IN-PLAN PRACTICE
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The development or revision of any (new) planning instrument needs to be well prepared. To set up an integrated planning process it is crucial to get a clear picture of the goals, timeline and the stakeholders to be involved. Integrated planning requires including the perspectives of experts from various sectors and cross-departmental collaboration will be mandatory in most cases. The development of reliable and feasible planning documents also requires the participation and support of the people who will be ultimately affected by these plans. The forward-looking coordination of various stakeholder groups according to their respective roles is therefore a core element in setting up an integrated planning process.
Leadership and formal commitment of political decision makers is a crucial precondition for the successful development and implementation of any (spatial) plan. Before you address the key decision makers you need to determine the right timing for the planning process. Even if the technical situation requires immediate action, current political processes may impede rapid realisation. Upcoming elections could slow down or accelerate political decision making. Current media presence of climate change issues could create a window of opportunity. Harmonisation with the development of other related activities could create leverage for advocating the plan on the political level.
When the timing is right, make sure to provide the key political leaders with a short informative briefing on the benefits of the plan and the resources needed. Inform politicians about the relevance of connecting energy, climate, mobility and spatial planning. Key arguments for a political audience may include:
The decision in favour of the planning process should be recorded in writing and, in addition to the political will, should also include the allocation of sufficient resources (personnel, budget, time), as well as the further involvement of the political decision-makers until the final decision on the plan and the financial support for its implementation. Political authorities can further contribute to the implementation of effective climate measures by ensuring the integration of the plan’s overall vision with other actions and initiatives (horizontal and vertical integration).
All European countries are obliged to draw up National Energy and Climate Plans (NECPs) in order to achieve the EU’s common climate targets. These plans are based on political commitment and cover measures for decarbonisation, energy efficiency, energy security and the promotion of renewable energies. A good and valid NECP can serve as a basis for argumentation for the integration of climate measures into spatial planning.
For further information see Sweden’s Integrated National Energy and Climate Plan.
In parallel to securing political commitment for the plan, it is important to establish clarity on who is responsible for the planning process, who will be the addressees in terms of implementation of the plan, and how the authorities can be included in the process to ensure their backing all the way up to implementation. Even when the process lead is clearly defined, e.g., by the legislative framework that regulates the development of a specific plan, it will be valuable to consider the role of other partners in the planning process. In terms of vertical integration, it could be vital to include different administrative levels, e.g., the national, regional or neighbourhood levels, in strategic decisions on the planning process. In terms of horizontal integration, it could be practical to establish inter-departmental cooperation depending on the municipal structures and the topics to be addressed in the plan. The support of other administrative levels or departments could also be needed to initiate or set up the planning process. All these stakeholders should be taken into consideration when setting up the project management unit that could be interdisciplinary, inter-departmental and/or include different administrative levels.
At the same time, a steering committee with all relevant decision makers should be established. The composition of the committee also takes into account the relevant administrative levels and sectors. The steering committee will be regularly informed about the planning process and involved in key moments, where ground-breaking decisions are made. The continuous involvement of the political decision makers ensures their support of the process, their final agreement with the plan and their further commitment to implementation.
One of the first tasks of the management unit is to determine if external assistance will be needed for the planning process. A first estimate of human resources and know-how required for the task is compared to the human resources and expertise that is available within the involved administrative departments. If a gap is identified, external consultants could be hired to support the process or individual tasks.
Many municipalities fully rely on external spatial planning offices for developing and writing up new or updated spatial plans, others seek external support for special tasks like data collection or facilitation of participatory processes. For the development of a spatial plan that includes aspects of energy, climate and mobility planning, the tender should clearly address consultants with adequate experience, e.g. in climate mitigation and adaptation planning, mobility planning and energy planning. The tender could also address a consortium of consultants that would cover all these requirements. The tasks for the consultant should be clearly defined along with the expected results and the timeline. Note that the involvement of external consultants can also be used to build capacity within the municipality.
The “Powering Aberdeen: Aberdeen’s Sustainable Energy Action Plan” seeks to improve energy sustainability and reduce CO2 emissions through renewable energy, efficiency, and urban sustainability. Effective leadership and strong governance, led by the Aberdeen city council with stakeholder participation, are crucial. A steering group and sub-groups will oversee the plan. This plan serves as a strategy and framework for creating an energy-efficient, eco-friendly city.
For further information see Powering Aberdeen.
Based on the given framework of available time and financial resources, the project management unit sets up a detailed work plan and process design. The IN-PLAN Practice provides an overview of how a generic planning process could look like, encompassing setting up the process, conducting the initial baseline assessment, defining a common vision and goals, drafting the actual plan, and ultimately implementing and monitoring it. Each of these planning steps could be a work package in the process design (among others if needed). Each work package will have several specific tasks to be conducted until a defined deadline. Each work package and task should also have a designated stakeholder who will be responsible for its completion. These could be stakeholders from the management unit but also external consultants who have been contracted to support the planning process with their expertise.
