spreading rapidly outwards from around new buildings to reduce overcrowding and ensure 1870, linked with the introduction of cheap and 18 | The Evolution of National Urban Policies: A Global Overview efficient public transport systems – horse trams and Local government was given potent legal instruments buses, then electric trams, motor buses and (in the to regulate the character of development within their biggest cities) commuter trains and subways. This had areas in order to transform the urban environment, a profound effect on suburban expansion, reinforced to protect open green space and to facilitate the by rising household incomes for white-collar workers free flow of traffic. One of the most important who could borrow money to buy their own houses. tools was land-use zoning to control the rights of property owners to develop their land. Some of The introduction of formal urban planning systems these zoning schemes provoked disputes by requiring in Britain, Germany, Sweden and several other large single houses on large plots, thereby limiting European countries during the first few decades of the building of affordable homes for low-income the twentieth century provided tools to shape the households. The state assumed a directive role in urban form and character of property development prescribing the future layout of urban areas, based that had not existed before. Under the influence of on a clear physical objective or desired end-state pioneers such as Ebenezer Howard, Patrick Geddes, of what should be achieved. This was summed up Le Corbusier, Sigfried Giedion and the international as the “public good”, even though affluent groups Bauhaus design school, the ideas of land-use zoning, usually benefited more than the poor through town expansion schemes, garden cities and master higher property values. Urban planning was a linear, planning became highly influential and subsequently technical activity in which the spatial vision or spread throughout the world. Their visions included physical design of the planner was most important prescribing density levels by limiting the height (the “master plan”), and there was little scope to and breadth of buildings, separating land uses question the underlying values at stake (Hall, 1988). (particularly housing, industry and retail activities), prescribing patterns of traffic circulation and insisting on orderly urban growth (Hall, 1988, 1998). Philadelphia, USA © Flickr/Maciek Lulko The Evolution of National Urban Policies: A Global Overview | 19 This contrasts with contemporary ideas of planning North American cities were also growing rapidly as more of a continuous, iterative process relevant at this time, linked with industrialization and to places that are complex, inter-dependent and immigration. Philadelphia’s rigid grid plan was fast changing. Planning allows for uncertainty, particularly influential in urban thinking on that unpredictable outcomes and learning from continent since it was the simplest way of dividing experience through monitoring and feedback. There up a surveyed territory and establishing the physical are multiple objectives beyond physical aspects to footprint of a new city, with clear routes for all include social, economic and environmental goals, the infrastructure networks. It also helped land and alternative ways of achieving them requiring markets to develop by establishing standard-sized political choices to be made based on explicit plots that could be bought and sold easily, and for values. Diverse interests need to be accommodated predictable prices. The tradition of freestanding beyond the objectives of professional planners and single-family houses in low density neighbourhoods powerful interests. Planners may provide enabling also came from the United States, and was linked frameworks and guidelines to help steer investment with rising car ownership. Other styles of housing decisions, rather than rigid blueprints. Their neutrality were more popular elsewhere. Attached houses and legitimacy cannot be taken for granted in the (terraces and semi-detached) were more common decision-making process, which therefore needs to in Europe; courtyard-style dwellings dominated the be more transparent and inclusive of other actors and Mediterranean region; and compounds of small interests. houses fenced off from the street formed many African and Asian settlements. It is noteworthy that urban planning was originally a physical response to public health concerns, Within a few decades of the turn of the twentieth overcrowding and congestion, which chimes with century, urban planning became an unambiguous some of the contemporary imperatives of urban instrument of political power and social coercion in policy in developing countries. Governments believed several European countries. The redevelopment of that improvements in the spatial organization and large parts of Berlin, Rome, Madrid and Moscow form of urban areas would reduce human suffering under various dictatorial regimes involved substantial and help people to live longer and happier lives. demolition, evictions and physical restructuring by There was an assumption that a comprehensive the state. Citizens had no rights to consultation or urban planning and orderly physical design would compensation, and their consent was not required change human behaviour and promote social when the state imposed a simpler, more orderly and progress, a form of environmental determinism which efficient spatial pattern on older urban districts. is now treated with scepticism. Planning was also concerned with efficiency (good connectivity and The origins of this muscular style of urban planning functionally specialized districts), aesthetics (a neat can be traced to Baron Haussmann’s radical and ordered built form) and modernization (slum redevelopment of Paris in the 1860s and 1870s. By removal, vertical buildings and open space) (Watson, demolishing old tenement structures and replacing 2009). them with new apartment houses for a wealthier clientele, he displaced poor communities from central 20 | The Evolution of National Urban Policies: A Global Overview areas and introduced straight arterial boulevards, The heyday of urban spatial planning was during long vistas, symmetrical squares and radiating roads. the decades after the Second World War, when it This enabled goods to be transported efficiently, was used as an instrument of growth control, urban military troops to be mobilized quickly, and created management and balanced regional development more space for commercial activity and new lifestyles (Hall, 1988; Hall and Tewdwr-Jones, 2011). In (Harvey, 2008). The resulting urban form was widely countries such as the United Kingdom and the United emulated across the continent and the heavy-handed States, the war effort demonstrated the value of methods influenced re-development programmes government coordination and direction of resources, in Europe and the United States for more than a and a sense of idealism and common purpose infused century. Under different circumstances of the Second 2 post-war reconstruction, during which economic World War, large-scale bombing of many European and physical planning powers were strengthened. cities required extensive reconstruction and rebuilding Green belts were introduced to limit the haphazard afterwards, with urban planning again performing physical expansion of the main cities and to foster an important directive role. Modernist planning ideas self-containment in terms of workplaces, residential were very influential, with an emphasis on high-rise areas and commuting patterns. Growth poles in structures separated by green spaces. This reflected the form of new towns with modern infrastructure the need for large-scale, inexpensive schemes and were created to reduce densities in the inner cities, the desire to use new materials and technologies to capture overspill within planned developments, that could be replicated easily. The United States and to stimulate investment in lagging regions in the Federal Government subsidized the clearance of land north of the country. The idea was to steer private in central cities and construction of monotonous investment and growing enterprises through a publicly-owned housing projects for low-income combination of state controls, new infrastructure and groups. Public officials were generally isolated from generous financial incentives. Substantial government public opinion and insensitive to the damage done investment in working class housing provided to the social fabric of cities by wholesale demolition another tool for shaping urban development patterns and reconstruction (Jacobs, 1961). Notions of directly rather than relying on the regulation of cooperation, partnership and participation were not private developers. Far less consideration was given part of the planning lexicon during this era. Urban to the possibility of consolidating, intensifying and planning was often a rather brutal activity seeking to densifying development in the urban core, or to impose an inhuman orderliness and undifferentiated renewing, rehabilitating and upgrading the built physical form on places that were interesting and environment of older urban areas. Such places dynamic (Jacobs, 1961). were perceived to be congested, overcrowded and unpleasant, supposedly presenting the government with no alternative but to divert activity elsewhere. Meanwhile in Scandinavia, Germany and France there was more emphasis on transport-oriented urban expansion, rather than tough green belt controls. 2 Similar methods of clearing poor communities in the interests of commercial redevelopment and up-market housing have also been used in recent decades in Stockholm’s finger plan, for example, envisaged a range of developing countries (UN-Habitat, 2009; Watson, 2009). The Evolution of National Urban Policies: A Global Overview | 21 the incremental physical growth of the city along the locus of power from the coast to the interior major transport corridors radiating out from the would stimulate the economy of neglected regions. centre. This had the benefit of enabling the natural This was based on the concept of growth poles expansion of urban areas and increasing the supply that was in vogue at the time, as noted above. of housing, rather than having rigid restrictions The new urban centres ended up accommodating which resulted in housing shortfalls, inflated house state administrative functions and had little or no prices and leapfrog growth in countries such as the economic impact on their surrounding regions. They United Kingdom. Planned urban extensions were generally turned out to be expensive mistakes that also more consistent with other sectoral policies diverted investment from more valuable economic that were popular in advanced economies at the and social projects (Parnell and Simon, 2014). time, particularly government tax relief and subsidies to encourage the growth of home-ownership and Urban planning for the existing cities in developing investment in the building of suburban freeways. countries was shaped by other concepts transferred These implicit urban policies greatly accelerated from Europe by the colonial powers. New residential, the decentralisation and de-concentration of cities, administrative and commercial areas were often particularly in the United States, Canada and laid out according to Western principles of urban Australia. The lack of metropolitan-wide planning aesthetics, modernization, efficiency and separate jurisdictions in the United States and Canada resulted land uses. The minimum standards of housing in largely unplanned growth and urban sprawl. The and the plot sizes were inappropriate given the design of outlying settlements in Sweden and Finland widespread low incomes (UN-Habitat, 2009; Collier was often high quality and they accommodated and Venables, 2014). The legal frameworks were mixed-income communities. However, in France, Italy, also unsuitable for local conditions and institutional Spain and the United Kingdom, monotonous high- capabilities, since they assumed private ownership rise housing estates were built for poorer working of the land, a large and stable formal economy, and class communities. These large peripheral estates a highly competent public sector to plan, implement proved unpopular within a decade or two and were and enforce official policies (Watson, 2009). Urban increasingly allocated to immigrant groups with less plans and zoning schemes were excessively detailed choice about where to live. They became the source and prescriptive, poorly linked to infrastructure of considerable dissatisfaction and periodic outbreaks investment, and narrowly conceived in terms of of social unrest and violent protests. controlling urban growth. The outcome was that highly segregated cities emerged, with extensive Growth management took a different form in several informal settlements growing rapidly in many areas. newly-independent developing countries. In Nigeria, Most people lived in unplanned and unauthorized Tanzania, Botswana, Malawi and Mauritania there areas lacking even rudimentary services and tenure was a major drive to launch new capital cities. These security. Living conditions were poor and households cities were built for symbolic reasons related to lived a precarious existence vulnerable to evictions national pride and to make a decisive break from and removals. the colonial past, but at considerable public sector cost (Cain, 2014). It was also argued that shifting 22 | The Evolution of National Urban Policies: A Global Overview From the late 1960s in Europe and the United income, poor educational attainment, sub-standard States, urban policy became more concerned with housing, ill-health, family breakdown, rising crime responding to social and environmental problems and low morale. Urban policy was treated as a special than with steering growth (Cochrane, 2007). Older initiative, separate from mainstream policies and manufacturing industries were beginning to decline amounting to compensation for economic weakness because of intensified international competition, and market failure. It was essentially a palliative and unemployment was rising as a result. Factory designed to ameliorate poor housing and social closures were contributing to environmental decay conditions, rather than a catalyst for socio-economic and dereliction in the old industrial districts of many transformation and development. cities. Working class communities living in proximity were vulnerable to the job losses and experienced During the 1980s, there was another shift in rising poverty, disaffection and ill health. There were NUP towards attracting private investment and outbreaks of protest activity and street riots in many supporting market forces. The economic origins European and United States cities as governments of many urban problems were given more explicit scaled back their commitment to full employment attention, including de-industrialization and business and households slipped through the safety net of decentralization to outlying towns. Deliberate the welfare state. Immigration from the former efforts were made to lure investors, developers colonies contributed to a climate of racial tension and other enterprises back to the cities through and mistrust. In the United Kingdom, the Urban a range of financial incentives, simplified building Programme was launched and the equivalent in the regulations and streamlined planning procedures. United States was called the War on Poverty. The Run-down buildings, contaminated industrial focus was on marginalized neighbourhoods suffering sites and crumbling infrastructure were renewed, from a series of linked social problems, including low rehabilitated and redeveloped to accommodate Housing project in Berlin, Germany © Wikipedia/Gyxmz The Evolution of National Urban Policies: A Global Overview | 23 new and additional business activity. In the United One mechanism to achieve this was through the States, powerful partially autonomous urban renewal rehabilitation, upgrading and “gentrification” of old, authorities and economic development agencies attractive buildings in conveniently located districts. were created to manage the federal government “Property-led regeneration” became the catchphrase, funds committed to these areas. Although they resulting over time in the physical renewal and were typically set up by the government and were transformation of many waterfront precincts and ultimately accountable to the centre, many of them city centres into reinvigorated commercial centres reported to an independent board of directors and popular residential districts with converted drawn mainly from the business community to warehouses and high quality amenities open around- benefit from their expertise. In some cases, public- the-clock for young professionals and creative private partnerships and development agreements workers (Turok, 2009). In some countries, local were formed to lever in extra resources by giving government was portrayed as part of the problem the private sector more of a say in the planning and in hampering regeneration because of its slow development of inner urban areas. Special deals decision-making, pro-poor policies, and inclination to were negotiated with private developers to secure interfere in commercial calculations. Consequently, investment in return for concessions of various kinds it was sometimes by-passed by creating special (Turok, 1992; Fainstein, 2001). “urban development corporations” that were directly accountable to national government (Turok, Another part of the new urban agenda was to attract 1992). They usually had a narrow mandate focused households back to core city locations from the on clearing and re-developing land, sometimes suburbs, especially the middle classes, professionals extended to preserving and reusing historic buildings. and managers. In many American cities, the idea They were deliberately less concerned with public was to reverse the “white flight” of people who had opinion and the immediate well-being of the local left in response to rising crime and social disorder. community, whose displacement was often an outcome of local regeneration. Low income housing project in New York, USA © Flickr/Axel Drainville 24 | The Evolution of National Urban Policies: A Global Overview 3.3 Contemporary urban policy contributed to an excessive supply of real estate. It has been harder to detect a dominant approach There was a counter-reaction in some countries to urban policy since the 1990s (Cochrane, 2007; as civil society organizations mobilized to resist Turok, 2009). Instead, there has been a proliferation redevelopment. In a quite different context, China of different models in different contexts, partly supported the decentralization of state responsibilities reflecting different goals and objectives, and different to local government in order to stimulate local democratic cultures and traditions. There is no enterprise and innovation. This achieved remarkable consensus about the purpose of urban policy or results in terms of the development dynamic about the most appropriate tools and techniques. unleashed by a massive construction boom, including This has occurred alongside a reaction against the skyscraper office buildings, apartment blocks, comprehensive ambitions of urban planning in business parks, shopping malls, hotels and airports, the mid-twentieth century. Planners had sought but also opposition from communities that were to develop a rational-comprehensive approach to unceremoniously displaced in the process (Miller, decision-making based on management science and 2012; McGranahan et al, 2014). operations research. With this approach, a universal scientific method could be created for analysing The physical result of deregulation in many countries different scenarios for the interactions between was an unprecedented property boom during land-use, transport and housing within cities, and the 2000s as developers engaged in increasingly then choosing the optimum solution based on speculative projects for which the demand from specified goals. Contemporary planners are far more occupiers was uncertain. This created the basis for an circumspect about their capability to control events enormous property bubble as supply greatly exceeded and predict outcomes, and are more concerned with demand. The retreat from urban planning resulted in the social consequences of their decisions. many ill-conceived developments in poor locations, increased suburban sprawl, and countless “mega- One of the themes that has characterized certain projects” and “flagship schemes” designed to attract NUPs since the 1990s has been opposition to businesses and consumers away from established urban planning and support for the deregulation office districts and shopping precincts. The property of property markets. This has stemmed from a sector established a prominent identity of its own, belief that planning regulations interfere with the separate from the real economy. In countries such prerogative of private developers and obstruct