(cc)2023 KOLDO URRUTIA AZCONA (cc by-nc 4.0)
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TITLE OF THE PHD THESIS
In eg a ion o ene gy and u ban planning dynamics o ci ies’ clima e-neu ali y
WRITTEN BY KOLDO URRUTIA AZCONA
A chi ec and MSc Enginee ing in Sus ainable Ci ies
Resea che a TECNALIA Resea ch & Inno a ion
PHD ADDITIONAL MENTIONS
In e na ional PhD (acco ding o UPV-EHU equi emen s)
Indus ial PhD (acco ding o UPV-EHU equi emen s)
Thesis by published pape s (acco ding o Chap e XI o UPV-EHU equi emen s)
PhD DIRECTORS
PhD Pa icia Molina-Cos a 1
TECNALIA, Di ec o o Ci y, Te i o y, and En i onmen A ea
PhD I án Flo es-Abascal 2
Uni e si y o he Basque Coun y UPV-EHU, P o esso a he Facul y o Enginee ing
INSTITUTIONS INVOLVED
1 TECNALIA, Basque Resea ch and Technology Alliance (BRTA), Pa que Tecnológico de Vizcaya, Geldo
s ee , Edi .700, 48160 De io, Spain.
2 Uni e si y o he Basque Coun y, ENEDI Resea ch G oup, Alda. U quijo s/n, 48013 Bilbao, Spain.
In e na ional esea ch s ay a AAU Aalbo g Uni e si y, Depa men o Planning, Aalbo g Uni e si y, AC
Meye s Vænge 15, 2450 Copenhagen, Denma k
PhD EVALUATORS
PhD A hena Yiannakou
A is o le Uni e si y o Thessaloniki, P o esso a he School o Spa ial Planning and De elopmen
PhD Da id Maya-D ysdale
Aalbo g Uni e si y, Assis an P o esso a he Sus ainable Ene gy Planning Resea ch G oup
PhD I xa o La asa
Uni e si y o he Basque Coun y UPV-EHU, P o esso a he School o A chi ec u e
DISSERTATION SUBMISSION
Oc obe 2022
CITATION
K. U u ia-Azcona, In eg a ion o ene gy and u ban planning dynamics o ci ies’ clima e-neu ali y. Bilbao: Uni-
e si y o he Basque Coun y, 2022.
CORRESPONDENCE
koldo.u u ia@ ecnalia.com / ku u [email protected]
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PhD
P e ace
This esea ch wo k in ends o espond o he clima e eme gency he plane is su e -
ing, ocusing on he leading ole o ci ies as he main nodes o a ac ion o ac i i y, con-
sump ion, and consequen ly, gene a ion o emissions. The e o e, his hesis is add essed
o p o essionals and esea che s in he ield o u ban planning, especially o hose espon-
sible o ci y managemen who can in luence clima e and ene gy ansi ion, hoping ha
hey can ind suppo and inspi a ion in such a complex ask.
My eeling is ha a hesis mus espond o pe sonal mo i a ion, as well as a p o es-
sional one, bo h o ind enjoymen along he way and o be able o b ing i o ui ion. In
my case, I con ess ha bo h mo i a ions a e connec ed. On he one hand, e e since I be-
came awa e, I ha e el a s ong a ac ion o na u e, o e e y hing i o e ed and augh
me as a child, e en ha unique sensa ion o simul aneous connec ion and disconnec ion
ha I alue so much oday. A di e en s ages, Bu gue e pushed me o lo e he , Gua e-
mala o espec he , and Visby o p o ec he , al eady awa e ha one mus decisi ely p o-
ec wha one lo es.
And on he o he hand, I am d i en by my ascina ion o ci ies, o ha ib an space
o human connec ion, whe e e e y hing happens, e e y hing connec s. In each walk I am
dis ac ed by wha I see, unconsciously, in e hinking i s ope a ion; om he cu b o a
sidewalk o he u ban me abolism as a whole, always ying o ind a model ha is mo e
consis en wi h he needs o i s ci izens and, a he same ime, mo e balanced in ha une-
qual ela ionship wi h i s na u al en i onmen . I anyone was a eenage in he 90s, you
can guess he in luence ha he SimCi y
1
saga le in my subconscious. Fo una ely, I am
lucky enough o dedica e mysel p o essionally o he di e en ans o ma ion p ocesses
o ou ci ies and, al hough some imes Ou look, Teams, o “ he clien ” o men us, i is a luck
ha we canno o ge o miss ou on.
As a esul o hese mo i a ions, I decided o emba k on his jou ney, we could say
ha i is one mo e miles one in li e (in Lean ocabula y), which hanks o many I ha e
been able o achie e.
Fi s o all, I would like o hank my di ec o s, Pa icia and I án, o hei ision,
expe ience, and suppo in a p ocess ha hey su e ed hemsel es. When jumping, I was
no awa e o whe e exac ly I was going; a olle coas e wi h i s achie emen s and i s mo-
men s o disappoin men , and hey managed o guide me om beginning o end o he
ip wi h success. Likewise, I would like o hank Tecnalia and he UPV-EHU o allowing
me o de end his hesis, as well as o he eam ha has con ibu ed o i s de elopmen . To
F an and Pa icia, as my p o essional men o s, and o Ca olina, Elena, Pablo, Pa xi, Iñigo,
Mau i, Alessand a, Maide , Isabel, Olaia, Sil ia, An onio, Mikel, and Nacho, o you p o-
essional excellence and pe sonal quali y. Thank you e y much, eam!
On he o he hand, my pa icipa ion in he Sma EnCi y, A elie , and Ne Ze oCi ies
p ojec s has been decisi e in ha ing he necessa y scien i ic suppo , bo h a a heo e ical
le el and in e ms o he applicabili y o he esea ch ac i i ies. Thanks o he Eu opean
Commission o inancing and belie ing in his b anch o knowledge as a ec o ha p o-
ides well-being and esponds o he needs o ou socie y; and o he conso iums o hese
p ojec s, wi h an incompa able in e disciplina y scien i ic po en ial. I would like o men-
ion Da e, Simon, Pe Alex, and Pe e , o he in e es ing and ui ul exchange o e lec-
ions on he subjec , as well as he e iewe s o ou ou a icles, because hey ha e un-
doub edly con ibu ed o he imp o emen o he inal esul .
1
SimCi y is a ideo game saga ha enables he c ea ion, managemen , and e olu ion o ci ies, de eloped by Maxis, cu en ly
Elec onic A s. The i s game in he saga was eleased on he ma ke in 1989, wi h a se ies o la e e sions going on un il 2015.
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I would also like o hank all he ci ies
2
ha ha e shown in e es in his wo k, and
ha allowed his esea ch o e ol e, be es ed, and be alida ed. And especially o Vi o ia-
Gas eiz and Sonde bo g, wo lagship ci ies in e ms o sus ainabili y. Hope ully, we can
con inue collabo a ing in he implemen a ion o he goals se .