There might be interim results to be presented to the steering committee to monitor the planning process and to give guidance for the next steps. Dates for meetings with the steering committee should be fixed as early as possible since political decision-makers are normally very busy. There might be other key meetings that could be scheduled already, like inter-departmental workshops or events for public participation. A regular meeting schedule for the management unit could be established. Beside these key events, certain deliverables or milestones could be determined to further structure the process and give some indicators for process monitoring.
For an integrated planning process, the coordination with other departments and sectoral experts will be crucial. Sufficient time should be allocated for joint workshops, exchange and mutual revision of interim results. Before the plan is submitted for adoption by the municipal council, ample time should be allocated for political coordination to ensure consensus on the final product.
A GANTT chart visually maps out the sequence of activities within a project schedule using horizontal bars. The charts illustrate the beginning and end dates of project components, while also showcasing how tasks are linked together. Gantt charts can be used for planning complex processes but also to keep track of progress.
For further information see What is a Gantt Chart?.
The sustainable transformation of living environments necessitates the active contribution of all societal members. Broad stakeholder engagement is therefore essential for the successful creation and implementation of an integrated spatial plan encompassing climate, energy, and mobility planning.
There are several benefits of stakeholder participation in all stages of a planning process:
To ensure effective stakeholder involvement, start with comprehensive stakeholder mapping. Convene with your team to identify relevant stakeholder groups for the plan’s development and implementation. Discuss each group’s specific role, how they relate to the endeavour, and the best methods to include them in the process. Consider stakeholders from various spatial layers and sectors, including the private sector, academia, civil society (such as NGOs, associations, and residents), the public sector, and other institutions. Determine if stakeholders active on regional, national, or international levels need to be included.
Next, assess how each group is affected by the plan and how they can influence its implementation. Identify the resources and expertise each stakeholder possesses that could be beneficial and evaluate the influence and potential conflicting interests among stakeholder groups.
Once you have a thorough understanding of the stakeholders and their roles, define how to include them in the process. Determine the appropriate level of involvement for each stakeholder, ranging from mere information sharing to empowering them to take an active role in the transformation process. Recognise that stakeholders will have varying resources and capacities for participation and may require different tools and formats for effective involvement. If you have little experience with participatory formats, consider seeking external assistance to set up and implement the stakeholder engagement plan.
The Power-Interest Matrix is a tool used in project management to classify stakeholders according to their level of influence over the project and their level of interest in it. This matrix assists in developing targeted communication and engagement strategies tailored to the specific needs and expectations of stakeholders.
For further information see Enhancing Stakeholder Engagement through the Power/Interest Matrix.
A risk assessment identifies and analyses potential risks that could affect the success of a project or a process, focusing on the probability of occurrence and the impact if they do happen. While risks cannot be entirely avoided, risk management methods used in project management, such as the project risk assessment matrix, help evaluate potential damages and enhance the likelihood of successful project and process completion. The assessment process involves systematically identifying, assessing, and controlling hazards, determining both quantitative and qualitative values of risks, and measuring the probability of these risks becoming reality.
Various types of risks can arise, varying depending on the nature of the project. Your experience from previous projects will provide valuable insights into potential risks. These risks can be categorised as internal or external. Common risks include financial risks, schedule delays, unsatisfactory performance or implementation, poor management decisions, legal liabilities, and environmental changes. Some risk assessment approaches also consider “positive risks” or opportunities. It is important to remember that risks are often interdependent and can influence each other.
Risk assessment should be conducted at the beginning of a project. Start with a risk identification session involving the entire project team, following every step along the project timeline. Reviewing similar past projects can help ensure that no potential risks are missed. Clearly state each risk with its cause, nature, and potential impact to understand its scope.
Once all potential risks are identified, analyse their relevance to your project. Determine each risk’s time frame, probability, factors, and impact: how likely is the risk to occur, and what would be the scale of its impact? The more likely and impactful the risk, the more seriously it must be taken. Develop a risk management strategy outlining the activities you will undertake to address each risk. Preventive measures may include avoidance, mitigation, transfer, or acceptance. The choice of strategy depends on the risk’s nature and the project’s capacity to manage it.
As your project progresses, schedule periodic meetings to monitor risks, take action, or adapt the management strategies as necessary. This ensures the risk management process remains dynamic and effective over time.
A risk matrix is used to define the level of risk by considering the category of likelihood against the category of consequence severity. This is a simple mechanism to increase visibility of risks and assist management decision making.
For further information see Risk matrix.