the as Spain and Ireland, the resulting property bubble operation of market mechanisms, and are therefore has been a major contributor to the wider economic counterproductive. This idea coincided with the crisis, causing many bankruptcies among property widespread availability of cheap finance, linked with developers, financiers and landowners (Harvey, the deregulation of the banking sector in many 2008). countries. This enabled ambitious developers to expand rapidly by taking on larger and more risky projects. In some instances, city authorities were part of the problem, having traded planning permission and negotiated deals with private developers that The Evolution of National Urban Policies: A Global Overview | 25 Meanwhile, a second approach to urban policy has The latest expression of this approach is the idea of emerged in several parts of the world with a focus on “smart specialization” (Foray, 2015). This describes economic competitiveness and innovation (Cochrane, the capacity of a region to diversify, modernize 2007). There is greater recognition of the openness or transform its productive structure through the of urban economies and the need for stronger development of new competences and technologies. linkages with other cities at home and abroad. In a Smart specialization strategies promoted by the context of globalization, large, well-connected cities European Union are designed to encourage each can operate as hubs in a global network of flows of region to identify transformation priorities that information, goods, services, finance and people, reflect and amplify existing local structures and with positive spill-over effects across the broader competencies, and thus produce original and economy (McKinsey, 2014). Research and technology unique competitive advantages. City-regions are development are particularly important assets that the appropriate functional geography for looking at help to differentiate city economies from each other, urban policy through an economic lens. Therefore, resulting in an emphasis on industrial specialization cooperation between adjacent municipalities is and the role of universities, including talent attraction important to gain economies of scale in particular and retention. Collaboration between higher technologies and competences, and to ensure education institutions and local firms is considered consistent and complementary policies towards vital to supply appropriate skills and knowledge, and transport and other infrastructure, business support, to ensure that their scientific research is relevant to place marketing and labour market programmes. business needs. A football field in Moravia informal settlement, Medellín, Colombia © UN-Habitat/A.Padrós 26 | The Evolution of National Urban Policies: A Global Overview A third approach to NUP has emerged in parts of the ecological infrastructure). Cities that ignore these Europe and the United States called “new urbanism” issues are arguably more vulnerable to congestion, or “smart growth” (UN-Habitat 2013). One natural disasters, inadequate basic services, strained objective is to promote urban forms that are more municipal finances, and social and political conflict sympathetic to the natural environment. Another over land and housing. They can also get locked-in to is to create urban areas with a stronger sense of fixed infrastructure networks that dictate inefficient place and identity - a reaction to lightly regulated patterns of land-use, carbon emissions, water and suburban sprawl, monotonous housing estates energy consumption, and wasteful use of other and commercial property developments, and the natural resources. traditional separation of different land uses resulting in long commuting times and traffic congestion. A fourth theme is concerned with tackling social New urbanism promotes more compact, higher exclusion within urban areas. It is summed up as the density, mixed-use developments that bring home, “right to the city”, an idea first proposed by Henri work, shopping and entertainment into proximity, Lefebvre. This approach has featured more strongly sometimes under the umbrella phrase of “sustainable in the South than in the North, reflecting the greater urbanization”. High quality public spaces are an importance of urbanization and higher incidence of important part of the package to compensate political exclusion. It has also emerged as a reaction for higher density living with less private space to previous state controls on rural-urban migration, and gardens. Public and non-motorized transport large-scale “slum” clearance programmes and the (walking and cycling) are also favoured over private displacement effects of commercial redevelopment cars. Transit-oriented development seeks to capitalize schemes. The slogan has been promoted by social on the accessibility offered by mass transit to movements and other civil society organizations in promote higher density housing around the stations. countries such as Brazil and South Africa. The right to This kind of urban innovation may involve urban the city goes beyond people’s ability to migrate to the planners in close negotiations with developers over city. Once in the city, it is their right to be recognized the rights to develop land and to contribute to the formally as citizens, to participate in key decisions cost of public services instead of the traditional purely affecting their futures, and to have access to urban regulatory approach. resources such as housing and public services. It may also require that governments accept and try to It is variously argued that a compact, integrated upgrade (rather than condemn and try to eliminate) urban form facilitates (i) city prosperity (through the informal settlements and informal enterprises on the advantages of proximity between complementary grounds that they lack the technical capabilities and activities); (ii) social inclusion (through better access to resources to achieve formal standards of housing, jobs and services); (iii) quality of life and social vitality public services and business regulation. David Harvey (through liveability and access to public amenities); goes further in arguing that: (iv) more affordable public services (through saving on the costs of bulk infrastructure); and (v) resilience to environmental hazards and human safety (through retrofitting older buildings and reducing damage to The Evolution of National Urban Policies: A Global Overview | 27 city management was more democratic by making “The right to the city is far land-use planning mandatory throughout each city more than the individual liberty and subjecting development decisions to social to access urban resources: it control and participation (previously planning was is a right to change ourselves essentially an elitist activity and only selected parts by changing the city. It is, of each city were subject to investment and service moreover, a common rather delivery by the municipalities). Second, it sought to than an individual right since ensure that the social function of urban land and this transformation inevitably buildings was put before their commercial value by depends upon the exercise of removing part of the land from the market (previously a collective power to reshape public authorities had very little scope to intervene the processes of urbanization” in the property sector through planning and urban (Harvey, 2008, p.23). management initiatives because of the long-held tradition of private property rights). Urban planning Brazil has probably done more than any other is now seen as a collaborative process of shared country to make this real. Following the adoption decision-making and negotiation among different of the 1988 Constitution, which included a chapter interests, rather than a top-down, technocratic on urban policy, a ground-breaking law called activity undertaken by government experts, private the Statute of the City was introduced in 2001 to developers or commercial investors. Further details of promote equity and access to urban land. It gave the specific laws and policy instruments are provided municipalities various instruments to institutionalize in the sub-section on Brazil below. the right to the city. First, it sought to ensure that Paraisópolis (low income neighbourhood) and Morumbi (high income neighbourhood), São Paulo, Brazil © Flickr/Fernando Stankuns 28 | The Evolution of National Urban Policies: A Global Overview To summarize this section, urban policy is a complex In some countries, urban policy as such emerged and contested activity with its own institutional as a response to economic decline and its social dynamics and historical path. In some countries, consequences, but it changed over time to active policy has evolved along the following broad promotion of private investment and property- trajectory: led regeneration. Disillusionment with land-use planning and local government gave private sector simple reaction to urban growth pressures developers the upper hand and contributed to a through the provision of essential public services and powerful property boom and slump in recent years. infrastructure, followed by Other approaches to urban policy have emerged efforts to control and steer growth elsewhere during the last decade that recognize the importance because of the costs of congestion and of dense, diverse and liveable cities, and that give overcrowding, resulting in decay and relative decline, greater respect to established community dynamics attempts to ameliorate the effects of decline and social vitality. They imply that local government and poverty through social and environmental performs an important function and that urban programmes, which have laid the basis for planning is a collaborative, participatory process as renewal, reinvestment and regeneration, and a well as a technical activity. They also recognize that new cycle of urban growth and development. many countries lack the institutional capabilities and resources to attain formal standards in housing and NUPs have multiple and diverse origins. The idea of the built environment, and that informality should be urban planning can be traced back over centuries accepted and not eradicated. Consequently, there is to different parts of the world. The provision of no single dominant approach to NUP at present. municipal infrastructure following the industrial revolution was particularly influential. Policies had a strong physical emphasis and responded to public health problems in overcrowded, disorganized, fast- growing cities. Planning was a means of coordinating and steering development, although it became a means of social coercion and control. Planning proved most effective in conditions of post-war economic growth with substantial public and private investment that planners could steer to new locations. It was shaped by the principle of orderly development based on the separation of different uses and standardized (modernist) physical designs. There was an assumption that a comprehensively planned city would alter human behaviour and promote social progress (a form of environmental determinism), but there was little sensitivity to local differences and little democratic input. Rocinha slum in Rio de Janeiro, Brazil © Wikipedia/chensiyuan The Evolution of National Urban Policies: A Global Overview | 29 Market in Zemio, Central African Republic © Flickr/Teseum 4 Urban policies Governments are understandably wary of universal models of NUP with fixed assumptions about the underlying goals and procedures that should be in individual followed. Instead, NUPs have evolved in different ways in different countries in response to changing countries social, economic, political and environmental circumstances. This is illustrated here with a variety of examples from around the world. Countries were included that had a particularly interesting experience of NUPs that might be of wider relevance. The emphasis was on low- and middle-income countries. The availability of suitable information in English was another important consideration. As far as possible, the following themes are discussed in each country, subject to the available evidence: how the rationale for NUP has shifted over time; the changing objectives and scope of NUP; the strength of national support; the capacity to implement the NUP and the main instruments used; and the relationship between national and local government. 30 | The Evolution of National Urban Policies: A Global Overview ASIA MAP CHINA SOUTH KOREA INDIA There is a logic to the sequence of countries in the dramatic improvements in education and other following discussion. The analysis starts with Asia, social outcomes. The share of adults with secondary where there is the longest experience of NUP in the education soared from 20 per cent in 1960 to 87 per South, and then moves on to Latin America and then cent in 2010. Africa, where there is least experience. Connections are also made between individual cases to strengthen Korea is now one of the most dense and urbanized the overall narrative. countries in the world. Yet urbanization has been uneven and focused on a few large cities, Asia namely Seoul, Busan, Daegeon, Incheon, Daegu, Gwangju and Ulsan. Three cities in the Capital South Korea Area are particularly important economically and South Korea is a particularly interesting case having demographically: Seoul, Incheon and Gyeonggi- made the transition from a developing country with do. Seoul alone generates half of Korea’s GDP. a relatively low level of Gross Domestic Product (GDP) Since 1990, the population of a group of medium- per capita in 1960 and an unsophisticated economy, sized cities with strong manufacturing bases has to a developed and highly resilient economy with also grown strongly. This has created considerable a GDP about 20 times higher in 2010. Indeed, it pressure on land and infrastructure through extensive has been one of the fastest-growing economies in physical development, and serious housing shortfalls. the world, despite lacking natural resources and experiencing demographic constraints (an ageing Korea’s NUP has evolved through three phases workforce). Over the period 1960-2010, the level of (OECD, 2012). The first involved explicit spatial urbanization increased from just 28 per cent to 83 concentration and sectoral focus because resource per cent. According to the OECD, “Korea’s economic limitations prevented spreading investment more development since the 1960s has gone hand in hand evenly across the country. The country’s successful with fast and unprecedented urbanization” (2012, socio-economic development is attributable in large p.13; see also Park et al, 2011). Industrialization part to a concerted industrial modernization strategy and urbanization have also been accompanied by The Evolution of National Urban Policies: A Global Overview | 31 pursued by the government from the 1960s to the regulations and additional taxes were introduced 1980s, geared largely to boosting exports. This was to make it more difficult for firms to expand centred on a few growth poles, namely Seoul and within Seoul. This was accompanied by substantial several other large cities. These economic dynamos investment in national highway construction, along were driven by a propulsive sector (a leading industry with a boom in house building. These measures were with strong multipliers) deliberately targeted by the linked with efforts to decentralize and empower government in its five-year economic development local government throughout the country in order plans. As a result, these places attracted substantial to improve the economic dynamism and all-round population and investment flows. One of the performance of smaller cities and towns. unintended consequences was to create severe shortages of housing, infrastructure and land for This policy was not successful at rebalancing the development (Park et al, 2011). The physical growth spatial economy (OECD, 2012). The dominance of these cities was also poorly planned and managed, of the Capital Area continued despite the new resulting in fragmented and inefficient development controls because most firms were reluctant to move patterns with inadequate amenities. Government to where the agglomeration advantages were legislation and public investment were poorly aligned, weaker. The efforts to strengthen local government and technical capacity in implementing land-use also proved to be a slow process with uncertain regulation, zoning schemes, floor-space ratios, simple benefits for economic development. Finally, the property transactions were slow to develop. Political growth demands and inflated house prices in the decision-making was also predominantly short-term Capital Area forced the government to respond and reactive (Park et al, 2011). The sheer quantity by constructing five additional new cities around of development was uppermost, and the state Seoul in order to relieve the housing shortages, acquired or expropriated land for urban uses almost accompanied by a massive increase in apartment irrespective of location. Another consequence of the building. This was highly controversial at the time focus on industrial policy was the deliberate under- because it tended to facilitate continuing population investment in housing for several decades until the growth in the region, and fuelled further real estate late-1980s (Kim and Cho, 2010). Constrained supply speculation. It implied a tacit acceptance by the and rising demand caused escalating house prices government of the unique economic role of the and speculation. Capital Area (for Korea’s position in the global economy) and the consequential need to support As a result of the enormous growth pressures and its continuing dynamism. The government’s own high infrastructure costs that accumulated during housing programme was also accompanied by a this period, in the 1980s and 1990s the government policy to relax government controls on mortgage sought to de-concentrate jobs and people away from lending by financial institutions, so that more people the Capital Area in pursuit of “balanced territorial could afford to buy their own homes. Both initiatives development”. Deliberate steps were taken to contributed to a dramatic increase in the supply of relocate public administration offices and branches of housing over a relatively short period (Kim and Cho, universities outside Seoul. Financial incentives were 2010). also offered for private firms to relocate, and new 32 | The Evolution of National Urban Policies: A Global Overview During the 2000s, NUP shifted again towards trying and implementation within the field of urban to improve the quality of urban development, development. This demonstrates the importance of including liveability, amenities, safety and seeing NUP as an ongoing process of incremental environmental quality. This was partly a response improvement rather than the attainment of a to the previous emphasis on quantitative economic particular end state. growth and the resulting inferior character of the built environment in many urban areas. Improving the In summary, one of the main lessons emerging quality of the urban environment requires integrated from Korea’s experience is the importance of planning and the full use of the various instruments aligning territorial planning, urban policy, housing and regulations available (Park et al, 2011). A second programmes and the provision of land for objective was to further strengthen the economic development. Inconsistent spatial priorities tend to competitiveness (not sheer growth) of all the cities undermine the effectiveness of each of these policies, through technological upgrading, innovation and and a failure to plan ahead produces inferior urban diversification into knowledge-intensive industries. outcomes. Korea also demonstrates the substantial This has included encouraging municipal cooperation benefits that can be derived if urbanization is across administrative boundaries within functional managed in a way that reinforces and contributes metropolitan regions in order to achieve greater to economic development, with sufficient land economies of scale in industry, research and and housing made available in the right places. development and public infrastructure provision. A key conclusion is that economic concentration and focused infrastructure investment have paid Since 2008, green growth has become a major focus handsome dividends in raising national prosperity. of Korea’s economic strategy in an effort to shift away from the historic focus on energy-intensive industries and mass consumption. Attitudes have been transformed from accepting the environmental degradation associated with heavy industries to actively promoting the green economy. The effectiveness of this agenda will depend a great deal on the contribution of cities to green growth through new technologies, energy efficiency measures, renewable energy, public transport, green buildings and higher density transit-oriented development. The OECD (2012) has generally applauded Korea’s explicit NUP and encouraged the government to