And inally, I would like o show my mos pe sonal hanks.
To AAU Copenhagen, o educa ing me on he pa h o u ban sus ainabili y, o wel-
coming me in wo e y di e en s ages, and o allowing me o each wha o he s ins illed
in me yea s ago.
To Robe , Ing id, Joel, and especially Kalle, o o ging sus ainabili y and espec o
na u e in he dep hs o my cha ac e .
To Sidsel and Maide , o be ing on me wi hou hesi a ion.
To Jose Ignacio, o being an inexhaus ible and always eady sou ce o u ban plan-
ning knowledge.
To my pa en s, Luz and Jose Luis, o hei uncondi ional suppo and o gi ing me
he ools o g ow.
To C is ina, o being he as she is and o always being he e.
To my hos ci ies; o Copenhagen, o being a sou ce o inspi a ion a all le els; o
Bilbao, o eaching me ha ansi ion is possible; and o Pamplona, o ha excep ional
quali y o li e ha I y o squeeze e e y day.
Finally, I would like o dedica e his wo k o K is, my pa ne in a p ojec ha ans-
cends his hesis; o being my soulma e, o you pe manen smile and uncondi ional
suppo , and o being my inspi a ion and e e ence in li e. And o C is, Amaia, and Ma -
in, o being he ligh o all my days.
I has been a pleasu e o de elop and w i e his esea ch. Hope ully, his small scien-
i ic con ibu ion will be in e es ing and inspi ing o he ield dedica ed o u ban plan-
ning. I hope ha o he esea che s can ind suppo he e o con inue de eloping his line,
which is so necessa y o he quali y o li e in ou ci ies and he balance o ou plane as a
whole.
2
Vi o ia-Gas eiz, Bilbao and San u zi (ES), Ta u (EE), Copenhagen (DK) and Sonde bo g (DK), Lecce (IT), Aseno g ad (BG),
Ams e dam (NL), Budapes (HU), B a isla a (SK), K akow (PL), Riga (LV), Ma osinhos (PT). Sma EnCi y Ne wo k membe s, wi h
cu en ly 67 Eu opean ci ies.
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PhD
P e acio
Es e abajo de in es igación a a de da espues a a la eme gencia climá ica que
su e el plane a en su conjun o, poniendo el oco en el papel p o agonis a de las ciudades,
como p incipales nodos de a acción de ac i idad, consumo y, en consecuencia, gene a-
ción de emisiones noci as. Po an o, es a esis es á di igida a p o esionales e in es igado-
es del ámbi o de la plani icación u bana y, especialmen e, a aquellos esponsables de la
ges ión de la ciudad que pueden incidi en su ansición climá ica y ene gé ica, espe ando
que puedan encon a sopo e e inspi ación en una a ea de an a complejidad.
Mi sensación es que una esis debe esponde a una mo i ación pe sonal, además de
p o esional, an o pa a encon a el dis u e en el camino como pa a pode la lle a a buen
pue o. En mi caso, con ieso que ambas mo i aciones es án conec adas. Po un lado, desde
que engo conciencia he sen ido una a acción ue e po la na u aleza, po odo lo que me
o eció y enseñó de pequeño, has a esa sensación única de conexión y desconexión simul-
ánea que an o alo o hoy. En dis in as e apas, Bu gue e me empujó a que e la, Gua e-
mala a espe a la, y Visby a p o ege la, ya conscien e de que uno iene que p o ege con
decisión aquello que ama.
Y po o o lado me impulsa mi ascinación po la ciudad, po ese espacio de conexión
humana, ib an e, donde odo pasa, odo se conec a. En cada paseo me dis aigo con lo
que eo, de mane a inconscien e, en epensa su uncionamien o; desde el bo dillo de una
ace a has a el me abolismo u bano en su conjun o, a ando de encon a siemp e un mo-
delo más cohe en e con las necesidades de sus ciudadanos y, al mismo iempo, más equi-
lib ado en esa elación desigual con su en o no na u al. Si alguien ue adolescen e en los
90, pod á adi ina la mella que la saga SimCi y
3
dejó en mi subconscien e. A o unada-
men e, engo la sue e de dedica me p o esionalmen e a los dis in os p ocesos de ans-
o mación de nues as ciudades y, aunque a eces Ou look, Teams o “el clien e” nos a o -
men en, es una sue e que no podemos ol ida ni desap o echa .
F u o de es as mo i aciones decidí emba ca me en es e iaje, pod íamos deci que
un hi o más en la ida (en ocabula io Lean), y que g acias a muchos y muchas he sido
capaz de alcanza .
En p ime luga , me gus a ía ag adece a mis di ec o es, Pa icia e I án, po su isión,
expe iencia y apoyo en un p oceso que ellos mismos padecie on. Al sal a , uno no es cons-
cien e de dónde se me e; una mon aña usa con sus log os y sus momen os de desazón, y
ellos han conseguido guia me de p incipio a in del iaje con acie o. De igual mane a,
quie o ag adece a Tecnalia y a la UPV-EHU po pe mi i me de ende es a esis, así como
al equipo que ha con ibuido a su desa ollo. A F an y Pa icia, como mis men o es p o-
esionales, y a Ca olina, Elena, Pablo, Pa xi, Iñigo, Mau i, Alessand a, Maide , Isabel,
Olaia, Sil ia, An onio, Mikel y Nacho, po ues a excelencia p o esional y calidad pe so-
nal, ¡muchísimas g acias equipo!
Po o o lado, mi pa icipación en los p oyec os Sma EnCi y, A elie , y Ne Ze oCi ies
ha sido decisi a pa a con a con el sopo e cien í ico necesa io, an o a ni el eó ico como
de aplicabilidad de las ac i idades de in es igación. G acias a la Comisión Eu opea po
inancia y c ee en es a ama de conocimien o como un ec o que apo a bienes a y
espues a a las necesidades de nues a sociedad; y a los conso cios de es os p oyec os, con
un po encial cien í ico in e disciplina incompa able. Me gus a ía menciona a Da e, Si-
3
SimCi y es una saga de ideojuegos que pe mi e la c eación, ges ión y e olución de ciudades, desa ollado po Maxis, ac ualmen e
Elec onic A s. El p ime juego de la saga salió al me cado en 1989, con un eco ido de e siones pos e io es que llega has a 2015.
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mon, Pe Alex y Pe e , po el in e esan e y uc í e o in e cambio de e lexiones en la e-
má ica, así como a los e iso es de nues os cua o a ículos, po que indudablemen e han
con ibuido a la mejo a del esul ado inal.
También me gus a ía ag adece a odas las ciudades que han mos ado in e és en es e
abajo
4
, y que han pe mi ido e oluciona , es a y alida es a in es igación. Y de mane a
especial a Vi o ia-Gas eiz y Sonde bo g, dos ciudades ejemplo y bande a en ma e ia de
sos enibilidad. Ojalá podamos segui colabo ando en la implemen ación de las me as i-
jadas.
