Checklist for the PLAN stage

The PLAN stage makes the prioritised “routes” operational and defines them more narrowly, by setting targets and milestones, allocating responsibilities and creating a portfolio of projects. It also establishes an urban platform for information and knowledge exchange, both internally and externally. The key question at this stage is “What are appropriate action plans or projects for implementing the strategies and policies agreed upon in the previous stage?”.

During the PLAN stage, a sequence of ten TO DO’s leads to validated, ranked and operationalised action plans or projects, and topics for subcontracting. At first, milestones and concrete targets have to be defined, and responsibilities for achieving them have to be clearly delegated to specific departments or staff within the city administration (“who does what?”). Subsequently, the state-of-the-art of relevant and applicable approaches, methods and technologies, should be investigated. Usually this TO DO is initiated or led by the city administration, but it can be outsourced to a consultant, a RTO, or a university. Following, stakeholders should be consulted on the contemplated solutions in its broadest sense (approaches, methods and technologies). It might be needed to re-engage the stakeholders, as some time might have elapsed since they were consulted in the DECIDE & COMMIT stage.

After that, more spatial detail is added to the envisaged actions by analysing where in the built environment the problems are most pressing and where the potential impact of solutions could be maximized. Based on this new information, a preliminary long list of relevant on-going and possible new projects in transport, energy efficiency and RES, infrastructures and ICT, can be drafted, together with key stakeholders, for instance as included in the Sustainable Energy and Climate Actions Plans developed under the Covenant of Mayors for Climate & Energy. Consecutively, the investment and operational costs are worked out in more detail, and preferred sources of and models for finance and funding are chosen.

Again, projects on the preliminary long list are ranked according to their viability and the most viable and mature projects are selected, usually after a couple of reiterations. Successive political approval of the selected projects and explicit commitment to them by the key stakeholders, ensure that the proposed projects are sufficiently supported. One of the last steps, is the monitoring of progress during implementation which must be prepared by considering performance indicators, covering also the wider impact of the proposed project for society at large. Lastly, procurement and contracting can be prepared by selecting the main topics and/or preferred public-private partnerships for realising the aims of the project or action plan.

Eventually, by following these steps, the PLAN stage produces: validated, ranked and operationalised action plans or projects for smart and sustainable cities and low energy districts, plus the main topics  and preconditions for realisation of the plans through (sub)contracting and procurement, or own contributions of the city and its partners. 

Commonly used tools during the PLAN stage are: 1) SEAP and SECAP (to be validated by Joint Research Centre); 2) European Energy Award method to define a portfolio of projects; 3) open sources;4) self-assessment tools (i.e. NESTA Scotland methodology); 5) dashboards; 6) CONCERTO method for co-design; 7) SINFONIA method for charting co-benefits; 8) CIVITAS model process for SUMPs; 9) ESPRESSO maturity check; 10) traditional project management tools as CEM, PRINCE methods for project management; 11) workshops; 12) maps and 3D visualisations; and 13) assignments to consultants and researchers. Relevant standards are ISO 37106 Multi-sectorial Strategies for Cities, ISO 3712X Targets with Indicators, ISO 3715X Infrastructure, ISO 37101 Quality Management Systems Approach, CityKeys KPI framework.

Question

What are appropriate action plans or projects for implementing the strategies and policies agreed upon in the previous stage?