strengthen the role of cities in the green agenda. It has also pointed to the need to improve vertical and horizontal policy coordination within government, to enhance the capacity of local government, and to strengthen the link between policy-making Seoul, South Korea © Flickr/Doo Ho Kim The Evolution of National Urban Policies: A Global Overview | 33 China which depressed labour costs and fuelled the China’s experience of urbanization and growth machine. Incomes have risen more rapidly industrialization has been similar in several respects to in these cities than elsewhere as a result of higher Korea, although somewhat delayed and with a more productivity, strengthening further migration (Miller, compressed timescale. The country’s explosive urban 2012). surge in the last 30 years is linked to its dramatic economic transition from an agrarian to an industrial The government recognized, rewarded and sought society (OECD, 2013a; World Bank, 2014). A simple to replicate success by steering resources to selected manifestation of how far the country has come is regions and by continually innovating institutions that the 17 largest cities comprise 11 per cent of (McGranahan et al, 2014). Additional powers and China’s population but 30 per cent of its GDP. They responsibilities were devolved to local governments have also already reached “high income status” as to incentivize economic development. Smaller defined by the World Bank and are comparable to municipalities were merged to create larger and more some members of the OECD, unlike the rest of the capable entities, and to give cities more control over country. Another illustration of China’s remarkable surrounding land for development. The expropriation transformation is the 500 million people who have of agricultural land and its conversion to industrial been lifted out of poverty over the last three decades and residential uses has been a key feature of (World Bank, 2014). The government has played China’s urban growth engine. The uplift in land a key role in shaping this trajectory. Until the late values and growing tax revenues from industry have 1970s, urbanization was resisted in favour of rural financed urban infrastructure, facilitated catalytic development. Urbanization accelerated after the construction schemes and helped city marketing economic reforms of 1978, when the fierce anti- efforts through flagship projects. Larger cities also urban policy was relaxed. have powers to issue bonds to fund new roads, water and other infrastructure. China’s current five- Over the following decade, the government pursued year plan explicitly calls for more urbanization and an increasingly effective combination of vision supports the emergence of mega-cities. The theory and pragmatism whereby particular locations and of agglomeration economies is described as “the enterprises showing the greatest potential were given objective law of urban development”. extra support (McGranahan et al, 2014). Special economic zones sited in undeveloped coastal regions “China’s cities, with abundant offered big incentives to attract foreign investment labour, cheap land, good and export-led industrialization. Obligatory linkages infrastructure, and competition with local suppliers meant valuable spinoffs from the among local governments to transfer of technology and managerial skills. These attract industry and investment, early achievements encouraged other territories have created an environment in the south-east to be opened-up, and by the that has been highly conducive 1990s these billowing coastal cities were China’s to growth” (World Bank, 2014, p. main economic engines. They were magnets for xxiii). vast flows of domestic migration and investment, 34 | The Evolution of National Urban Policies: A Global Overview The land conversion process has been highly financing, which is causing inefficient urban sprawl controversial, contributing to inefficient land uses, and, on occasion, ghost towns and wasteful real road-oriented development and environmental estate development” (2014, p. xxiii). degradation. It has also been a source of property speculation among developers, a black market in Although China’s urban development machine has land, corruption in municipalities and much illegal delivered impressive growth, certain groups have construction. Ambiguous property rights have been been excluded from the benefits. A household manipulated to secure land from rural collectives and registration system (hukou) was introduced in the peasant farmers in order to sell it for development. Mao era (1949-1976) to control urbanization. National rules have encouraged this by enabling The permits have been eased to allow temporary municipalities to retain most of the proceeds. The migration, but vulnerable groups such as peasants do process has become so important to China’s growth not enjoy the same rights to schools, health facilities trajectory that central government has sought to and social services (OECD, 2013a; World Bank, gain greater control over it in order to boost or cool 2014). The policy reduces the cost to municipalities the economy as required. For example, a law was while meeting industry’s demand for cheap labour. introduced in 1999 to slow down the rezoning of Rising prices in the booming cities also make housing agricultural land for urban development. There has unaffordable for poor migrants. Some farmers have also been growing resistance from displaced farmers received flats in high-rise complexes to compensate forced to make way for redevelopment, prompting for losing their land. Other migrant workers live in efforts to strengthen their property rights (World shared accommodation and hostels provided by Bank, 2014). their employers. Many migrants leave their families behind, which limits their children’s education, health Nevertheless, rapid urban growth has been supported and overall life chances. Their second-class status by fast-track regulatory procedures, an absence of means insecurity and lower disposable incomes than public participation, and unprecedented levels of those with proper homes and social protection, and investment in infrastructure, real estate and other who spend more on consumer durables. Therefore, fixed capital. China spends about 50 per cent of its the hukou system hinders the rebalancing of the GDP on such investment, including roads, power economy as well as being unfair and divisive. Reform generation, railways, dams, ports, telecoms, factories, is beginning to happen, but it is complicated because office buildings and housing. This is the highest share migrants might have to surrender land rights in their ever recorded in the world (Turok, 2014a). During rural areas and give up the possibility of having a their great booms in the 1960s and 1970s, Japan and second child, which is prohibited in urban areas. Korea never exceeded 40 per cent. External observers have warned of the risks of over-development and Another source of growing social inequality and property bubbles. To date, the incessant demand associated with political tensions is the spatial disparity from an expanding real economy and massive between cities in the coastal belt and inland regions. household growth have so far averted this. The The government has recently extended the special World Bank recently warned that “Urbanization support available to the coastal cities to the interior, has relied excessively on land conversion and land and has begun to invest heavily in roads, high speed The Evolution of National Urban Policies: A Global Overview | 35 railways and other connecting infrastructure in “logistics To sum up, China’s NUP has been geared above all corridors”. There are some signs of firms moving inland to fostering quantitative economic growth, with to access cheaper labour, but it is obviously too soon to less concern for social equity and environmental say whether inland cities will be able to narrow the gap. sustainability. This is changing as the government Environmental concerns (including their impact on seeks to rebalance the economy towards domestic the nation’s health and water security) have also consumption and particularly service industries. moved up the political agenda, following decades Consumer-driven growth will be led by the major of ecological damage and pollution to air and water cities and influenced by the extent to which migrant courses from unrestrained industrialization, dirty households gain greater security, become more energy generation and rising car ownership (OECD, integrated socially, and adjust from being savers to 2013a; World Bank, 2014). Chinese cities tend to being spenders. This also implies a new approach be reasonably compact in terms of many of their to urban growth, based on creating more liveable residential neighbourhoods, but vast industrial parks and inclusive cities, which make more sustainable are an inefficient use of land, reflecting the frantic use of land and natural resources. The role of the industrial development efforts of municipalities. government is likely to shift from supplanting market Measures are being taken to reduce the carbon forces to facilitating more organic, higher quality footprint and increase energy security, including growth through more flexible urban planning, major investment in renewable energy, public improved public services and regulating market transport, green buildings and experimental green excesses in relation to land and environmental cities. Severe congestion in the big cities is another hazards. A clearer division of labour is also likely to reason for the growing emphasis on urban subways emerge between the economic functions of different and other public transport. sized cities in different locations, depending on their costs and comparative advantages. Shanghai, China © Flickr/setiadi 36 | The Evolution of National Urban Policies: A Global Overview India conditions. Moreover, India’s major cities did not India has a history of “slum” clearance programmes feature in the country’s economic recovery as much in its major cities that date back to colonial times as one might have expected. Their poor performance (Kundu, 2014). The expressed purpose was to reduce stands in marked contrast to China’s booming cities. the spread of infectious diseases and impact of An important World Bank study (2013) argues social unrest. This was the preferred way of tackling that India’s metropolitan areas have experienced overcrowded and insanitary neighbourhoods, with stagnation because of inadequate investment in little compensation for the resettlement of displaced infrastructure and poor land management policies communities. Independence in 1947 brought that have pushed business out of the urban cores. important political changes. Urban populations were Large factories, call centres and other office-based growing strongly, mainly through natural change, enterprises have been established beyond the but the vast majority of India’s population lived municipal boundaries because of building height in impoverished rural areas, which remained the restrictions within the cities and special economic political priority. The provision of agricultural subsidies zones established in the peri-urban areas. The rapid and support for improved farming practices gave growth of metropolitan suburbs is a source of serious some backing to rural areas and may have helped to economic inefficiency because of the congestion slow the rate of out-migration. Meanwhile, urban and high transport costs (for firms and workers) municipalities lacked resources and were ill equipped that result from this extensive form of urban growth to manage their growing populations, resulting in (World Bank, 2013). It is one of several structural the steady expansion of “slums” (Chaplin, 2011). problems that undermine the potential productivity The continuing growth of low-income populations gains of agglomeration in India. living at high densities without basic infrastructure and adequate housing remains an enduring problem The same study argues that there would be in India (Nandi and Gamkhar, 2013). The urban substantial benefits for economic growth and population expanded by around 90 million between household living conditions if building heights 2001 and 2011, and is expected to grow by another and residential densities were increased in the 250 million by 2030. metropolitan cores. More intensive use of urban land to accommodate the expanding population The period 1990-91 was a turning point for the would reduce the need to travel and make more country in some respects. National economic reforms efficient use of costly public infrastructure. This were successful at attracting foreign investment, would contribute to improved living conditions as stimulating domestic consumption and accelerating well as economic development. However, Indian economic growth to between 5 and 9 per cent a year cities lack effective land policies to enable integrated over the following two decades. There has also been decisions to be made about urban (re)development, social progress for several hundred million Indians: infrastructure investment and connectivity between the proportion of the population trapped in extreme settlements. poverty declined from 45 per cent in 1994 to 22 per cent in 2012 (Gupta et al, 2014). However, these statistics only include those living in the most abject The Evolution of National Urban Policies: A Global Overview | 37 The country requires a robust system for valuing land The chief concerns of residents’ associations in and property, a clear definition of property rights, a middle- and upper-income areas are security, transparent system to enable land to be redeveloped improved amenities and privatization of public spaces or converted from one use to another, and a strong and shopping malls. They seek to sanitize their judicial system to mediate controversies over land neighbourhoods by pressing the public authorities transactions and land use changes. Local government to remove encroachments, squatters and informal is generally weak in terms of capacity and resources, enterprises seen as threats to their health and safety and progress in transferring power to municipalities (Fernandes, 2004; Kundu, 2011). The outcome is a has been very slow. more general anti-urbanization stance and exclusion of poor communities, reinforced by India’s entrenched Some cities have grown more strongly than others in social stratification, and enduring infrastructure recent years, particularly Delhi, Mumbai and Kolkata, deficiencies. There is little apparent empathy for where a new middle class has also emerged (Chaplin, the needs of poor migrant families for better living 2011; Nandi and Gamkhar, 2013; Kundu, 2014). This conditions and livelihoods. has fuelled the aspirations of these places to “global city” status, which in turn has influenced their urban The problems are compounded by government planning policies (Dupont, 2011). Bangalore has been policies that appear to give insufficient recognition particularly successful at positioning itself within the to the development potential of urbanization. global information technology (IT) industry, upgrading There have been many attempts to stem migration over time from call centres and back office work to flows, both through overt urban restrictions and higher value-added services, software programming, policies to skew economic support to rural regions. research and development. Migration patterns have Some are indirect, such as inferior public services been skewed towards these cities because of their and inadequate police protection for migrants real or perceived opportunities, thereby adding experiencing hostile attacks (McDuie-Ra, 2013). to the concentration of poverty and squalid living Recent national development plans acknowledge conditions (Kundu, 2014). Continuing restrictions the economic significance of large cities, but they on residential building densities have tended to push also criticize the concentrated pattern of growth people out of the urban cores, along with firms and talk about promoting spatially-balanced (World Bank, 2013). The poorest residents have urbanization through satellite towns, small towns also been displaced by property redevelopment into and new townships. Nonetheless, India has never had outlying squatter settlements. Meanwhile, residents’ a coherent territorial or urban development policy, associations formed by upper- and middle-income despite the deterioration in city living conditions and groups have succeeded in using participatory forms the harmful social and environmental consequences. of local governance to pursue their own interests and oppose national slum upgrading programmes (see below). Public spending on slum improvement in modest in scale and exclusionary practices such as evictions have increased, partly to “cleanse” the cities and enhance their image among investors (Chaplin, 2011). 38 | The Evolution of National Urban Policies: A Global Overview India’s first significant attempt to strengthen India’s first major urban programme was launched the capabilities of urban governments was a in 2005, called the Jawaharlal Nehru National constitutional amendment made in 1992 that Urban Renewal Mission (JNNURM). It was wide- encouraged state (regional) governments to devolve ranging in scope and intended to boost investment a range of important functional responsibilities in infrastructure in 67 cities by USD 24 billion over to municipalities, including land-use, economic a seven year period, subsequently extended by development, water, roads and poverty alleviation. two years. Another objective was to increase the However, this occurred very unevenly in practice capacity of local government to engage in integrated and was generally not accompanied by equivalent urban planning, to improve project management financial powers and resources, so local governments and delivery of municipal services, and to increase remained administratively and economically weak accountability. This included a range of intended (Nandi and Gamkhar, 2013). Often it has been left reforms to land and property regulation and to non-governmental organizations to work with the management to improve the operation of the urban urban poor to improve their conditions. For example, land market in order to facilitate land development the Self-Employed Women’s Association (SEWA) is and redevelopment. By 2012, roughly half of the an impressive organization of poor women working budget had been spent, but progress on the various in the informal economy that has existed for four land and property reforms was patchy (World decades. It provides a variety of services for these Bank, 2013). Changes in state and local laws and women and has grown to a considerable size. The procedures were slow to be introduced, and weak Society for the Promotion of Area Resource Centres technical and financial capacity in the municipalities (SPARC) is another NGO working on housing and remained a major challenge (Nandi and Gamkhar, infrastructure issues in over 70 cities across India. It 2013). helps to organize the urban poor to come together, to articulate their concerns and to collectively produce solutions to their problems. New Delhi, India © Flickr/Loic Pinseel The Evolution of National Urban Policies: A Global Overview | 39 In 2013, the government launched an initiative called Integrated urban planning linked with Rajiv Awas Yojana (RAY) that had more of a pro-poor industrialization and the provision of affordable emphasis. It is a 10-year programme specifically housing and public services could provide channels aimed at slum upgrading by providing people for social mobility, skills acquisition and consumer with property security, improved shelter and basic demand to help broaden India’s economic dynamism. amenities. It was started in 10 cities and ultimately Some question whether urban elites have the aims to improve the conditions of a million people. appetite for bold policy reforms, and would accept Municipal and state governments are expected to large-scale migration from the countryside (Kundu, share the cost with national government. Both the 2014). India’s economy has shown the potential for RAY and JNNURM programmes are hindered by local growth, but its urban policies will influence whether capacity constraints and illustrate dilemmas about this is sustained and diversified over time to benefit how government support should be distributed the many. between different cities and towns (Chaplin, 2011; Kundu, 2014). The largest cities are best equipped to To sum up, India’s government has embarked on leverage additional public, private and global finance, a process of reform in economic policy, urban but some people argue that supporting smaller cities policy and public administration. The country faces would avoid growth being concentrated in a few formidable economic and population challenges, mega-cities. including the urbanization of poverty. It is too soon to say whether the recent policy changes go far or deep India’s workforce could expand by at least 400 enough. Overall, it is clear