Y pa a inaliza , me gus a ía mos a mi ag adecimien o más pe sonal.
A AAU Copenhagen, po educa me en el camino de la sos enibilidad u bana, po
acoge me en dos e apas an dis in as, y po da me la opo unidad de enseña lo que o os
en su día me inculca on.
A Robe , Ing id, Joel, y especialmen e a Kalle, po inculca me la sos enibilidad y el
espe o a la na u aleza en lo más p o undo de mi ca ác e .
A Sidsel y Maide , po apos a po mí sin duda .
A Jose Ignacio, po se una uen e inago able y siemp e dispues a de sabe u banís-
ico.
A mis pad es, Luz y Jose Luis, po su apoyo sin condiciones, y po da me las he a-
mien as pa a c ece .
A C is ina, po se como es y po es a siemp e ahí.
A mis ciudades de acogida; a Copenhague, po se uen e de inspi ación a odos los
ni eles; a Bilbao, po enseña me que la ansición es posible; y a Pamplona, po esa calidad
de ida excepcional que a o de exp imi cada día.
Po úl imo, me gus a ía dedica es e abajo a K is, acompañan e en un p oyec o que
asciende es a esis; po se mi alma gemela, po u son isa pe manen e y apoyo incondi-
cional, po se mi inspi ación y e e en e en la ida. Y a C is, Amaia y Ma ín, po se la
luz de odos mis días.
Ha sido un gus o desa olla y edac a es a in es igación. Ojalá que es e pequeño
apo e cien í ico esul e in e esan e e inspi ado pa a el campo dedicado a la plani icación
u bana. Tengo la espe anza de que o os in es igado es puedan apoya se aquí pa a con-
inua con el desa ollo de es a línea, an necesa ia pa a la calidad de ida de nues as
ciudades y el equilib io de nues o plane a en su conjun o.
4
Vi o ia-Gas eiz, Bilbao y San u zi (ES), Ta u (EE), Copenhagen y Sonde bo g (DK), Lecce (IT), Aseno g ad (BG), Ams e dam
(NL), Budapes (HU), B a isla a (SK), K akow (PL), Riga (LV), Ma osinhos (PT). Ciudades de la Sma EnCi y Ne wo k; 67 ciuades
eu opeas a sep iemb e de 2022.
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PhD
Abs ac
Socie y is acing he clima e change eme gency, and ci ies play a c ucial ole as pop-
ula ion concen a o s, GDP p oduce s, ene gy consume s, was e gene a o s, and GHG
emi e s. In ending o imp o e an e ec i e esponse by local au ho i ies o his c isis, his
PhD is ocused on ci ies ha a e willing o s a hei jou ney owa ds clima e-neu ali y
(ne -ze o CO2 emissions) and how o o ches a e his ansi ion om a local app oach.
Rega ding he planning pe spec i e o such an ambi ious goal, his esea ch has iden i ied
a lack o in eg a ion among ene gy and u ban planning dynamics as a key ba ie in his
ansi ion. Acco dingly, his esea ch aims o upg ade ha le el o in eg a ion by di e en
means. Fi s , h ough an in eg a ed lead o s a egic municipal p ocesses; secondly, by
using app op ia e ools and da a managemen p ocedu es ha enable he in eg a ion o
ene gy and spa ial elemen s in he decision-making p ocess; and inally, by an e ec i e
engagemen o local s akeholde s in he clima e-neu ali y p ocess. All hese hypo he ical
s a emen s a e analysed by 4 in e connec ed esea ch s udies and la e alida ed h ough
hei applica ion in he coo dina ion p ocess o he clima e-neu ali y plan o Vi o ia-Gas-
eiz.
Keywo ds: clima e-neu ali y, ci ies, u ban deca bonisa ion, u ban ansi ion, local
ene gy planning, s a egic p ocesses, in eg a ed planning.
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PhD
Resumen
Spanish / Español
La sociedad se en en a a la eme gencia climá ica, donde las ciudades juegan un pa-
pel c ucial como concen ado as de población, p oduc o as de PIB, consumido as de ene -
gía, gene ado as de esiduos y emiso as de GEI. Con la p emisa de mejo a una espues a
e icaz de las adminis aciones locales a es a c isis, es e doc o ado se cen a en da sopo e
a aquellas ciudades que es án dispues as a inicia su iaje hacia la neu alidad climá ica
(ce o emisiones ne as de CO2) y en cómo o ques a es a ansición desde un en oque local.
En é minos de plani icación del p oceso hacia una me a an ambiciosa, es a in es igación
ha iden i icado la al a de in eg ación en e las dinámicas de plani icación ene gé ica y
u bana como una ba e a cla e en es a ansición. En consecuencia, el obje i o de es a
in es igación es mejo a ese ni el de in eg ación po di e en es medios. P ime o, a a és
de un lide azgo in eg ado de p ocesos es a égicos municipales; en segundo luga , me-
dian e el uso de he amien as y p ocedimien os de ges ión de da os adecuados que pe -
mi an la in eg ación de elemen os ene gé icos y espaciales en la oma de decisiones; y
inalmen e, a a és de una in oluc ación adecuada de los agen es locales en el p oceso
de plani icación hacia la neu alidad climá ica. Todas es as hipó esis son analizadas po 4
es udios de in es igación conec ados en e sí, y alidados pos e io men e a a és de su
aplicación en el p oceso de coo dinación del plan de neu alidad climá ica de Vi o ia-Gas-
eiz.
Palab as cla e: neu alidad climá ica, ciudades, desca bonización u bana, ansición
u bana, plani icación ene gé ica local, p ocesos es a égicos, plani icación in eg ada.
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The esul s o his PhD hesis a e p esen ed by a compendium o scien i ic a icles,
which a e i s summa ised in Pa D, and la e a ached in Sec ion III:
▪ The i s s udy, which wo ks as he hypo hesis o his PhD hesis, iden i ies he
Key Fac o s ha municipali ies mus inco po a e as main le e s ha igge
hei local p ocesses owa ds clima e neu ali y, ocusing on he case o Sonde -
bo g municipali y. The lack o in eg a ion be ween ene gy and u ban planning
is one o hose ac o s, and he ollowing s udies p o ide me hods and ools o
imp o e ha lack o in eg a ion.
K. U u ia-Azcona, S. So ensen, P. Molina-Cos a, and I. Flo es-Abascal, “Sma Ze o
Ca bon Ci y: Key Fac o s Towa ds Sma U ban Deca bonisa ion,” DYNA Ing. e Ind.,
no. Clima e Change Challenges o Enginee ing, 2019.
▪ The second s udy p esen s Ci ies4ZERO, a me hodological app oach o mu-
nicipali ies o plan s a egic p ocesses owa ds clima e neu ali y.
K. U u ia-Azcona, M. Ta a , P. Molina-Cos a, and I. Flo es-Abascal, “Ci ies4ZERO:
O e coming Ca bon Lock-in in Municipali ies h ough Sma U ban T ans o ma ion
P ocesses,” Sus ainabili y, ol. 12, no. 9, p. 3590, 2020.