that the cities will need to million by 2050, over and above the current 500 become far more productive, inclusive and effectively million. Agriculture and related activities currently governed if they are to make a bigger contribution to provide a subsistence living to about 220 million. national development in the future. They cannot absorb the additional labour without further reducing incomes. It seems likely that India will have to undergo a major economic transition to secondary and tertiary industries, hand-in-hand with mass urbanization. The country’s future prosperity and stability depends on how quickly and efficiently this occurs (Nandi and Gamkhar, 2013; Kundu, 2014; Gupta, 2014). There is an argument that the largest cities have the most potential to lift people out of poverty because of their inherent economic advantages. This depends on investments in infrastructure and reshaping the urban form to promote efficiency through density and proximity. Mumbai, India © Thamara Fortes 40 | The Evolution of National Urban Policies: A Global Overview LATIN AMERICA MAP MEXICO COLOMBIA BRAZIL CHILE Latin America to the local level. Bogota, for example, has seven separate municipalities with poor mechanisms for Colombia coordination of public services, land-use decisions Colombia is a highly urbanized (75-80 per cent), and investment in regional transport networks, middle-income country, and has been gradually storm-water infrastructure and sewerage systems. developing a NUP to match the scale of its urban In 2011, the government responded to concerns challenges. A recent analysis argued that the about municipal fragmentation with a legal relative inefficiency of Colombia’s urban system was framework for voluntary collaboration across local hindering the country’s overall prosperity and its jurisdictions on regional planning and investment transition to a higher-income economy (Samad et al, programmes. The problem seems to be less serious 2012). Two particular problems arising from large- in the second largest city, Medellín, which emerged scale urbanization in recent decades have been poor from a very violent period during the 1980s and land-use planning (it is too reactive) and inadequate 1990s to develop a strong international reputation investment in strategic infrastructure (World Bank, for innovative social regeneration policies through 2013a). As a result, the spatial organization of creative public transport systems (such as cable its cities is inefficient, resulting in serious traffic cars), public spaces and high quality facilities in poor congestion, unauthorized settlements (comunas) built communities (Bateman et al, 2011; Turok, 2014c). on steep unstable slopes, and poor drainage and Medellín has also benefited from an extended period flood protection. of particularly strong cooperation between the three different spheres of government. These problems are exacerbated by the system of small municipalities with extensive responsibilities, The government is seeking to diversify the economy which complicates metropolitan-wide planning from one based on commodity exports (such as oil, and governance, and encourages duplication and coal and coffee) towards a stronger manufacturing competition (Samad et al, 2012). This is partly a structure, and then to more knowledge-intensive consequence of the 1991 Constitution, which service industries. promoted decentralization of powers and resources The Evolution of National Urban Policies: A Global Overview | 41 The shift to a more advanced economy will require The idea is to develop a commercially sustainable the country’s urban system to be more efficient, model for land and housing development that and its connections to external markets to be overcomes rigidities in the property market through strengthened (Samad et al, 2012). Colombia’s natural a combination of public and private investment and geography has been a persistent challenge in that reform of relevant regulations. The World Bank is its major cities are dispersed across mountainous providing finance and technical assistance. Additional terrain and are far from coastal ports. Freight has to reforms are underway to develop new and innovative travel long distances, which adds to the transport ways to finance urban infrastructure, such as public- and logistics costs, and undermines competitiveness. private partnerships. There is a national Ministry of Bogota is the main economic centre but is more than Housing, City and Territory which is responsible for a day’s drive from the coast, from where agricultural formulating, implementing, and orienting housing products, fossil fuels and raw materials are exported. policy, urban planning, and water and sanitation Poor historic connectivity between Colombia’s cities services, particularly in the major cities. Colombia means that there is limited industrial specialization has also learnt from Brazil’s Constitution and urban and complementarity between them. Evidence laws (see below), e.g. to facilitate more effective land that this limits inter-city exchange and trade has readjustment and redevelopment. Special Zones of recently encouraged the government to introduce Social Interest (ZEIS) reduce the legal minimum plot the “System of Cities” national policy. This is geared size for houses and allow squatters to regularize their above all to improving the transport connections dwelling conditions with less threat of speculation between the cities, and between them and the and eviction. coast. It includes road, rail and river transport. The government has also created a National Infrastructure Agency to promote investment in the logistics network, particularly airports, ports and toll roads. Two successive national development plans have set clear priorities for urban development. These are reflected in the 2005 “Liveable Cities” Strategy, which focused on improving access to affordable land and housing, increasing water and sanitation services, and improving public transport (Samad et al, 2012). The strategy received a boost when the government responded to the global financial crisis with a major programme of public investment and subsidies to enable the construction of a million houses over a five-year period, starting in 2011. A Macroproyectos Urbanos Program was also launched in 2011 to facilitate access to low-income housing and land for poor communities. Bogota, Colombia © Flickr/David Berkowitz 42 | The Evolution of National Urban Policies: A Global Overview Chile For all these reasons, the process of urban Chile’s experience of urbanization and development development has not been coherent and there have has been similar in some respects. The level of been many negative externalities as a result (OECD, urbanization is high (77 per cent) and reasonable 2013b). Growth has been heavily concentrated in economic success and improvements in income have the capital, Santiago, which now accounts for about been achieved despite the lack of an integrated 50 per cent of Chile’s GDP. All the other cities appear urban policy or other territorial development strategy to have under-performed economically in recent (Ministry of Housing and Urban Development decades, partly through government neglect. It is (MHUD), 2014). Key government departments have probably no coincidence that all of Chile’s cities are strong technical capabilities and a capable civil marked by high levels of social inequality and uneven service, but they tend to operate in silos with no access to public services, housing and decent living effective mechanisms to coordinate their activities environments. “The most significant (problem) is (OECD, 2013b). Instead, there has been a variety urban social segregation, arising from decades of of discrete sectoral policies for housing, transport, an approach to reducing the housing deficit that land-use planning, the environment and economic focused on the quantitative dimension without development. Each of these policies is reasonably paying attention to location or the accessibility of sound on its own terms, although they have evolved a minimum level of urban public goods” (MHUD, separately over time with little attention paid to the 2014, p.9). Infrastructure capacity is also inadequate relationships between them. Consequently, their and environmental pollution is increasing. It is not limitations for guiding and managing urbanization uncommon for social housing to be built on the have become increasingly apparent (see below). urban periphery without supporting infrastructure and services, and far from jobs and public transport In addition, Chile’s system of regional and local networks. These problems “stem from the land-use planning dates back to the 1960s and inconsistencies that arise when policies with urban is rather cumbersome, bureaucratic and control- impact – e.g. land use, housing, public transport oriented (OECD, 2013b). It is poorly adapted to the and environmental management – are designed and current dynamic realities of urbanization, so most implemented independently of one another” (OECD, plans are very out of date and therefore largely 2013b, p.13). irrelevant to the task of regulating and guiding physical development and building activity in the A related weakness has been the limited role played cities and towns. The zoning system is also inflexible by local and regional governments in urban planning and does not encourage higher density, compact and development because of the centralized nature development. Building on the urban periphery is of policy-making in Chile. Sub-national governments much simpler than infill and brownfield development, lack autonomy and resources, which makes it and there are insufficient controls to prevent building very difficult for them to respond in a meaningful on environmentally sensitive sites exposed to natural and effective manner to city-level challenges and hazards such as flooding, landslides, forest fires and opportunities through, for example, investment in earthquakes. appropriate infrastructure and the built environment. The Evolution of National Urban Policies: A Global Overview | 43 Administrative and institutional fragmentation means In 2012, President Michelle Bachelet established an that there is little strategic capacity or coherence advisory body to formulate a proposal for an urban in the overall management of metropolitan areas. policy to guide the future development of Chile’s Consequently, the economic competitiveness of cities and towns. This launched a technical and cities has suffered, connectivity is limited, congestion consultative process culminating in the promulgation has increased, heritage assets are poorly conserved, of a National Urban Development Policy for Chile insufficient value is placed on the identity of different early in 2014 (MHUD, 2014). The process was places, and there are few quality public spaces important in building broad support for an urban (MHUD, 2014). policy among politicians, officials, academics, professionals, investors and citizens in different Chile has one of the oldest subsidy programmes for regions. The policy recognized the need for a long- low income housing, leveraging private savings and term perspective because of the ambitious goals of financial resources from private banks. Nevertheless, urban transformation required in Chile. The policy the segregation of housing developments incurred stated that the fundamental challenge was to shift degradation at physical and social levels, inducing the popular perceptions of cities as “agglomerations of launch in 2008 of a programme for neighbourhood private construction” towards recognizing their value improvement and the earmarking of 256 priority as collective expressions of society and their role in areas (MHUD, 2014). This was a major development providing public goods. in terms of directing investments towards urban integration. Santiago, Chile © Flickr/alobos Life 44 | The Evolution of National Urban Policies: A Global Overview The overarching goal of the new policy was to From a broader regional perspective, the policy improve the quality of life in cities by combining ratified a trend towards more quality of urbanisation and balancing the principles of social integration, outcomes in Latin America that could be observed environmental protection and economic in Brazil, Mexico and Colombia, and recognized the development. It supported the decentralization of urgent need for urban integration through more responsibilities to bring decisions closer to the people progressive, inclusionary land mechanisms and and to strengthen civic participation. It also provided strong institutions, and for a shift in terms of low a framework to rationalize the responsibilities of income housing production and upgrading towards different parts of government in order to avoid a more sustainable and integrated approach that inconsistent and contradictory actions (MHUD, would strengthen the social, economic, physical and 2014). The new policy clearly recognized the high environmental connections with the city as a whole. level of inequalities in Chilean cities, with their high levels of poverty concentration, despite decades The OECD (2013b) recommended measures to of low-income housing, massive production and strengthen vertical and horizontal policy coordination the significant decrease of the housing backlog and active programmes to bolster the capacity of in the last 20 years. The most important aspects local government and other city-level institutions. The were (i) the creation of a Ministry of Cities, Housing government, despite the political changes, has tried and Territorial Development with a Policy Advisory to react with innovations such as the neighbourhood Council, (ii) the introduction of social interest zoning, improvement programme and the recently approved envisaging the future housing needs and the idea of National Urban Development Policy. integration and mix of uses, and (iii) the creation of an autonomous metropolitan authority. The policy did not go into detail on any particular issue, rather it set out the objectives and guiding principles for policy and institutional reforms. It also provided guidance for subsequent policy action and initiatives. For example, it set out many of the steps to be followed to reduce existing social segregation in cities and to prevent further segregation in new housing developments. In short, it provided the basis for a wide range of follow-up policy measures and actions that should be pursued in the years ahead. Temuco, Chile © Flickr/Terra Chillán The Evolution of National Urban Policies: A Global Overview | 45 Mexico Some of the challenges to more coherent urban Mexico is generally weaker institutionally than Chile, planning and development include: (i) outdated but it is slightly further ahead with its NUP, at least legislation; (ii) inflexible and inappropriate institutions in terms of having a formal policy in place. There are (such as subsidies to encourage suburban housing 384 cities in the country, 59 of which are defined developments); (iii) the lack of an integrated vision of as a metropolis. Poorly controlled sprawl is a major urban development; (iv) uncertainty hindering private problem, along with large tracts of vacant land investment; and (v) weak local governments with within the cities. The sprawl consists of extensive short time horizons (there are 2,400 municipalities dormitory settlements and “new towns” made up and mayors are elected every three years). of rather poor quality private housing. Some seven million houses have been built in such areas in recent One of the goals of the 2013 National Development years. Rising transport costs have resulted in the Plan was “sustainable and intelligent urban abandonment of many houses as people could not development”. It sought to introduce a new urban afford to keep paying their bonds, while commuting paradigm based on the following principles: more costs were rising. compact and connected cities, more diverse housing with rental tenure, effective land use policies, risk prevention and regional development. Extensive national consultation was held on the theme of building a shared vision of sustainable urban development. Mexico City, Mexico © Flickr/Threthny 46 | The Evolution of National Urban Policies: A Global Overview Implementing the new urban policy will be extremely According to senior officials, the government is not difficult because of major institutional shortcomings, contemplating decentralization to local government especially at local government level. There is a great at present because the municipalities are perceived to deal to be done in terms of modernizing legislation, be weak and unreliable. Against all this, there have changing norms and standards of development, already been some successes with the new policy. strengthening instruments of territorial planning, For example, the federal housing subsidies were establishing GIS systems to monitor land-use altered from an indiscriminate approach to a more changes, communicating the new policy and getting spatially sensitive approach focused on consolidating civil society to accept the new urban agenda. Above residential areas within the urban fabric to stop all, the new policy requires a new institutional sprawling development on the periphery. A national structure to align policies and enforce the new housing programme, called Integrated Sustainable agenda in the face of opposition and resistance. Urban Development (DUIS), was also introduced in the late 2000s to expand the supply of low-income housing in forms that are less environmentally damaging, more resource efficient and less socially exclusive. Guadalajara, Mexico © Flickr/Carlos Rivera The Evolution of National Urban Policies: A Global Overview | 47 Brazil Brazil’s urbanization occurred despite the opposition Brazil has been a pioneer of NUP in many respects of most political regimes. It was resisted because (Fernandes, 2011; Martine and McGranahan, 2014). of the administrative, social and environmental Unusual among federal systems of government, there problems it was thought to create, but denial is strong national recognition of the importance of simply worsened conditions. The negativity peaked cities and this positive vision and commitment has during the most rapid urbanization period between been sustained for over two decades. It has helped 1950 and 1980. Yet it was fuelled by the state’s the country to gain an international reputation for own industrial and agricultural policies. During the innovation in urban design, planning and governance 1960s, explicit measures were taken to stem the since the advent of democracy in 1985. A new process, ranging from roadblocks to fiscal incentives. approach towards cities was signposted by a chapter Regional planning initiatives tried to reduce migratory on urban policy written into the new Constitution of pressures by stimulating activity in outlying regions. 1988 (Fernandes, 2011). The urban agenda follows When migration continued, the government tried many years of popular struggle driven by strong to curb urban growth by restricting or removing social movements and professionals working for the unplanned slums, or depriving them of basic municipalities and universities in housing, planning, services. The transfer of the national capital from Rio architecture, engineering and law. The Constitution de Janeiro to a new location in the interior, Brasilia, also includes the right to housing. in 1960 was also part of an attempt to counter the growth of the south-eastern corridor. With its Previous political regimes consistently tried to resist modernist architecture on a grand scale, it is widely urbanization (Martine and McGranahan, 2014). Their regarded as one of the most utopian cities ever built failure to prepare contributed to severe transport by a dictatorship, but at enormous cost to society and congestion and the infamous favelas that cover the with a legacy of social exclusion. hillsides with overcrowded, unplanned and unsafe settlements. Intense poverty and environmental Failure to prepare for population growth in the hazards persist for these communities, despite established cities damaged their ability to expand in a sustained economic growth. Brazil urbanized earlier sensible, rational manner. It was particularly harmful than many other countries in the South (particularly for the poor majority who had to fend for themselves between 1940 and 1980) and has continued since in tight housing markets with scarce land available. then, albeit at a slower rate. The number of towns They were forced to build makeshift shelters and cities with over 20,000 residents grew from 59 wherever they could on steep slopes, areas prone in 1940 to 867 in 2010. This coincided with growing to flooding and other precarious locations. Some concentration in larger cities. Between 2000 and informal settlements were reasonably central but 2010, one-million-plus cities accounted for 54 per many were on the city outskirts with little prospect cent of urban population growth. This is now slowing of securing public services. Environmental and social down, for three reasons: fertility decline, economic problems have accumulated and dwellings have been difficulties, and industrial dispersal from São Paulo consolidated, leaving a complicated legacy to be towards less-congested regions. addressed through a mixture of upgrading, renewal and redevelopment. 48 | The Evolution of National Urban Policies: A Global Overview Since 1985, the government has emphasized An important principle underlying Brazil’s reform has participation and decentralization. Problems been to recognize the social function of property, are to be resolved through dialogue rather than in contrast to the rights of individual owners to do diktat. Urban reform has moved up the political what they want with their property. Public authorities agenda and is central to making democracy real now have greater power to regulate individual and reducing inequality. A 2001 law called the interests and balance these with collective interests Statute of the City established the foundations when deciding on the most appropriate use of and was followed by the creation of a Ministry of urban land. They have a variety of legal and financial Cities in 2003 (Fernandes, 2011). Bottom-up urban instruments at their disposal to help ensure that the planning and participatory decision-making are public interest is promoted. These include: (i) a new encouraged through various kinds of public forums. approach to master planning which includes public Landowners and other powerful groups have to participation; (ii) social interest zoning (to formalize defend their interests in public rather than behind and protect the land occupied by poor communities); closed doors, and municipalities have to balance (iii) land regularization tools to give households in different considerations more carefully in regulating informal settlements more security, (iv) progressive development. Meanwhile, legal reforms have given property taxes for under-used land, (v) selling of low-income citizens greater rights to the property building rights certificates; (vi) integrated urban they occupy, which will improve their security and operations; and (vii) land value capture mechanisms. assets. Morro do Alemão cable cars, Rio de Janeiro, Brazil © Flickr/Clément Jacquard The Evolution of National Urban Policies: A Global Overview | 49 There is also an emphasis on upgrading informal A separate housing programme was introduced in settlements and improving household security 2009, called Minha Casa Minha Vida (My House, and well-being through a dedicated investment My Life), based on the provision of cheap loans to programme. The Ministry of Cities was charged house builders and households wanting to buy their with designing and implementing a national policy own homes. It was prompted by a desire to revitalize to upgrade informal and precarious settlements in the construction industry after the slump. Despite conjunction with state and municipal governments, difficulties related to urban integration, which which are responsible for its execution. The Growth occur in almost all countries, it aims to address the Acceleration Programme (PAC) was launched in large housing backlog in the country. It has been 2007, with one of its main elements being to constantly reviewed in order to avoid the spread of promote holistic urban upgrading in Brazilian slums, large-scale, low-income housing developments and such as sewerage and water networks, urban a repeat of bad past experiences with mass housing mobility, roads, earth movement, relocation from in the country . The initial target was to build a risk areas, public service facilities, such as day care, million additional homes aimed at low- and middle- schools, health units, leisure and cultural areas. income groups, rather than an exclusive focus on These are aided by a strong social component of low-cost housing. Currently, the target is 3.4 million preparation, post occupation, access to economic houses with a total investment of USD 90 billion, opportunities, community strengthening and (approximately 40 per cent subsidies). environmental awareness. The PAC was extended in 2010 for four years to continue the efforts of the first Participatory budgeting is another feature of phase, in recognition of the scale of the challenges democratic urban management. Civil society is faced (Ministry of Cities, 2012). It recognizes progress directly involved in defining priorities for municipal at municipal level in Brazil and offers a wide grants spending in more than 200 cities. Porto Alegre is the umbrella for applications that are diverse, aiming to most famous, following the election of a mayor from meet specific local needs and opportunities. Its reach the Workers’ Party in 1989 (who later became the today is to approximately 2.5 million families with first Minister of Cities). Part of the municipal budget investments of around USD 20 billion, representing is for local negotiation with social movements and one of the major international slum upgrading citizens. They discuss local needs and priorities in 16 programmes. districts every year. Decentralization has also fostered greater creativity and experimentation in urban design. For example, imaginative new affordable housing is being built in the large Heliopolis favela of São Paulo, along with new public spaces and schools to transform the area. 50 | The Evolution of National Urban Policies: A Global Overview A broader culture of institutional learning and In summary, state-sponsored industrialization in Brazil capacity building is being established by sustained drove a long-term process of urbanization. Persistent state support for independent bodies such as the efforts to resist urban population growth made little Brazilian Institute of Municipal Administration difference, except to create an exclusionary form (IBAM) and the Curitiba Institute of Urban Planning of urbanization. Poor communities were forced to and Research, among many others. The Ministry of occupy precarious locations and live in cramped Cities is also tasked with strengthening municipal conditions without public services. Belated efforts capabilities and a National Council of Cities engages to manage urban growth more strategically and diverse stakeholders in discussing national urban redesign the built environment on more inclusionary policy. principles are inevitably more complicated and costly, implying that social and environmental problems will Of course, Brazil’s urban problems remain formidable; probably persist for several decades to come. Since progressive laws are only the beginning and real the 1990s, urban planning has been taken much change is only possible through massive investments more seriously, and this is reflected in a range of and strong planning capacity. Democratic efficacy important social, environmental, legal, transport and depends on an organized civil society and informed design innovations. The progress since 2001 with the citizens, which are emerging slowly given the legacy. City Statute and later on the creation of the Ministry The capacity of different groups to advocate their of Cities is significant, but is only possible due interests is very variable, as in India. Historic backlogs recent social mobility and the strengthening of local in urban infrastructure and housing are very costly governments’ institutional and planning capacity. to address. The government has been criticized for The impact and effectiveness of these deserve to be providing excessive support for national champions monitored closely by the international community, and insufficient investment in transport and other since there is much to learn from this experience. economic and social infrastructure. Public housing new design in Heliópolis, São Paulo, Brazil © Flickr/Diego BIS The Evolution of National Urban Policies: A Global Overview | 51 OCEANIA MAP AUSTRALIA Oceania First, the government funded a major expansion of urban housing between the 1940s and 1960s Australia to address housing shortages and affordability Australia is another federal system, comprising six problems. The initial focus was on government states and two special territories. It is one of the rental housing but this soon shifted to supporting most urbanized countries in the world and average owner occupation in the suburbs. This coincided incomes are high. Throughout most of the country’s with a rapid increase in car ownership, which made history, the national government avoided having people much more mobile. One of the negative an explicit vision or integrated policy towards cities, consequences was extensive suburban sprawl, which except to fund road and rail connections between the stretched the capacity of municipal infrastructure cities. This is partly because the main responsibilities (especially sewerage systems) and raised concerns for urban planning and development lie with states about the social isolation of non-working spouses and municipalities, and the Constitution protects from amenities and their general access to centrally- their sovereignty. This arrangement is problematic located jobs. Australia’s sprawl differs from that of because most of the big cities are administered by the United States in that it is continuous and highly multiple municipalities and there is typically little regulated, whereas sprawl in the United States is agreement between the state and local municipalities often fragmented, dispersed and lightly regulated. on urban planning issues. Fragmented city This poses different challenges for urban policy. governance structures, persistent political differences and short political cycles mean a lack of continuity for Second, the government introduced a programme key decisions affecting the long-term performance in 1972 with two specific objectives: (i) to alleviate and prospects of cities (Australian Government, concentrations of poverty within the cities by 2011; Albanese, 2013; Kelly, 2013). expanding public housing and (ii) to try and steer settlement growth into new regional centres to There are three minor exceptions to the historic lack of alleviate growth pressures and congestion in exiting an NUP, which were essentially sectoral programmes cities. However, a change of government in 1975 led with an urban emphasis (Burton and Dodson, 2014). 52 | The Evolution of National Urban Policies: A Global Overview to the programme being abandoned before it was This was achieved by setting up an elaborate well established. The third initiative was the Building architecture for institutional alignment across Better Cities programme implemented between key departments and agencies, including special 1991 and 1996. This sought to increase investment committees and reporting arrangements. The NUP in urban infrastructure (both the inner areas and the also made a strong case for an integrated urban suburbs) to improve the efficiency, competitiveness management approach to cities from the top down and sustainability of cities. But once again, a national and the bottom up. political shift led to the programme being abandoned prematurely. The NUP soon began to have an impact on selected project decisions. The biggest effect was probably on Australia’s first broad-based NUP was approved in public transport infrastructure projects, such as the 2011 following a period of extensive research and Gold Coast Rapid Transit light rail, the Regional Rail consultation. It was a response to a series of looming Link in Victoria, the Moreton Bay Rail Link and Perth’s challenges in the major cities, including the escalating City Link. They might not otherwise have proceeded. cost of housing, rising fuel costs, urban sprawl and its Set against this was a concern that the oversight impact on infrastructure networks, transport systems, arrangements were too elaborate and cumbersome road congestion, uneven access to job opportunities to get real traction with metropolitan-level decisions and the natural environment (Australian Government, about planning and development (Burton and 2011). National government involvement was Dodson, 2014). In addition, a change in national vital because of the limited fiscal capacity of the government in 2012 resulted in a loss of momentum states and local government. The NUP also sought and impetus to press forward with the institutional to address the broader issues of managing the arrangements. Some observers fear that a regional big cities better, improving their contribution to development agenda will begin to replace urban national economic performance, and reducing their policy objectives. carbon emissions. It had four pillars - productivity, sustainability, liveability and governance. A novel feature of the NUP was the clear rationale established for the national government to get directly involved in a way that went well beyond that of a single, stand-alone department or spending programme, as in the previous urban initiatives. Coordination went to the heart of the NUP in order to ensure a wide-ranging, sustained impact on mainstream government policy, in particular to ensure that urban infrastructure considerations became a more important feature of the government’s agenda. Gold Coast light rail tram, Australia © Flickr/Simon Morris The Evolution of National Urban Policies: A Global Overview | 53 AFRICA MAP ETHIOPIA KENYA MOROCCO NIGERIA UGANDA MALI GHANA RWANDA MOZAMBIQUE ANGOLA MALAWI ZAMBIA SOUTH AFRICA By 1990, more than a third (37 per cent) of the Africa country’s population lived in urban “slums”, Morocco which were officially regarded as dangerous and Morocco is a middle-income country without undesirable. Lack of political will inhibited the the same level of resources to invest in urban production of low-cost housing and serviced land improvements as Australia, but it has managed to to improve conditions. Instead, the government’s sustain political support for an urban programme main method of dealing with informal settlements for longer. This is partly because it is a kingdom, was through slum clearance/eradication and forced which provides a source of stability and continuity resettlement on the distant urban periphery, which alongside the democratically elected government. was far from jobs, schools and other amenities, and It is also centralized in terms of the responsibilities which eroded the social fabric of these communities. of different tiers of government, so national policies Poor people had no rights to the city and the slums are vital. Under the Constitution, the king appoints were treated as a kind of sickness or pathology, the prime minister from the majority political party. despite the fact that many people had lived in these Under this system, the government has maintained a areas satisfactorily for decades. high level of commitment to improve informal urban settlements for more than a decade. A million people During the 1980s and 1990s, there was considerable have benefited over this period from a policy lauded social unrest and political conflict in Moroccan cities by UN-Habitat as “one of the world’s most successful because of these harsh and authoritarian conditions. and comprehensive slum reduction and improvement During the late 1990s, the ageing king reached an programmes” (quoted in Hertzog et al, 2013, p.13). agreement with the main political parties to stop the forced evictions and to start a process of settlement These informal settlements emerged as a result of the upgrading and improvements in urban infrastructure. rate of urbanization outpacing the growth in urban Over the next few years, a stronger social consensus was employment and housing over the last four or five built through dialogue with the political parties, business decades. The cities were unable to absorb the rural sector, trade unions and other parts of civil society. population displaced by agricultural decline. 54 | The Evolution of National Urban Policies: A Global Overview The new king who came to power in 2000 became Key instruments of the new policy included subsidies steadily more enlightened and progressive. to private developers to provide affordable housing; making public land available for development; The year 2001 was a turning point in which “decent streamlining the planning system, and signing housing” was declared a national priority and a contracts with city authorities to implement the three-year programme was launched to improve and policy effectively. Altogether, between 100,000- integrate slums into the urban fabric, partly through 150,000 affordable housing units have been built resettling people in new housing wherever land each year. The main difficulties faced have been was available. Over this period, there was a steady (i) the resource constraints on government, (ii) the building up of technical capacity, policy instruments sheer scale of need for improved housing, especially and funding to enable implementation. A novel and from households with very low incomes, and secure way of funding urban development was the (iii) the shortage of well-located land, which has introduction in 2001 of a tax on cement to fund required development in more marginal locations. social housing programmes. It was subsequently Some households have remained in situ, especially extended to all building materials to fund other in Casablanca and Rabat, but most communities aspects of urban renewal. have been relocated, raising concerns about the consequences for their cohesion and access to In 2004, this initiative was scaled up with opportunities. There has been less emphasis on in international support into a major new scheme to situ upgrading and development than there probably combat urban poverty, called the “Cities Without should have been. Cooperation between different Slums” programme (Villes Sans Bidonvilles). parts of government has also been strained at times, The programme targeted 250 neighbourhoods and the limited capacity of the municipalities means for upgrading in 25 cities with high levels of that the process of decentralizing responsibilities to unemployment, poor housing and a lack of basic them has been slow. services. The national framework was adapted to local contexts through city-level consultation and the participation of local stakeholders. As a result of such efforts, the number of households living in slums in Morocco has been reduced by between two-thirds and three-quarters over the last two decades, and 43 cities were declared slum-free by 2011 (Hertzog et al, 2013; UN-Habitat, 2014). Observers believe that this was a key factor in insulating Moroccan cities from the uprisings in many Arab countries in 2010 (UN-Habitat, 2014). Housing units in Rabat, Morocco © UN-Habitat The Evolution of National Urban Policies: A Global Overview | 55 Ethiopia There has also been a parallel process of fiscal The Ethiopian Government understands and accepts decentralization to give city authorities more direct the positive arguments for an NUP, and has made control over public spending and to strengthen steady progress on this over a short period. The transparency, local service delivery and democratic current level of urbanization is only 17 per cent, accountability. although 55 per cent of GDP is generated in urban areas and the urban economy is growing very The leadership of the governing party has been going strongly. Consequently, the urban population is through a transition over the last decade or so from growing at approximately 3.6 per cent per annum tough rural revolutionaries who aligned themselves and another 42 million people are expected to mainly with the peasantry and against feudalism. The reside in urban areas by 2050 (UN-Habitat, 2014). younger generation of leaders recognizes the need This is one of the largest absolute increases in Africa to give greater priority to addressing the challenges and makes it vital to prepare for large-scale urban and opportunities of urbanization. The process began population growth. In addition, 79 per cent of the around 1999 when one of their advisers prepared population live in “slums” (UN-Habitat, 2014) so a concept paper outlining a sequence of necessary there is a pressing need to upgrade urban conditions. policy reforms and initiatives. Addis Ababa dominates Ethiopia’s urban system with a population of about three million. All other cities The first stage was to modernize their outdated are much smaller. planning and land legislation (dating back to 1945) and create an enabling environment for more The Federal Democratic Republic of Ethiopia coherent urban development. One of the outcomes was established in 1991 following the fall of the was a new law governing the lease of urban land to militaristic Derg regime that was backed by the Soviet allow for long leases to users (30 years for industry, Union and had come to power by overthrowing 40 years for commercial and 99 years for residential). Haile Selassie in 1974. Since 1991, the government The second priority was to strengthen the technical has pursued a relatively centralized state-led capacity of local, state and national government development model, with restrictions on foreign officials to plan and manage urbanization. Within investment and complete state ownership of the a year, a Master’s degree programme in urban land. Ethiopia also has a relatively autonomous management had been established and 3,000 regional sphere of government (reflecting ethnic students have graduated to date. The third involved differences), and during the 1990s went through a improving the inter-governmental system of process of devolution of powers and functions to fiscal transfers and the ability of local and state local government, especially in Addis Ababa and Dire governments to raise their own revenues. The Dawa. Both cities have been elevated to a similar fourth was to start the process of planning urban level of authority as the nine Ethiopian states, with expansions and infrastructure provision within powers over service delivery, housing and job creation individual cities. (UN-Habitat, 2014). Urban areas have only had functioning local governments since 2000. 