▪ The hi d s udy del es in o he in eg a ion o ene gy and spa ial da a manage-
men o clima e-neu ali y decision-making (ENER-BI p inciples as so-called
in he s udy).
K. U u ia-Azcona, E. Usobiaga-Fe e , P. De Agus in-Camacho, P. Molina-Cos a, M.
Benedi o-Bo danau, and I. Flo es-Abascal, “ENER-BI: In eg a ing Ene gy and Spa ial
Da a o Ci ies’ Deca bonisa ion Planning,” Sus ainabili y, ol.13, no. 383, pp. 1–15, 2021.
▪ The las s udy applies he indings o he PhD hesis in he eal planning en i-
onmen o Vi o ia-Gas eiz, whose clima e-neu ali y plan was coo dina ed by
he au ho , ob aining in e es ing insigh s based on he con as be ween heo y
and p ac ice.
K. U u ia-Azcona, P. Molina-Cos a, I. Muñoz, D. Maya-D ysdale, C. Ga cia-Mad uga,
and I. Flo es-Abascal, “Towa ds an In eg a ed App oach o U ban Deca bonisa ion in
P ac ice: The Case o Vi o ia-Gas eiz,” Sus ainabili y, ol. 13, no. 8836, pp. 1–20, 2021.
In addi ion o he summa y o esul s o he PhD esea ch, Pa D also includes he
discussion. This pa p esen s a sui able cu en con ex o dis up i e clima e ac ion bu
a gues o he need o a comp ehensi e and common unde s anding o he clima e-neu-
ali y jou ney o ci ies. Fu he mo e, i s ands o s a egic municipal p ocesses as he
compass owa ds clima e neu ali y in ci ies, and o local s akeholde s as he co e o any
ansi ion. The complexi y o u ban planning p ocesses and he ole o u ban-ene gy mod-
els and da a managemen p ocedu es in his ansi ion a e also discussed in his pa .
Sec ion II
This sec ion p esen s, in a nu shell, he pa ial conclusions o he 4 esea ch s udies
as well as addi ional concluding ema ks om he whole PhD esea ch. Sec ion II also
in oduces he u u e lines o esea ch his wo k has iden i ied a e analysing i s esul s.
Fu u e esea ch is s uc u ed on h ee main lines: 1) u he scien i ic cla i y on he clima e-
neu ali y concep and jou ney o ci ies; 2) he po en ial e olu ion o he Ci ies4ZERO
me hodology; and 3) all gaps, and po en ial p og ess iden i ied in u ban-ene gy model-
ling and da a managemen p ocedu es wi hin he clima e-neu ali y ansi ion.
Sec ion III
Finally, sec ion III compiles he 4 published esea ch s udies, which a e he co e and
h ead o his PhD esea ch.
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These 4 published esea ch a icles a e no isola ed s udies, bu pa o a esea ch
design s uc u ed om he s a o he PhD esea ch, which has been ul illing successi e
planned miles ones along i s way. In his sense, Figu e 1 p o ides a g aphic o e iew o
he PhD oadmap, including key concep s, scien i ic publica ions, and suppo ing e en s.
The consis ency o all i s pieces has been a clea goal om he s a o his long jou ney.
Figu e 1. PhD hesis oadmap, including key concep s, publica ions, and suppo ing e en s.
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A2. Resea ch backg ound
A2.1 Ci ies’ clima e-neu ali y wi hin he global Clima e Change eme gency
Why ci ies? The ole o u ban en i onmen s in his c isis
Socie y is nowadays acing one o he ha des challenges in his o y. Ou p og ess has
been highly dependen on bu ning ossil uels since he indus ial e olu ion in he 19 h
Cen u y, ob aining ene gy a he lowes possible cos s since hen, while boos ing G een
House Gas (GHG) emissions. The esul o his human ac i i y o e ime has b ough a
des abilizing phenomenon o ou ime, Clima e Change, which un o eseen consequences
a e al eady modi ying global na u al pa e ns. Focusing on GHG emissions and he im-
pac his ossil- uel dependency has on local en i onmen s, he Wo ld Heal h O ganiza-
ion (WHO) s a es ha 92% o he global popula ion li es in places whe e ai quali y le els
exceed WHO limi s [1]. Acco dingly, ci ies a e he mos ulne able en i onmen s, bo h
e en ually egis e ing unaccep able pollu ion le els, while nowadays concen a ing mo e
han hal o he global popula ion, o ecas ing his a e o achie e a 68% by 2050 [2], p o-
oking a huge impac on global public heal h. Indeed, his si ua ion causes 800,000 ex a
p ema u e dea hs a yea in Eu ope, and 8.8 million wo ldwide, acco ding o he la es
s udy by he Eu opean Socie y o Ca diology [3].
The mig a ion associa ed wi h economic and social oppo uni ies a ailable in ci ies
is o cing as u banisa ion. Cu en ly accoun ing o 56% o he global popula ion, u ban
en i onmen s a e p oducing up o 70% o he global GDP [4]. This ema kable le el o
economic ac i i y has also i s consequence in e ms o en i onmen al impac ; ci ies abso b
abou 70% o global esou ces and ene gy, gene a ing abou 70% o was e and 70% o
GHG emissions wo ldwide [4]. All ha impac by jus occupying 2% o he global su ace
[5].
Besides his le el o global incidence, ci ies o e a sui able en i onmen o ans o m
policies in o speci ic p ojec s. The En i onmen P og amme om he UN s a es ha local
go e nmen s a e uniquely posi ioned o ad ance in he implemen a ion o clima e ac ion:
“as planne s and egula o s, as acili a o s o inance, as ole models and ad oca es, and as la ge
consume s o ene gy and p o ide s o in as uc u e and se ices” [6]. Acco dingly, ci ies can
play a majo ole in he ul ilmen o Con e ence o Pa ies (COPs) ag eemen s and he
UN’s 2030 Agenda o Sus ainable De elopmen , bo h as pa o he p oblem and he so-
lu ion, as wo sides o he same coin.
The concep ual cons uc ion o clima e-neu ali y
The lines below desc ibe how di e en in e linked concep s ha e led o he clima e-
neu ali y concep , he ocus o his hesis, e ol ing o a concep wi h high ambi ion and
impac on cu en policies.
Back in he 1970s, he oil c isis a ec ed he economy wo ldwide a he same ime he
ci ies we e also su e ing he decline o he indus ialisa ion e a. I was hen han he con-
cep o sus ainabili y eme ged unde he eco-de elopmen e m, explo ing he need o an
al e na i e g ow h model, whe e speci ic h esholds o deg ada ion needed o be e-
spec ed o a oid he collapse o u ban a eas. In 1987, he B und land Repo in oduced he
concep o sus ainable de elopmen , which was a u ning poin o he i up ion o sus ain-
able u ban de elopmen ac ion. In his sense, successi e ini ia i es such as Agenda 21, he
Río Decla a ion (1992), he Aalbo g Cha e (1994), and he Lisbon S a egy (2000), os e ed
he ine une and applica ion o he e m wo ldwide and speci ically in Eu opean ci ies.