56 | The Evolution of National Urban Policies: A Global Overview A National Urban Development Policy Framework The project is very wide-ranging in scope, was approved in 2005. It was intended to be the encompassing 19 different secondary cities. vehicle for implementing the urban component of Since its launch in 2008, these cities have made PASDEP (Accelerated and Sustained Development improvements in planning, budgeting, financial to End Poverty 2005/06-2009/10). However, management, procurement, revenue mobilization limited resources and capacity have hampered and project execution. Cities are managing their its implementation in practice. An Urban Local assets better and improving their delivery of Government Development Project (ULGDP) was services and infrastructure. As they collect more approved in 2008 to address these constraints. The tax revenues, their leeway to borrow and invest ULGDP is funded by the World Bank (approximately further increases. Citizens have also been given more USD 200m to date) and administered through the scope than in the past to influence decisions about Ministry of Works and Urban Development. It offers priority services and infrastructure in their areas. a performance-based matching grant to urban The World Bank estimates that 2.5 million people local governments that meet specific performance living in the 19 participating cities had benefited benchmarks. For the first time, these cities have from the infrastructure investments and upgrades access to transparent and predictable funding if they by 2011, including new roads, drainage systems, meet their performance criteria. water systems, latrines and landfills. In addition, some 95,000 jobs in cobblestone construction and other infrastructure works had been created for local residents through small enterprises. The ULGDP was doubled in size in 2011 in the light of its success. Addis Ababa, Ethiopia © Flickr/neiljs The Evolution of National Urban Policies: A Global Overview | 57 Another important feature of urban policy in Ethiopia The boundary of the extension area is also clearly is the systematic approach to urban expansion. established to prevent incursions. A process then Local government controls the use of land and begins to compensate existing (rural) land users grants leases to different users and developers. for the withdrawal of their access rights and any The process of planning urban expansions begins improvements they have made, such as grazing with a projection of the future population 25 years animals or growing fruit trees. The land is then hence based on the latest census data. Existing progressively serviced and allocated to developers, population densities are assumed to continue in depending on demand. The land lease law requires the extension areas, which yields a total amount of them to cater for all income groups (with different land required for the next 25 years. This is mapped plot sizes) and to cross-subsidize from high- to onto the topography of the city and areas that are low-income households. The bulk infrastructure is unsuitable for development are excluded. Different partly funded by the World Bank under the ULGDP. segments around the perimeter of the city are then It is believed that the process of urban expansion given different levels of priority according to how will be largely self-financing, with the sale of the easy it is to develop them. The first priority area is land leases generating the revenue to pay for the then subject to a grid plan based on one kilometre infrastructure and compensation of existing users. It square blocks. The arterial and core infrastructure is also believed that densification will happen by itself is then superimposed on the grid plan and the depending on the relative advantages of different cost is calculated. Different blocks have different locations. combinations of high- and low-cost housing, economic uses, public facilities and public space. Addis Ababa social housing programme, Ethiopia © Cities Alliance 58 | The Evolution of National Urban Policies: A Global Overview South Africa It resulted in wide-ranging interventions, initially South Africa has lacked real appetite for an explicit to accelerate it in the late nineteenth and early NUP, at least until recently (COGTA, 2013; Turok, twentieth centuries, and then to control it. 2014b). Popular sentiment has been pro-rural and Urbanization was most forcefully resisted under there has been no political vision for the future the apartheid regime at enormous human and of cities. Three years after democracy an Urban social cost. Apartheid also skewed the built form Development Framework was approved by the in distinctive ways, leaving racially-segregated and cabinet in 1997, alongside a rural development fractured cities with dense poverty traps on the framework. It was supposed to have been a strategy outskirts. There is a continuing legacy of inequality, but it was downgraded to a framework, and it informality, infrastructure backlogs and transport lacked an effective political champion to ensure it congestion, which hamper social and economic was implemented. As a result, it was soon ignored progress to this day. by most government departments. Another attempt to introduce a NUP was made in 2009, but it was The political desire of white leaders to restrict rejected by the cabinet on the grounds that rural migration came into increasing conflict with the development was the country’s priority. A new economic imperative for additional low cost labour. draft urban framework is currently being prepared The system of transient migrant labour was a (COGTA, 2013). The climate of opinion is beginning compromise, with black workers forced to bear the to change and the process of preparation has been costs of spatial dislocation. It benefited the mining more inclusive and consultative than in the past, so companies because workers’ families were left in the the chances of success are greater. rural areas to carry on farming, which moderated their wage requirements and housing costs. During Part of the political challenge is the damaging the first half of the twentieth century a series of laws spatial legacy of apartheid and the historic under- were passed that restricted urban development and development of rural areas. Disadvantaged rural denied land and citizenship rights to black people communities are perceived to deserve redress through in urban areas. Their aim was racial separation and special government support. There is also a view containment of an “undesirable tide” of black among many politicians that rural-urban migration urban migration. But mining and industrialization should be discouraged and that cities can “look after were exerting an irresistible pull on rural migration, themselves” following their privileged historic status which stoked political nervousness among the white and their dominant economic position. elite. After the Second World War, these sentiments prevailed and draconian controls were imposed to South Africa urbanized earlier than most African suppress black urbanization in order to sustain white countries owing to a mining boom in the late lifestyles and political domination (Turok, 2014b). nineteenth century that continued through most of the twentieth century. Urbanization has always A suite of new laws began to entrench segregation been controversial and has posed dilemmas for the by compelling people to live in different places government (Turok, 2014b). classified by race. The Evolution of National Urban Policies: A Global Overview | 59 Residential areas were separated by physical barriers Cities remain the dominant centres of economic and laid out in ways that permitted military control activity, but they are not performing to their potential in the event of unrest. The resulting disconnect or reaping the benefits of agglomeration because of between jobs and homes was worsened by their inefficiency and infrastructure constraints (Turok, economic restrictions preventing black people from 2014b). starting enterprises within the cities. Poor public transport meant long and costly journeys to work. The post-1994 democratic government recognizes Strict influx controls criminalized peoples’ efforts the problems of a fragmented urban form, but its to secure livelihoods and created a hostile climate interventions have been too short-term and sector- of surveillance and intimidation. Although the specific to initiate change. Spatial planning has restrictions did not halt urbanization, they slowed it struggled to rebuild its reputation, having been an down, particularly during the height of apartheid in instrument of apartheid. Some pro-poor policies the 1960s and 1970s. (such as the state’s Reconstruction and Development Programme for housing, and the way in which public South African cities now have low population transport is subsidized) have reinforced people’s densities in central and suburban locations and exclusion by subsidizing the cost of living on the high densities on the periphery. This distorted periphery, rather than supporting better location urban form has harmful human and environmental decisions. “Service delivery” has become the consequences. It creates poverty traps on the dominant mantra across government, implying the periphery and favours road-based transport. roll-out of separate housing, electricity, water and other programmes run by different departments. BRT Station in Johannesburg, South Africa © Flickr/AfricanGoals2010 60 | The Evolution of National Urban Policies: A Global Overview They respond where the population is growing, In 2013, the government began work on an which tends to be where there is cheap or leftover Integrated Urban Development Framework (IUDF) land available, rather than planning ahead based on a to follow up the NDP (COGTA, 2013). It is likely to vision of more integrated, functional and productive be wide-ranging in scope, with the fundamental cities. The practical effect has been to perpetuate objectives to promote more inclusive and resilient inherited spatial patterns rather than to reshape growth. The imperative is to achieve accelerated and them (COGTA, 2013). Since 1994, 2.7 million free sustained economic prosperity through increased serviced houses have been constructed, which now employment, more efficient use of resources and accommodate one in five South Africans. This has stronger human capabilities in order to boost social been an important achievement in numerical terms, development. Complementary objectives are to although there are reservations about the location, encourage low carbon forms of growth, ensure quality and standardized character of the housing universal access to basic services and support social units. Official ambivalence about urbanization also inclusion and integration. translates into a reactive and somewhat indifferent approach towards informal settlements and backyard An important proposal contained in it is likely to be shacks. for every city to formulate a long-term growth and development strategy (GDS) with a 30-year time Several government initiatives with a distinctive urban horizon. The GDS will constitute a collective vision dimension were taken between 2009 and 2012 to for the city – a clear sense of direction focused on address particular challenges facing the cities. The realizing its long-term potential. It is likely to propose most important was an attempt by the Treasury to seven policy mechanisms or “levers” to promote consolidate the built-environment responsibilities change. of the public sector at the scale of the urban Basic infrastructure networks. municipalities in the interests of coherent spatial Inclusive economic development. planning and to reduce overlap and confusion with Integrated transport and mobility. other government spheres. Devolving these powers Integrated human settlements. to the metros was intended to make it easier to start Land management. reshaping the urban landscape through strategic Social transformation. interventions in transport, housing and land. A new Urban governance. Urban Settlements Development Grant was created in 2010 to fund municipalities to acquire, service and The IUDF should be submitted to the cabinet towards release land for low-income housing. The country’s the end of 2014 or early in 2015. first National Development Plan (NDP) was published in 2012 with a whole chapter devoted to trying to integrate urban settlements to reduce their costs on households and the economy. The Evolution of National Urban Policies: A Global Overview | 61 Rwanda The Ministry of Infrastructure is in charge of urban Rwanda has an urbanization level of about 19 per planning. Its sectional strategy document identifies cent, and growing quite quickly (UN-Habitat, 2014). four main goals for urban planning and human The 1994 genocide spurred a dramatic increase in settlements: urbanization as people sought refuge and safety 1. to ensure a rational management of the urban in cities. As a result, the number of people living in space; urban “slums” more than doubled between 1995 2. to ensure that the urban supply of land meets and 2000 (UN-Habitat, 2014). The proportion of the urban demand; the urban population living in “slums” is now 68 3. to develop the building industry; per cent and the level of access to basic services is 4. to provide quality public services. relatively low. The Government of Rwanda has tried to address this situation by active measures to extend One of the constraints faced is a shortage of technical service delivery, support house building and devolve expertise in urban planning and development at responsibilities to local government. Its positive all levels of government. There is also a lack of approach to urban areas is in marked contrast to coordination between ministries with responsibilities many other African countries: for urban infrastructure and services. Weak municipal financial systems are another impediment “Development has proceeded to improved urban conditions. International swiftly in Kigali in recent years organizations have assisted with developing master in line with the city’s ambitious plans for the larger cities, rehabilitating water and master plan. Tough zoning and electricity infrastructures, resettling refugees and permit laws are followed to the supporting youth development initiatives. letter, with poor and rich held to equal standards, while city authorities are easily able to clear squatters off public land slated for approved projects … the pace of urban development has been impressive, earning the city a UN-Habitat Scroll of Honour Award in 2008” (UN-Habitat, 2014, p.29). Kigali, Rwanda © UN-Habitat/Julius Mwelu 62 | The Evolution of National Urban Policies: A Global Overview Rwanda is currently formulating an explicit urban Ghana policy, with support from UN-Habitat. This reflects Ghana has made more progress with its NUP, now the strong ambitions of President Paul Kagame to that just over 50 per cent of its population live in boost the country’s prosperity and reduce poverty. urban areas. It exemplifies a country that has begun One aim is to raise the level of urbanization to 35 to recognize the positive arguments for urbanization per cent by 2020. It makes considerable sense to in terms of contributing to economic and social plan ahead of population growth by identifying development. President John Mahama himself has suitable land, planning the street layout and installing made the case for a NUP on the grounds that cities essential infrastructure. There is strong political can drive national economies if they are properly will to support urbanization and ensure that the planned and managed. The rate of urbanization cities are liveable and function well. As indicated continues to be very high, linked to the discovery of above, one of the constraints faced is the lack of oil in the south and rapid economic growth, but is technical and administrative capacity in government. predominantly informal and haphazard. Relevant officials lack expertise to champion a NUP, to coordinate the relevant line function departments After a four-year period of technical analysis, policy and to involve the private sector in a genuine reviews, workshops and extensive domestic and collaborative endeavour. international consultation, the first ever NUP was launched in March 2013, along with a five-year detailed Action Plan. The preparatory work included a high profile advocacy campaign on television and radio to make the case for better-managed urbanization, which had a big impact. The broad aim of the NUP is to promote sustainable, spatially integrated and orderly development of urban settlements, with adequate housing and services, and efficient institutions. Extensive investment in urban infrastructure funded by national government and managed by municipalities is intended to alleviate severe congestion in the big cities and create a sound living and working environment to accelerate the country’s all-round development. There are 12 ambitious policy objectives: Construction of water tunnel in Rusizi, Rwanda © UN-Habitat/Julius Mwelu The Evolution of National Urban Policies: A Global Overview | 63 1. To facilitate balanced redistribution of the urban The NUP was formulated by Ghana’s National population; Development Planning Commission, an advisory 2. To promote a spatially integrated hierarchy of body to the president. Implementation of the urban centres; NUP is supposed to be coordinated by the Urban 3. To promote urban economic development; Development Unit within the Department of Local 4. To improve the environmental quality of urban Government and Rural Development (DLGRD). life; This is a small entity with few resources and little 5. To plan and manage urban growth and sprawl influence over the rest of government. There are more effectively; no institutional mechanisms in place to encourage 6. To ensure efficient urban infrastructure and other government departments to follow the NUP. service delivery; Consequently, it is fair to describe the NUP at 7. To improve access to adequate and affordable present as a coherent policy without an institution housing; to implement it effectively. National and local forums 8. To promote urban safety and security; have been set up to put urban issues on the agenda 9. To strengthen urban governance; of other departments and external stakeholders, 10. To promote climate change adaptation and and the president has insisted that these are taken mitigation; seriously, but it is too soon to comment on their 11. To strengthen applied research in urban and effectiveness. regional development; 12. To expand sources of funding for urban The DLGRD is committed to strengthening the development and for strengthening urban capacity of municipalities to take on much of the financial management. agenda, including forums to engage shack dwellers and other civil society organizations. Accra, Ghana © Flickr/jbdodane 64 | The Evolution of National Urban Policies: A Global Overview Cities Alliance has been assisting to develop the An interesting feature of the NUP is the recognition framework, with financial support from the World given to the role of the informal sector, including Bank and the German donor agency GIZ. Efforts are businesses, markets and settlements. The NUP currently underway to try and assist the DLGRD to talks about “changing the official attitude towards strengthen its relationships with other government informal enterprises from neglect to recognition departments so that the NUP can get more traction and policy support”. Several initiatives address – through the forums mentioned above and informal informal settlements, including a commitment to end arrangements. The prospects for success are unclear. evictions, support in situ upgrading, and introduce new forms of housing finance. This will not be In a related initiative, the World Bank is providing straightforward because of engrained official mind- USD 150 million to fund a five-year programme to sets that these are illegal and unwelcome. An initial improve water and sanitation across low-income priority is to name and number all streets. This should areas in greater Accra. Current conditions are very allow local authorities to collect property taxes and poor - less than one in five households have access generate much-needed revenue to fund improved to waterborne sanitation, which undermines public service delivery. health and social development. The new programme reflects a growing commitment from the government Another important issue concerns the ownership to reverse the deteriorating conditions caused by of land and rights to the use and development of rapid urban growth. land. Traditional systems tend to dominate in Ghana (essentially tribal trusts), which creates considerable The first two objectives of Ghana’s NUP reflect a uncertainty and confusion, particularly around the desire to avoid focusing solely on the primary cities. conversion of undeveloped land to urban uses. The intention is to relieve pressure on Accra and Informal arrangements for allocating land and Kumasi by supporting a broader system of cities, in negotiating changes of use and physical development which secondary cities are supported to reinforce result in many disagreements and disputes. For their role. A key mechanism for doing this is to example, there are frequent evictions of households build the capacity of local government by training in low- and middle-income neighbourhoods whose planners, other officials and local councillors. Finding residents thought they owned the property or had the right balance between investment in the primary rights to occupy it, only to discover that someone and secondary cities will be tricky. else had a more legitimate claim to it. Hence, land is a major obstacle to coherent urban development, but is not adequately addressed by the NUP as yet. The Evolution of National Urban Policies: A Global Overview | 65 Nigeria In practice, implementation of these policies has Nigeria’s experience of NUP is similar in some generally been poor, so the benefits of urban respects. Approximately half of the population live in planning and coordinated investment in infrastructure urban areas and economic growth has been relatively have not been realized. Twenty years later, the strong since the discovery of oil. Yet poverty remains government acknowledged that: high and the proportion of the urban population with access to water and sanitation is very low by “Successive governments international standards (UN-Habitat, 2014). The in Nigeria have shown little country has a long-established urban and regional concern for solving urban planning system, based on colonial experience. A problems. Rather, they have new planning law was introduced in 1992 aimed directed more efforts towards at modernizing the old system and making it promoting agriculture and more relevant to the country’s needs arising from rural development … Despite rapid urban growth and the pressure on land and the fact that Nigeria adopted infrastructure. This was accompanied by a National a robust National Urban Urban Development Policy (NUDP) in the same year, Development Policy and enacted and the establishment of an Urban Development a comprehensive Urban and Bank to finance urban infrastructure and public Regional Planning Act, both in facilities. The broad aim was to improve the planning 1992, there has been generally and management of urbanization so that urban little achievement to show in settlements would foster sustainable economic terms of their implementation. growth and improved living standards. More specific Today, the general apathy objectives included: towards urban planning still persists in the country” (Federal 1. To promote efficient urban development and Republic of Nigeria, 2012, p.4). management; 2. To define the responsibilities of each level of A revised NUDP was introduced in 2012. It government so as to ensure effective plan acknowledged the multiple problems caused by implementation and accountability; unplanned urbanization, including slum housing, 3. To provide appropriate financial mechanisms squalor, unemployment, insecurity, crime, across the three levels of government to environmental degradation, sprawl, congestion implement slum upgrading, urban infrastructure and inadequate public services. It also explicitly and other development projects; recognized the positive arguments for a NUP in 4. To revise and implement sectoral programmes in terms of accelerating national economic growth housing, environment, employment and other and development. In a 100-page document with fields to make them more responsive to the 23 chapters, the NUDP expressed a comprehensive country’s urban problems. new set of goals, objectives and strategies for implementation, monitoring and evaluation. These covered access to land, the urban economy, 66 | The Evolution of National Urban Policies: A Global Overview transport, slum upgrading, the environment, For the last decade, a major new urban programme infrastructure, welfare services, financing, has been underway in Lagos called Eko Atlantic. management information, human capital, security, The idea originated in 2003 when the Lagos State governance, planning, mega-cities, climate Government was searching for a solution to severe change, disaster management and institutions. The coastal erosion and flooding in part of the city, final chapter was the shortest, despite covering attributable to the rising sea level. A feasibility implementation, coordination, monitoring and study suggested reclaiming 10 km2 of land from performance evaluation. the sea on which to build a mixed-use, high-density financial, business and residential district the size of One of the difficulties facing implementation of the Manhattan. The vision is to become the new financial NUDP in Nigeria is the federal system, which limits epicentre of West Africa and to help Lagos State the powers and influence of the national government transform itself into a world megacity. The area is and its policies. To gain traction there need to expected to accommodate 250,000 residents and be arrangements to influence policy-making and 150,000 jobs. Having reclaimed part of the land, development practice at the state level. This has not the work is currently focused on laying the roads happened to any great extent to date. In addition, and other infrastructure. The project is controversial there is an acknowledged shortage of technical because of its high cost, its exclusive, upmarket capacity, resources and information/evidence to character and its adverse impact on the environment undertake effective urban planning (Federal Republic (Lukacs, 2014). of Nigeria, 2012). The approach to land-use planning also remains somewhat outmoded in that it is reactive and control-oriented. There is little tradition of positive planning to make things happen, and the institutional and legal frameworks for promoting urban development are inadequate. Nigeria’s experience in building a new capital city in Abuja contradicts these points to some extent. It was designated in the early 1970s and was built mainly in the 1980s. It originated partly because of the congestion and squalid living conditions in Lagos. It is in a neutral location in the centre of Nigeria in order to reduce ethnic and religious divisions and promote national unity. The logic was similar in several respects to the building of Brasilia. Abuja has become an important centre of government administration and foreign embassies, but the cost has been high and the wider economic benefits have been limited. Lagos, Nigeria © Wikipedia/Jrobin08 The Evolution of National Urban Policies: A Global Overview | 67 Uganda Some work has also been undertaken on suitable Uganda has recently embarked on the process of indicators for target setting, monitoring and formulating a NUP, assisted by Cities Alliance who evaluation. And work on an accompanying financial provided a grant of USD 450,000 to support the strategy is about to commence. The World Bank has endeavour. The government has recognized that introduced an innovative approach to investment the current trajectory of urbanization in the country which allows for experimentation between the is unsustainable, with a level of urbanization of different cities without government guarantees. only 15 per cent in 2010, a current rate of urban Success overall will depend on the strength of growth of 5.6 per cent, and 60 per cent of the urban political will and the effectiveness of the coordination population already living in “slums” (UN-Habitat, mechanisms to align different line department 2014). In addition, “land policies, urban planning functions, given the scattered urban responsibilities and transport constraints, and housing shortages across government (Lall, no date). It is difficult to are choking urbanization and the economy” (Lall, no get parliament to approve an NUP when less than date, p.1). The preparatory work started in 2010 with 10 per cent of the 400 or so Members of Parliament a major diagnostic review to identify more precisely represent urban constituencies. The others tend to the problems and challenges faced in five particular see urban policy as a threat to their areas. This makes cities. This was then extended to all cities and large it vital to have policy champions within government towns. It was supplemented with other analysis, departments and effective arrangements for inter- including an assessment of the suitability of relevant departmental coordination. national legislation. Uganda’s Ministry of Housing, Land and Urban A draft policy was then formulated, followed by Development is responsible for implementing the process of stakeholder consultation through a range NUP. Its main responsibility is physical planning. Over of relevant forums, including a national urban forum, time, it has gradually increased its external profile, municipal forums and local forums. These forums political influence and technical capacity within were introduced in response to the implementation government by introducing practical programmes to difficulties NUPs have faced in other countries, deliver services and infrastructure in selected cities. particularly the lack of buy-in from different parts These are typically funded by international agencies. of government and civil society. A major objective of the forums is to build institutional support and Government policy towards Kampala has been to secure resources to help implement the policy, particularly contentious over the years, partly because both from within the government and from external the opposition party has tended to control the local stakeholders. For example, an important objective of municipality, and the president has been “willing Uganda’s NUP is to transform informal settlements by to interfere in the city’s affairs to secure political mobilizing the energies and local knowledge of shack support. dwellers. 68 | The Evolution of National Urban Policies: A Global Overview Projects have often been delayed or cancelled at One of KCCA’s problems is under-bounding because the behest of groups who promise to deliver votes it covers only about two million people out of four in return” (UN-Habitat, 2014, p.29). The situation million in the metropolitan area. This arose because has been volatile at times. For example, 30 people the influential King of Buganda was one of the major were killed in riots in Kampala in September 2009. landowners affected and the government did not Along with local corruption and lack of resources want to incorporate his land into the city. Traditional (UN-Habitat, 2014), this may have contributed to land ownership is a general challenge for urban the government’s decision to abolish the city council policy and planning throughout Uganda: “the lack of in 2010 and replace it with a new Kampala Capital clear property rights has removed a large proportion City Authority (KCCA), in which accountability is of land from the market. In fact, only 18 per cent of both top-down and bottom-up. KCCA has elected private land is registered and titled” (Lall, no date, councillors answerable to local people and an p.13). The lack of a transparent land market has executive mayor who is answerable to the national complicated the transition out of agriculture and the minister. This has proved very controversial and re-use and redevelopment of urban land for higher serious policy differences between the councillors value activities over time. Summing up, the growth of and the mayor are currently the subject of court Ugandan cities has been largely unplanned, with high action. Accountability upwards sometimes helps rates of extensive physical growth, poor alignment to safeguard the rights of poor communities. For between sectoral and spatial planning, inadequate example, planned demolitions of shack settlements provision of basic services, weak urban managerial have sometimes been stopped by ministers. capacity, a deficient legal framework and significant financial constraints. Developing and implementing a NUP seems vital for the country’s future. Kampala, Uganda © Flickr/Todd Huffman The Evolution of National Urban Policies: A Global Overview | 69 Kenya The NUDP argues for greater attention to be given Kenya’s experience of urban policy has been to the following themes: the urban economy; uneven over time. Part of the problem has been the urban governance and management; national and weakness of local government, with many small county urban planning; land, environment and local authorities lacking the viability and technical climate change; social infrastructure and services; capacity to deliver services and plan the development physical infrastructure and services; urban housing; of their areas. They have been shadowed by state- urban safety and disaster risk management; and run administration. It has been argued that local marginalized and vulnerable groups. government has been kept weak because it tends to be dominated by the political opposition, especially The NUPD is currently being reviewed at national in Nairobi and the other cities (de Visser, 2012). cabinet level. An urban policy is generally recognized As a result, urban areas have been somewhat as being necessary given the country’s poor neglected, despite accommodating about a third performance in urban planning and management. of the population and growing rapidly. Coherent Vision 2030 states the problem clearly. Under urban development has also been hampered by a Housing and Urbanization (5.5): “more than half fragmented approach to planning and inconsistent the population is likely to be residing in urban areas geographical boundaries, with different agencies by 2030 … Kenya’s cities and towns are now poorly applying their own laws, resulting in inconsistencies planned and that must change (with significantly and conflicts. Urban planning is based on outdated increased) capacity for regional and urban and inappropriate approaches inherited from colonial development planning”. The draft NUPD reinforces times and that are routinely used to carry out mass the economic significance of Kenya’s towns and evictions and demolitions in informal settlements. cities. “They account for … around 70 per cent of The planning profession has become irrelevant and GDP”. discredited as a means for securing control, exclusion and enrichment of political and economic elites Local government in Kenya was restructured in 2013. (Ngau, 2013). The old democratically elected municipalities were replaced by boards and administrators appointed Work on a National Urban Development Policy by the 47 new county (regional) governments. The (NUDP) began in 2008 to manage rapid urbanization counties were created from sub-divisions of Kenya’s and unlock the economic potential of cities. A eight former provinces. The intention is that the draft NUDP was released in late 2013. Its focus counties will take on some of the responsibilities is on improving housing, physical infrastructure previously held by the national government – a and municipal services. The response to informal partial form of devolution. County responsibilities settlements is a pragmatic policy of delivering include a range of built environment functions, affordable housing of acceptable quality. It is also including planning, development, roads and intended to harmonize legislation and reduce the public transport, housing, water, sanitation, storm complications of fragmented planning systems. water management, electricity reticulation and environmental conservation. 70 | The Evolution of National Urban Policies: A Global Overview The counties are required by statute to prepare This is not at the discretion (or gift) of the county. It integrated development plans (IDePs). They follow is a mandatory “urban management” responsibility. the electoral cycle and are therefore institutionally Section 39 (1) then states: “A board or town based; focusing on the policy and budgetary aspects committee shall, within the first year of its election, of output-based planning and reporting. The first adopt a single, inclusive strategic plan for the round of IDePs were submitted by the deadline of development of the city or urban area for which it is 30th September 2013. This was acknowledged to responsible”. Three urban programmes currently exist be a very rushed first target after the March 2013 through among others, the World Bank: NAMSIP elections to the new counties. One consequence (for Nairobi); KISIP for slum and squatter upgrading; is that sight is being lost of the “urban agenda”. and KMP, for the 15 major urban locations. KMP Fortunately, the urban legislation provides the has adopted the manta “Making Kenyan Towns framework for redressing the balance towards urban Work”, and seeks to do so by focusing on key planning and management. infrastructure provision (public investment) to support superstructure investment (predominantly, The most crucial function for urban management the private sector) with targeted institution-building is the preparation and review of “urban” IDePs. interventions. An approved NUPD will help reinforce Section 20(1)(c) of the Cities and Urban Areas Act the urban agenda in Kenya. 2011 makes that crystal clear: (a board of a city or municipality – including a town; section 20(2) - shall) formulate and implement an integrated development plan. Construction of infrastructure in Nairobi, Kenya © Kenya Vision 2030 The Evolution of National Urban Policies: A Global Overview | 71 Malawi Malawi embarked on a City Development Strategy Malawi has an urbanization level of only 16 per cent, to manage urbanization with the support of Cities although it is growing fast. Rapid urbanization has Alliance. This sought to develop management led to the growth of new urban centres and poorly strategies for the cities of Blantyre, Lilongwe, serviced informal settlements. The planning and Mzuzu and Zomba. The City Development Strategy management of service delivery by urban authorities also sought to improve the national institutional is deficient, and worsened by the government’s rural framework, and set up a sustainable financial system development focus. Thus, two-thirds of the urban for local government. However, implementation of population live in slums (UN-Habitat, 2014). the strategy has suffered from inadequate technical and financial means. In addition, an Urban Policy Urban and regional planning in Malawi was Framework is under development to help formulate a centralized (as in most post-colonial countries) coherent approach to urban areas. The Urban Policy under the Ministry of Lands, Housing, and Urban and a New Land Bill are expected to ease challenges Development, with four regional offices in Blantyre, in land administration and management but have Zomba, Lilongwe, and Mzuzu. The Commissioner also been criticized for insufficient consultation. for Physical Planning is mandated to carry out all urban and regional planning in Malawi. After 19913,1 Blantyre City Council is the country’s leading urban and regional planning was devolved to local authority in respect of slum upgrading, working authorities in Mzuzu, Lilongwe, and Blantyre as these alongside UN-Habitat in the “Cities Without Slums had planning professionals. The Local Government Programme”, to halve by 2015 the proportion of the Act requires all councils to undertake planning population that lack access to adequate water and activities. Responsibility for infrastructure and sanitation (UN-Habitat, 2014). The council also works service provision is shared between central and local alongside the Ministry of Lands, Housing and Urban government. The central government provides these Development and the Malawi Housing Corporation through various ministries and para-statals. Lack of to provide housing in Blantyre. resources and technical capacity mean that basic services are generally deficient. 