Since he beginning o he 21s cen u y, he en i onmen al, social, and economic con-
di ions o ci ies ha e been a conce n o imp o e he quali y o li e o hei ci izens. This
end has been suppo ed by a ious u ban de elopmen miles ones (Go henbu g Agenda,
Leipzig Cha e , Eu opean U ban Cha e s, Toledo Decla a ion, UN Habi a Con e ences, Basque
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Decla a ion, e c.) and concep s ha ha e guided policymake s, planne s, and de elope s
and, likewise, some o hose concep s ha e also eme ged in esponse o he clima e change
eme gency [7].
The igh agains clima e change is buil upon wo main ields o ac ion. Clima e
change mi iga ion e e s o he educ ion and p e en ion o GHG emissions, whils clima e
change adap a ion in ends o p epa e o he po en ial impac s o a wa ming wo ld [8]. An
al e na i e way o add essing clima e mi iga ion e m is h ough he deca bonisa ion e m,
which Ox o d Uni e si y de ines as “ educing he amoun o gaseous ca bon compounds e-
leased in o as a esul o an en i onmen o p ocess” [9]. Acco dingly, bo h mi iga ion and
deca bonisa ion e ms coincide on he co e o hei elemen s: educing ca bon gas emis-
sions om an en i onmen ; co e ing he aim o ci ies o educing he emissions en ailed
o hei u ban me abolism p ocess o a heal hie u ban en i onmen , and he po en ial
mi iga ion o Clima e Change.
In ending o se a s anda d concep ual amewo k o he accoun abili y and epo -
ing o ha u ban deca bonisa ion p ocess, he Global P o ocol o Communi y-Scale G een-
house Gas In en o ies [10] p o ides s anda ds and ools o measu able, comp ehensi e,
and mo e e icien GHG emissions educ ion s a egies. This p o ocol acknowledges ha
u ban ac i i ies can gene a e GHG emissions wi hin he ci y bounda y as well as beyond
ha bounda y. Depending on whe e hose emissions a e gene a ed, he P o ocol se s h ee
di e en scopes:
▪ Scope 1 (di ec emissions), o GHG emissions coming om local sou ces
wi hin he ci y.
▪ Scope 2 (indi ec emissions), o GHG emissions occu ing ou side he ci y, bu
because o he ci y ac i i ies wi hin i s bounda y (g id-supplied ene gy).
▪ Scope 3 (ou -o -bounda y emissions), all o he GHG emissions occu ing ou -
side he ci y bounda y as a esul o ac i i ies ha ake place wi hin he ci y
(li e cycle o goods; ou -o -bounda y was e, wa e , and anspo a ion; ene gy
ansmission and dis ibu ion) [10].
The de ini ion o hese h ee scopes is ele an o he clima e-neu ali y concep as i
gene a es h ee di e en amewo ks o become a clima e-neu al ci y, each o hose con-
nec ed o a di e en deg ee o ambi ion in GHG emissions educ ion.
In esponse o he clima e change deba e and unde pinned by he GHG emissions
P o ocol, se e al e ms ha e been gene a ed, such as low-ca bon ci y, ca bon-neu al ci y,
ze o-ca bon ci y, and nega i e-ca bon ci y, de eloping simila de ini ions o hose e ms [7].
Acco ding o e iews, hese a e conside ed subse s o he sus ainable ci y concep , wi h an
emphasis on echnical and ene gy issues [11]. In his ega d, clima e-neu al ci y and ca bon-
neu al ci y a e in e changeable e ms in academic esea ch and policy discou se, bo h be-
coming he consolida ed e ms ha a e guiding all ci ies’ e o s owa ds u ban deca bon-
isa ion. Indeed, many ci ies ha e al eady published hei clima e-neu ali y/ ca bon-neu-
ali y a ge s, aking he concep a cen al ole in he policy discou se [7].
Despi e his cen ali y in he poli ical discou se, he e is s ill no unique and clea de -
ini ion o wha a clima e-neu al ci y is; i can be conside ed a ela i ely lexible e m.
Huo ila e al [7] p esen a e iew o he app oach o he concep by bo h “li e a u e and
policy documen s” and “case ci ies”, inding coincidences as well as sligh di e ences
among hem. Bo h app oaches ag ee on a clima e-neu al ci y as an ambi ious u ban an-
si ioning concep ha se s a yea o ca bon neu ali y as well as an emissions educ ion
a ge o ha yea . Rega ding he emissions educ ion pe cen age om he baseline yea ,
“case ci ies” a ge a 60-80% educ ion, whils policy documen s aim o an 80-100% e-
duc ion, bo h app oaches conside ing ca bon seques a ion and o se ing emissions as
complemen a y ac ions o achie e clima e neu ali y. Fu he mo e, bo h app oaches iden-
i y ci ies’ clima e ne wo ks as key in co-de ining ambi ion le els, accoun ing, he scope
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o emissions, p o iding a amewo k o ac ion, e c. Finally, bo h app oaches mainly a -
ge no jus he ene gy sec o , bu also o he a eas ela ed o clima e neu ali y, inding
mino di e ences in he speci ic sec o al implica ions [7]. O e all,
Table 1 shows he main ea u es and a ge a eas o he clima e-neu al ci y concep .
Table 1. De ini ion and con en o a clima e-neu al ci y om “li e a u e” and “case ci ies” e iew [7].
Li e a u e and policy documen s
“Case ci ies”
Fea u es o a
clima e-neu al ci y
▪ The a ge o a ce ain pe iod ending in a speci ic
yea when emissions will be balanced
▪ 80-100% GHG emissions educ ion
▪ GHG esidual emissions a e balanced by seques a-
ion and/o o se ing
▪ De ini ion o ambi ion le el, accoun ing, and scope
(1, 2, o 3), ma e s o en add essed as pa o local
s akeholde s’ dialogue
▪ Ta ge se o a speci ic yea
▪ 60-80% GHG emissions educ ion
▪ GHG esidual emissions a e balanced
by seques a ion and o se ing
( h ough local o global ini ia i es)
▪ The dimension o “clima e-neu ali y”
is in eg a ed in o u u e ci ies’ deci-
sion-making.