3 This coincided with the achievements of the United Kingdom’s Overseas Development Administration’s (now Department for International Development’s) town clerks project (1989-91). It was then rolled into a replicating contribution in urban management, to the WB and United Nations Development Programme-funded Malawi local government reform project (1991-94). One major achievement of the first phase of support was Lilongwe’s conception and formulation of its integrated development strategy; still available in ‘pdf’. Lilongwe City Council; integrated development strategy, 23 August, 1991. By 1993, this experience had been replicated in Blantyre, Zomba and Mzuzu. A theoretical review of city management in the developing world was then set against the Lilongwe experience: McGill, R. Institutional development: A Third World city management perspective. New York: St Martin’s Press (Jan, 1997) and Basingstoke: Macmillan Press (Nov, 1996), 310 pp; republished as City Management in Developing Countries: an Institutional Development Perspective. BookSurge (2007), 310 pp. Lilongwe, Malawi © Flickr/neiljs 72 | The Evolution of National Urban Policies: A Global Overview Zambia The government recognizes the need for an NUP. One Zambia has recently taken tentative steps towards of the first steps taken was to convene a national establishing an urban policy. Lusaka is experiencing conference in April 2013. A discussion document strong growth pressures, resulting in sprawling was produced about six months later that reviewed informal settlements in peri-urban areas, inadequate urban trends and made the case for a NUP to plan services and traffic congestion. Several mining towns and manage urbanization more carefully. This has in the north are also experiencing strong pressures been discussed and approved by the national cabinet, of in-migration in search of livelihoods. This poses with some funds allocated to facilitate the process considerable problems because of the lack of basic of preparing the NUP. UN-Habitat has supported the infrastructure to service the emerging settlements. process with technical advice and initial funding for the discussion paper, and part of the costs for the conference. Lusaka, Zambia © Wikipedia/Brian Dell The Evolution of National Urban Policies: A Global Overview | 73 Mozambique As a result, the private sector tends to dominate UN-Habitat is also trying to prepare the ground for physical investment in construction, service provision an NUP in Mozambique. The country is experiencing and spatial planning, by organizing property rapid urbanization and fast economic growth development in private compounds or gated associated with mineral extraction, including coal developments with their own (off-grid) infrastructure. and natural gas. All land is nationalized, which is an Development elsewhere tends to be informal and advantage in many respects. However, it also means unplanned, resulting in urban fragmentation and that people migrating to the cities may be inclined social segregation – “development in the city, not of to occupy land without authorization since the the city”. Lack of professional capacity in local and government is less aggressive about preventing land national government is a serious problem since all invasions than other types of landowner. graduate planners are absorbed by the private sector. UN-Habitat is seeking to support a Master’s degree The Mozambique Government generally lacks programme in slum upgrading at a local university, capacity in terms of all-round planning and and a large-scale vocational training course in basic infrastructure delivery. Local government is even urban growth management skills, with a target of weaker. There was once a land-use planning system, 600 students per annum. but it has since collapsed. Maputo, Mozambique © Eduardo Feuerhake 74 | The Evolution of National Urban Policies: A Global Overview Angola The process was fast-tracked with the result that Angola also lacks capacity to formulate and the first phase of Kilamba was completed in 2012, implement an NUP. It faces a formidable challenge, with around 20,000 apartments. However, they were particularly in the capital city, Luanda, because of the priced beyond the means of the vast majority of history of urbanization. Several decades of civil war workers in Luanda because average wages are low in the countryside forced millions of people to seek and the middle class remains small. Consequently, refuge in the city. The government considered them most of the new properties remained empty for to be displaced people who would move home after some time until the government saved the prestige the war, so they only catered for temporary services. project by diverting the bulk of its housing budget However, the protracted war meant that most people to subsidize their purchase by mid-level civil servants settled permanently in Luanda. The city was planned (Cain, 2014). It appears that the lack of prior analysis for half a million people, but it currently has five and consultation means that the new housing was million and is growing by 280,000 more each year targeted at the wrong end of the market, so the (5.8 per cent per annum) (UN-Habitat, 2014). There is impact on Luanda’s severe housing and infrastructure widespread poverty and informality, with two-thirds needs has been negligible. Another problem has of urban residents living in informal settlements. been the lack of any transport links between Kilamba Repairing the damage through upgrading and and Luanda. formalization represents an enormous challenge. Lacking internal professional capacity and expertise to undertake large-scale construction schemes, the government’s main response has been to commission a state-owned Chinese company to build seven new towns or satellite cities on the outskirts of its main cities. The government acquired the land and leased it at a major concession, and normal planning and approval procedures were bypassed to expedite progress (Cain, 2014). The most ambitious is Kilamba New City, 30 km from Luanda and designed to accommodate half a million people in 750 apartment blocks. This follows an election pledge made by the president in 2008 to build a million new homes in four years, but without any consultation about how to achieve this. The rationale appears to have been to meet the demand for housing from a growing middle class linked to Angola’s oil-related economic boom. The cost of Kilamba is reported to be USD 3.5 billion, financed by Chinese credit and repaid by the government with crude oil (Redvers, 2012). Kilamba New City in Angola © Wikipedia/Santa Martha The Evolution of National Urban Policies: A Global Overview | 75 Mali Urban planning is also mentioned as part of the Mali in West Africa has a countrywide city country’s Poverty Reduction and Growth Strategy. development strategy elaborated in 2009 by the Development agency-backed programmes include Ministry of Urban Planning (Cities Alliance, 2013). the Social Development of Neighbourhoods: Few further details are available. There are also Sigida Kura Programme and the Bamako Urban Urban Development Plans (UDP), produced during Development Support Programme (PDUB). The the start-up phase of the Urban Development and government is currently seeking UN-Habitat support Decentralization Project in Bamako and the eight to develop a NUP with a focus on housing. regional capitals. These documents are a sound decision-making tool, but little use appears to Most other countries in Africa do not have an explicit have been made of them because of a lack of local NUP. resources and capacity. Bamako, Mali © Wikipedia/Arensond 76 | The Evolution of National Urban Policies: A Global Overview Children in Stone Town, Zanzibar © Helene Fourniere An ongoing construction of water tunnel in Rwanda © UN-Habitat 5 Keys for a new This section synthesizes the evidence and distils the lessons from the preceding analysis for the design and implementation of NUPs. At the outset, it is generation of important to stress again that the challenges and opportunities for NUPs are contextually specific, NUPs so the responses need to vary accordingly. A NUP must be tailored to suit the specific conditions of the country. It clearly matters whether the country is urbanizing slowly or rapidly, what is driving the process (push or pull factors), what the level of prosperity is (and hence the resources available for investment in infrastructure and housing), what the technical and administrative capabilities of local and national institutions are, and what the political stability and dominant vision is. Taking the crucial issue of urban infrastructure investment, for example, the resources available are a function of both the level and the growth rate of GDP per capita. China and Korea were able to invest heavily in infrastructure early on when average incomes were low precisely because they had such a high growth rate. The same should apply to those African countries experiencing high growth rates at present, such as Ethiopia, Angola, Nigeria and Ghana. 78 | The Evolution of National Urban Policies: A Global Overview Despite the great diversity of national circumstances, become more flexible and adapted to the realities of a range of general lessons and principles emerge cities and towns. A Ministry of Cities, such as that from experience around the world. First, introduced in Brazil in 2003, can help to champion governments need to become more sensitive to the urban agenda and hold government departments the threats and opportunities posed by rapid urban to account for ensuring they help rather than hinder growth. The complex challenges faced by cities this cause. NUP also requires stakeholders outside cannot be solved by spatially blind sectoral policies. government to be energized and aligned with the A political process is required to mobilize and sustain new agenda, including financial institutions and active support from across the conventional line property developers. Without high-level political functions of government. The idea of urban policy support and vision, NUP may achieve little in has evolved over time from sectoral programmes, practice because inertia and continuity (business special initiatives and time-limited projects towards as usual) prevail. The links between urban policy a more enduring, collaborative and integrative and economic/industrial policy (via the ministries approach. It means some places being treated of finance and trade and industry) are particularly differently from others because of their distinctive important in securing scarce public resources which needs and potential. This is complicated to organize will help to harness the economic potential of cities and raises concerns about preferential treatment. A and remove the bottlenecks that turn the benefits of political champion for the urban agenda can have dense agglomerations into burdens. different institutional locations, and there is no perfect model. Whatever structure is created has to Second, implementing a NUP means a sustained be able to win support across different departments technical process of building the legal foundations, to ensure that sufficient resources of all kinds are institutional capabilities, administrative procedures mobilized to make a difference. Any structure also and financial instruments to pursue this agenda requires leaders who believe in the urban agenda effectively. It requires complex arrangements to and who are capable of persuading others to support coordinate the various actors and agencies involved, the case – building a coalition of interests. The including different kinds of partnership. Successful argument is likely to be more persuasive if it relates cities cannot be built by governments alone. Intra- to the national economic benefits that will stem from governmental forums can help to hold different better urbanization, rather than meeting basic needs, departments to account for their urban activities, repairing the damage caused by the growth of slums, and to encourage cooperation. A NUP may also or preventing them emerging in future. The latter need aspects of established legislation (such as old argument sometimes encourages the response that land-use planning regulations and laws governing it would be better and more productive to invest in the ownership, use and development of land) to be rural development. altered so that it is more relevant to contemporary conditions and better equipped to deal with growing Shifting the trajectory of urban growth also requires informality in many countries. Unless countries are a sustained, broad-based effort because of inertia benefiting from exceptional revenues generated and vested interests. Housing, transport, basic by commodity exports, or have a robust financial infrastructure and other sectoral policies need to system that enables them to raise long-term capital The Evolution of National Urban Policies: A Global Overview | 79 investments, the high cost of urban infrastructure municipalities to learn from each other, but it cannot is bound to require new mechanisms to generate solve deeper problems such maladministration and financial resources. For example, capturing a share misconduct, or weaknesses in the country’s financial of the rise in land values that accompanies the system that inhibit borrowing for infrastructure development of vacant or under-used land, or investment. the redevelopment of buildings to higher density properties or higher value uses. Fourth, a core objective of NUP is to manage the peripheral expansion of cities in the interests of Third, it is very difficult to implement NUP from encouraging higher density and more integrated the centre because it is remote from the real-world urban development. This is bound to require strategic challenges and opportunities to get things done. planning and coordination across administrative Indeed, the active participation of cities is necessary boundaries in situations where municipalities to achieve many national policy goals. NUP benefits compete against each other for investment or from active cooperation between spheres of taxpayers. Left to themselves, private developers government and the decentralization of selected and public sector housing providers will tend to powers, responsibilities and resources to city-level favour building on lower cost peripheral land. This institutions. Local government is better placed to may contain the cost of housing in the short-term, make a difference because it has superior knowledge, but at the expense of ongoing transport costs perspective and accountability to manage urban for households and capital infrastructure costs development in a rounded and responsive manner. for government. Sprawl can also damage natural City-level institutions can engage more effectively ecosystems, consume precious agricultural land and with local communities, private investors and other destroy scarce biodiversity. Furthermore, unregulated interests to build a common strategic agenda for property development can result in excessive the future of the city. They have greater flexibility to speculative building and property bubbles that go experiment with different approaches and learn from well beyond the level of demand in the real economy experience. City development strategies or integrated and cause subsequent damage to asset values and development plans help to make the difficult confidence. long-term decisions that balance economic, social and environmental considerations, and that align Fifth, promoting higher density, integrated urban plans for the future with government investment development requires more than restrictions on the in infrastructure and other facilities. Locally based expansion of the urban edge or boundary. Positive investments funded by local taxes are likely to efforts are required to renew and upgrade existing result in the best decisions because they reinforce urban infrastructure, promote denser forms of local accountability. Building municipal capabilities development and redevelopment within inner urban is particularly important in Africa given the weak areas, and encourage more intensive use of vacant state of local government in many countries (Cities and under-developed land in well-located areas. Alliance, 2013). NUP can assist with technical advice, This tends to go hand-in-hand with more mixed- dedicated funding streams, training programmes, use development and less segregation of different hands-on practical support, and opportunities for land-uses. This is bound to be a gradual process 80 | The Evolution of National Urban Policies: A Global Overview requiring a shift in the attitudes of developers, and Seventh, a NUP may well involve programmes to for households to recognize the value of convenience strengthen the connectivity and cooperation between in urban living. Higher levels of investment in public cities and towns. The openness of urban economies spaces and public transport systems may also be and their interdependence with surrounding areas required if households are living in smaller homes at requires efficient linkages with other places. This higher neighbourhood densities. improves the functional efficiency of metropolitan regions and assists firms and households in Sixth, it is bound to be more cost-effective and less rural areas to access the markets in urban areas. socially disruptive to plan ahead for urbanization Greater cooperation and connectivity between by preparing the land and laying down the cities also enables industrial specialization and the underground infrastructure in advance, rather than development of distinctive and complementary trying to redevelop or relocate informal settlements strengths, which can help to promote national after they have been established. Understanding economic competitiveness. Cooperation may extend urban growth pressures and taking early action to strengthening the role of secondary cities in the to prevent dysfunctional physical forms emerging national urban system so that they function better is generally better than treating them once they and help to absorb some of pressures on the largest exist. Nevertheless, informal settlements cannot cities. This is highlighted in the India, China and be ignored and should not be condemned and Ghana case studies. eliminated in the name of progress. Considerable pragmatism is required to formulate realistic plans Finally, the sequential process of NUP preparation for their upgrading and improvement. In some seems to make sense and should not be rushed: cases, it may be possible to upgrade in situ. In other diagnosis, policy formulation, implementation and cases, site consolidation and land readjustment monitoring/evaluation. NUPs need to be tailored may be feasible. Elsewhere it may be necessary to the national context and be feasible in terms of to relocate some households in order to reduce available resources, institutional capabilities and residential densities or to limit the risks of landslides political appetites. Understanding the domestic or flooding. The informal sector (housing, economy urbanization trends and dynamics should help and service provision) generally needs to be taken to improve the policy response. Stakeholder more seriously than it currently is in many countries. consultation and involvement should also feature It may be described as a “second-best” environment prominently throughout the process to help NUPs characterized by poverty, insecurity and survival, gain support and traction from the private sector but it fills important gaps in urban society and its and civil society. 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State of African Cities 2014, Nairobi. 86 | The Evolution of National Urban Policies: A Global Overview The Evolution of National Urban Policies A Global Overview At the beginning of the twenty-first century, urbanization is Achieving sustainable urban development requires that undeniably a process that is increasing at a rapid rate with stakeholders, through a participatory process, foster urban ever more people moving to urban areas to improve their policies that promote more compact, socially inclusive, better lives. The way in which countries have developed policies to integrated and connected cities that are resilient to climate manage this process is the subject of this publication. change. Countries from different regions around the world have been This publication explains some of the elements that are selected to illustrate how context and history can shape an essential to achieving sustainable urban development. urban policy. The aim has been to synthesize the different Historical, contemporary and forward looking perspectives experiences into useful principles and lessons from which are provided with concrete examples and good lessons learnt others can benefit. for all urban policy actors. All governments should aim to develop sustainable, stable This publication will be very useful for urban stakeholders and functioning cities that can support the millions of people working on urban policies in the public and private sectors, who gravitate towards them. civil society organisations, development agencies, research and capacity development institutions. HS/005/15E ISBN Number (Series): 978-92-1-133366-4 ISBN Number (Volume): 978-92-1-132640-6 United Nations Human Settlements Programme P.O. Box 30030, Nairobi 00100, KENYA Telephone: +254-20-7623120, Fax: +254-20-7624266/7 Email: infohabitat@unhabitat.org