Ta ge ca ego ies/
ac ion a eas
Local le el plans can include mi iga ion measu es in:
▪ Ene gy use, ene gy e iciency, and sa ing, enewa-
ble ene gy
▪ Buildings
▪ T anspo
▪ Was e
▪ Na u e-based solu ions, ag icul u e, and ood
▪ Land-use
▪ Ca bon seques a ion
▪ Indus y
▪ Consump ion and beha iou , educa ion, communi-
ca ion, and public ela ions
▪ Policy and esea ch
▪ O he
▪ Ene gy p oduc ion and consump ion
▪ T anspo a ion and mobili y
▪ Buil en i onmen and communi y
s uc u e
▪ Ca bon sinks, compensa ion, and bio-
di e si y
▪ Was e managemen and ci cula i y
▪ Wa e managemen and na u al wa e
a eas
▪ Food p oduc ion and consump ion
▪ P ocu emen and p i a e sec o collab-
o a ion
Clima e neu ali y is cu en ly becoming he e m ha b ings all ini ia i es and ac-
ions a ound u ban deca bonisa ion on boa d. In las yea s, while he clima e neu ali y
e m was gaining in luence, he Sma EnCi y p ojec [12] wo ked on a simila concep o
channel all u ban clima e mi iga ion ac ions: he Sma Ze o Ca bon Ci y (SZCC) concep ,
which can be conside ed one o hose subse s o he sus ainable ci y concep [11], wi h a
speci ic connec ion wi h he Sma Ci ies ield:
“A Sma Ze o Ca bon Ci y (SZCC) is a esou ce-e icien u ban en i onmen whe e ca bon
oo p in is elimina ed; ene gy demand is kep o a minimum h ough he use o demand con ol
echnologies ha sa e ene gy and p omo e aised awa eness; ene gy supply is en i ely enewable
and clean; and esou ces a e in elligen ly managed by awa e and e icien ci izens, as well as bo h
public and p i a e s akeholde s” (p.2) [13].
The SZCC concep is highly in e linked wi h he clima e-neu al ci y concep , a ge -
ing u ban deca bonisa ion h ough he main elemen s connec ed o ci ies’ ene gy sys ems:
ene gy demand, ene gy supply, and ene gy managemen ; all om a pa icipa o y, c oss-
cu ing, and echnology-suppo ed pe spec i e [13]. Wi hin his hesis, he SZCC concep
ini ially wo ked as a kick s a e in he hypo hesis and co e scien i ic a icles’ o mula ion,
and i s ill s ands ully aligned wi h he clima e-neu al ci y concep . O e all, i is in he
mi iga ion o clima e change and he way municipali ies ace i whe e his hesis in ends
o p o ide suppo , bo h concep s being alid o a icula e he pa h owa ds his mi iga-
ion goal.
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Ini ia i es owa ds clima e-neu al ci ies
The applica ion o he clima e-neu al ci y concep needs a amewo k ha acili a es
i s deploymen in p ac ice. The e cu en ly a e ini ia i es om global o local ha in end
o align e o s owa ds clima e change mi iga ion, and hose include o cou se he ci y
scale.
Based on a global amewo k guided by wo Uni ed Na ions ini ia i es [ he Sus ain-
able De elopmen Goals 2030 (SDGs) and he na ional ag eemen s h ough he successi e
Con e ences o he Pa ies (COPs)], ci ies’ ini ia i es a e mainly s uc u ed h ough col-
labo a i e app oaches such as ci ies’ ne wo ks and alliances. As Go don and Johnson a -
gue [14], ci y ne wo ks p o ide suppo h ough building capaci y o measu e, epo , and
e i y GHG emissions educ ion. Fu he mo e, and looking a he case o he ci ies o his
hesis (i.e., Ci y o Sonde bo g), ci y ne wo ks can o e much mo e han ha : inspi a ion
om ci ies acing simila ansi ions, pee - o-pee discussions on how o add ess ba ie s
and solu ions, join policymaking, p ocu emen , and lobby o g een pu poses, as well as
any o he ac i i y whe e an isola ed ci y is mo e likely o ail. Acco dingly, many ci ies
ha e chosen a collabo a i e app oach o add ess hei clima e ansi ion, joining di e se
ci y ne wo ks and join policy amewo ks such as he C40 Ci ies g oup [15] o he Ca bon
Neu al Ci ies Alliance [16]. Fu he mo e, o e 400 ci ies and o ganisa ions ha e joined
he Clima e Ambi ion Alliance, which b ings coun ies, businesses, in es o s, ci ies, and
egions ha wo k o he ne -ze o ca bon goal by 2050 oge he [17].
In he in e na ional landscape, he Eu opean Union (EU) s ands as he egion wi h
he mos ambi ious policies on clima e neu ali y, o be achie ed by 2050. Be o e he s a
o he wa in Uk aine in 2022, an e en ha will p obably accele a e he u gency o cli-
ma e neu ali y in he egion due o he s ong dependency on Russian ene gy esou ces,
he EU ag eed on commi ing o a educ ion o 55% o GHG emissions by 2030 compa ed
o 1990 alues [18]. Ta ge ing his goal and suppo ed by he Eu opean Commission (EC),
he Co enan o Mayo s o Ene gy & Clima e (CoM) is he ini ia i e ha is ga he ing
mo e membe s in e es ed in ad ancing owa ds clima e neu ali y. Wi h 10.898 signa o-
ies om 54 di e en coun ies and 6.221 submi ed ac ion plans, he CoM has become he
mains eam ini ia i e o ci ies’ clima e mi iga ion [19]. Fu he mo e, he EC o ches a es
a se o p og ammes ha p o ide suppo o he mi iga ion goal om di e en angles,
such as he Eu opean Inno a ion Pa ne ship on Sma Ci ies and Communi ies (EIP-
SCC), he Eu opean G een Deal, and he Clean ene gy o all Eu opeans package, includ-
ing comp ehensi e measu es on he ene gy pe o mance o buildings, enewable ene gy,
ene gy e iciency, go e nance egula ion, elec ici y ma ke design, and bo h legal and
non-legisla i e ini ia i es [20].
Wi hin his a ou able Eu opean con ex o clima e policy, he EC adop ed he EU
Missions o ma , a new way o b inging mo e conc e e solu ions o he g ea es challenges
o he egion, wi h an in en o deli e ing angible esul s by 2030 wi hin di e se ields o
ac ion. The clima e neu ali y o EU ci ies was appoin ed as one o hose g ea es chal-
lenges, hence he 100 Clima e-Neu al and Sma Ci ies by 2030 Mission came o he s age in
2021. The so-called Ci ies Mission, ancho ed wi hin he G een Deal p og amme, has he
objec i e o a) deli e ing 100 clima e-neu al ci ies by 2030, and b) ensu ing ha hose 100
ci ies become expe imen a ion and inno a ion hubs o enable all EU ci ies o ollow hem
by 2050 [21]. In i s i s weeks o li e, he Ci ies Mission achie ed an ou s anding impac
on Eu opean municipali ies as 377 ci ies submi ed hei Exp ession o In e es in his Mis-
sion, all o hem ambi ioning clima e neu ali y by 2030 i app op ia ely suppo ed. Ac-
co ding o he po en ial success o his ising p og amme, he 2020s decade will be he one
seeing he i s se o clima e-neu al ci ies on Ea h.
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A2.2 In eg a ed planning o ci ies’ clima e-neu ali y
In eg a ed planning wi hin ci ies’ ans o ma ion p ocesses
Ci ies ha e been a subjec o ans o ma ion p ocesses since hei incep ion, bu i is
by he end o he 19 h cen u y ha u ban planning concep ually becomes an acknowledged
discipline. By ha ime, u ban planning was e y much ocused on he spa ial dimension
o he ci y and he physical o ganisa ion o he u ban ab ic. Since hen, u ban planning
has been inco po a ing o he complemen a y u ban disciplines in o i s p ac ice, eeling
he need o a coo dina ed o e all planning pe spec i e o app op ia ely add ess he
e ol ing u ban challenges. In his sense, o e he pas wo decades, a highly in e discipli-
na y ield has eme ged ocusing on ci ies and sys emic change o sus ainabili y [22] [23],
and i is he e whe e he in eg a ed planning concep becomes c ucial o i he di e se iews
o ha in e disciplina i y.
Wi hin he cu en clima e-neu ali y ansi ion, local au ho i ies a e expe iencing in-
c easing p essu e o de elop and implemen inno a i e solu ions esponding o complex
challenges, bu hei capaci y o do so emains limi ed. To mo e owa ds he ze o-ca bon
ision, i is no enough o implemen indi idual solu ions o single imp o emen s wi hou
a wide ision. Success a he lies in an in eg a ed planning app oach, as a sys em o in-
e linked ac ions—p o i ing om mode n ICT ools, massi e da a p oduc ion, and ana-
ly ical capaci ies, di e si ying ene gy p oduc ion wi h enewable ene gy sys ems, ans-
o ming he s uc u e o ene gy p oduc ion o enabling small-scale p oduc ion, iden i y-
ing he igh business models, suppo ing changes wi h adminis a i e and axing p ac-
ices, shaping use beha iou s, e c. I ’s a ac ha deca bonising ci ies in ol es nume ous
in e ela ed challenges and equi es sys emic and in e connec ed solu ions. In his sense,
he concep o sys emic planning can be use ul and also conside ed a po en ial e olu ion o
he in eg a ed planning concep ; he main conce n o sys emic planning is o p o ide p inci-
ples and me hodology ha can suppo a planning p ocess cha ac e ised by complexi y
and unce ain y [24], a wide app oach han adi ional planning ha i s be e wi h cu -
en planning challenges such as clima e-neu ali y.
Al hough he concep o in eg a ed planning is no new, hinking in silos is s ill com-
mon in oo many municipal adminis a ions. O en, indi idual sec o ial s a egies do no
conside co-dependencies o in e dependencies wi h o he ci y sys ems. This no only
leads o con lic s o in e es bu also alls sho o add essing c oss-sec o al challenges [25].
Consequen ly, o add ess hese challenges, a holis ic s a egic app oach is i al. This can
add ess each challenge indi idually and sys ema ically. Such a s a egic app oach would
need he app o al o he ele an ci y sys ems, ac o s, go e nance le els, and e i o ies,
and would be join ly de eloped by hese di e en ac o s. Making su e ha e e yone is on
boa d i is impo an because in eg a ed planning goes beyond me ely coo dina ing sec o
policies and in e es g oups. I p esumes a common unde s anding o he mid and long-
e m de elopmen goals, which should be join ly de eloped. Fu he mo e, local go e n-
men s need o be p o ided wi h incen i es ha p omo e in eg a ed app oaches and
s eng hen hei capaci ies, so hey can deal wi h in e disciplina y asks [25]. Such p o-
cesses beyond adminis a i e bounda ies equi e poli ical and ins i u ional ans o -
ma ion as a gued wi hin he Theo e ical backg ound sec ion o his hesis. O e all, Eisenbeiß
[25] summa ises he main bene i s o an in eg a ed planning app oach in p agma ic e ms
o municipali ies:
▪ I allows ci ies o o mula e c oss-sec o al goals and policies.
▪ I enables ci ies o de elop s a egies and p ojec s in ol ing knowledge and
pe spec i es om di e se disciplines and s akeholde s.
▪ I suppo s ci ies wi h limi ed capaci ies and budge s o implemen goals mo e
e icien ly by joining o ces and educing ade-o s.
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Wi hin he Sma EnCi y p ojec , hose po en ial bene i s o an in eg a ed planning
app oach ha e been le e aged, iden i ying h ee main channels o po en ia e such an ap-
p oach. Fi s , h ough an impo an emphasis on key local s akeholde s’ engagemen . Sec-
ondly, h ough a ho izon al seamless collabo a ion among ci y sys ems and wi hin ci y
planning s uc u es. And inally, h ough e ical coope a ion wi h o he go e nmen
scales. Con ibu ing o an in eg a ed planning ecosys em can be challenging, bu he ben-
e i s o such an app oach well dese e aking ca e o his sensi i e balance. Fo su e, so
skills a e essen ial o make i wo k.
Ene gy planning in ci ies as a siloed discipline
S a ing wi h a de ini ion o he ene gy planning e m, The y and Za a e de ine i as
“de e mining he op imal mix o ene gy sou ces o sa is y a gi en ene gy demand” [26]. And such
a ask, coinciding wi h one o he key u ban sys ems o achie e clima e neu ali y, needs
o be in eg a ed wi hin u ban planning dynamics, bu his in eg a ion is agmen ed and
inconsis en [27]. This is mainly due o he di e se s ages en ailed om he ene gy supply
o mee ing he inal demand (supply, con e sion, s o age, and anspo a ion, all h ough
a wide ange o echnologies) [28]. Fu he mo e, he unde s anding o ene gy sys ems and
planning o ou ci ies is being cu en ly eadjus ed o mee decen alised local ene gy p o-
duc ion and enewables, wi h a shi in he esponsibili y o main s akeholde s in he ield
(i.e.: he ole o p osume s). Adding upon hese ac s, he ene gy planning o ou ci ies has
been his o ically a siloed discipline, wi h sca ce con ac wi h he planning depa men ,
and jus elega ed o aking ca e o ene gy ne wo ks and in as uc u es [29]. Howe e , as
Cajo e al s a e, ene gy planning mus be coo dina ed o e en embedded in he “spa ial
and s a egic planning p ocesses a ibu ed o u ban planne s” [27], complying wi h he in e-
g a ed planning p inciples men ioned abo e.
Lack o in eg a ion be ween u ban planning and ene gy planning
As a dis u bing coun e pa o his in eg a ion need, he lack o in eg a ion be ween
u ban planning and ene gy planning has been iden i ied as a key ba ie o be o e come
when implemen ing conc e e clima e-neu ali y ini ia i es in municipali ies [30]. I a su -
icien le el o in eg a ion among bo h disciplines is no achie ed, mainly ega ding he
co-de elopmen o s a egic local p ocesses ha app op ia ely in ol e bo h key local
s akeholde s and u ban-ene gy modelling ools, he clima e-neu ali y goal is likely o ail
soone han la e .
This aspec , he co e pa o he hesis, is u he b oken down and discussed in he
nex sec ions o his documen , mainly a C1.2 Ins i u ional ans o ma ion o a mo e in e-
g a ed planning app oach, B1. Resea ch Ques ion & Hypo hesis, and he i s publica ion o his
hesis Sma Ze o Ca bon Ci y: Key Fac o s Towa ds Sma U ban Deca bonisa ion (Sec ion III).
Ini ia i es o p og ess in he le el o in eg a ion (2008-2022)
In Eu ope, du ing he las decade, se e al ini ia i es ha e ocused on his opic, build-
ing upon he s udies and g owing in e es in u ban planning aspec s o ene gy, de i ed
om he ene gy c isis in he 1970s [22–25]. In 2012, he Ene gy E iciency Di ec i e
(2012/27/EU) encou aged he adop ion o in eg a ed u ban planning s a egies o ake ad-
an age o all he ene gy sa ings po en ially p esen in u ban a eas. Fu he mo e, he
CONCERTO Eu opean Commission (EC) ini ia i e del ed in o his s a egic app oach,
b inging oge he all ele an s akeholde s while in eg a ing a a ie y o u ban sys ems
and echnologies: “ he CONCERTO ini ia i e p o es ha i gi en he igh planning and
i all necessa y s akeholde s a e included om he beginning un il he end o he p ojec ,
ci ies and communi ies can be ans o med in o sus ainable ene gy pionee s” [35]. Pu ing
his app oach in o p ac ice, he STEP-UP (S a egies Towa ds Ene gy Pe o mance and
U ban Planning), PLEEC (Planning o Ene gy E icien Ci ies) and InSMART (In eg a i e
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Sma Ci y Planning) p ojec s (FP7-ENERGY-SMARTCITIES-2012 EC call) examined an
in eg a ed app oach o u ban ene gy planning, es ing di e se ools, me hods, and le els
o engagemen , again wi h he ocus on ene gy sa ings [27–29].
Since 2012, he EC has os e ed he in e ac ion o ci ies, indus ies, small and me-
dium-sized en e p ises (SMEs), in es o s, and esea che s, h ough he Eu opean Inno a-
ion Pa ne ship on Sma Ci ies and Communi ies pla o m, b inging hem all oge he o
design and deli e sma -sus ainable solu ions and p ojec s. In his case, he p ojec s an-
cho ed in his pla o m a ge ed he deca bonisa ion o ci ies h ough he o mula ion o
in eg a ed u ban plans, and mo e ecen ly h ough he concep o posi i e ene gy dis ic s
(PEDs), in ending o ackle he in eg a ion o ene gy and u ban planning a bo h ci y and
dis ic le els. This is he case o he Sma EnCi y p ojec —Towa ds Sma Ze o CO2 Ci ies
ac oss Eu ope, o which his hesis has con ibu ed h ough he de elopmen o he Ci -
ies4ZERO u ban deca bonisa ion me hodology (2020), in ending o upg ade he u ban-
ene gy planning in eg a ion o a highe le el. The Ci ies4ZERO me hodology is p esen ed
in he second scien i ic a icle o his hesis [39], and i is es ed in he ci y o Vi o ia-Gas-
eiz’s clima e-neu ali y planning p ocess in he ou h scien i ic a icle o his hesis
[40](2021).
As o 2008, unning in pa allel o hose ini ia i es, he EC launched he CoM, which
has engaged up o 10.898 municipali ies in he educ ion o CO2 emissions [19], os e ing
local s a egic p ocesses h ough he de elopmen o Sus ainable Ene gy Ac ion Plans
(SEAPs) and Sus ainable Ene gy and Clima e Ac ion Plans (SECAPs, in oducing he cli-
ma e adap a ion dimension in 2016). O e he las decade, SEAPs and SECAPs ha e been
“conside ed he unique ool o manage and ac on he u ban-ene gy ield” ega ding mains eam
s a egic me hods o u ban deca bonisa ion [41], in many cases eplacing na ional ini ia-
i es hanks o he Eu opean unds connec ed o he signa u e o he CoM.
Howe e , municipali ies p esen issues when acing hese s a egic p ocesses o in e-
g a ion; issues ha SEAPs/SECAPs a e no able o sol e in gene al e ms. Fi s , mos mu-
nicipali ies p esen an absence o he s a egic dimension in he u ban planning sys em,
op ing o sho - e m sec o ial ac ions o ien ed owa ds as esul s [41]. Secondly, he e
is cu en ly a wide gap be ween heo e ical e o s and p ac ical implemen a ion, su e ing
in some local cases om lack o poli ical commi men , coo dina ion, and unding; all o
his is wo sened by he pe e se e ec s o he ma ke ing use o he SEAP b and [41]. And
besides all his, gene al u ban plans do no ye include ene gy as a dimension o conside ,
hence no app op ia ely adap ing u ban limi a ions o a a ou able con ex o he deploy-
men o deca bonisa ion ini ia i es.
In he mean ime, he eali y is s ubbo n, and clima e ac ion is u gen . In 2015, he
Con e ence o Pa ies o Pa is (COP21) achie ed a binding ag eemen among all signa o y
coun ies, which did no include ci ies, al hough i encou aged hem o coope a e and
suppo emission educ ion e o s [42]. The subsequen COPs (mos ecen ly COP26 in
Glasgow, 2021), as well as he In e go e nmen al Panel on Clima e Change (IPCC) e-
po s, bo h ha e s essed he c ucial impo ance o ci ies in his ask, in i ing hem o ake
u gen clima e ac ion.
To cope wi h he Clima e Change mi iga ion ask, ci ies need a s a egic amewo k
able o bundle di e en elemen s in o a concise, p agma ic, p ojec -o ien ed app oach,
based on a long- e m s a egic ision wi h a s able-in- ime and commi ed ins i u ional
s uc u e, able o in eg a e disciplines and s akeholde s in o one single sequence ha i s
in wi h he u ban planning p ocedu es o each local con ex . The e was s ill no s a egic
me hod ha allowed ci ies o cope e icien ly wi h his challenge, and i is he e ha his
hesis in ends o con ibu e. Fu he mo e, and in ending o again suppo he needs o
ci ies, his PhD is ocused on he u ban ene gy sys em as a whole, bu i also punc ually
e e s o he local au ho i y ju isdic ion and he au ho i y-owned in as uc u e, as is he
case o he ENER-BI app oach ( hi d a icle o he PhD hesis).
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A e he i s a icle o he PhD hesis ha p o ides he hypo he ical app oach, he
second a icle p esen s a s a egic app oach o municipali ies o plan hei jou ney o-
wa ds clima e neu ali y h ough he Ci ies4ZERO me hodology. Ancho ed in his me h-
odology, he hi d a icle del es in o he in eg a ion o bo h ene gy and spa ial da a o
clima e-neu ali y decision-making. And inally, he las a icle es s all o i wi hin he
eal en i onmen o Vi o ia-Gas eiz’s clima e-neu ali y jou ney, which mi iga ion plan
was coo dina ed by he au ho , also including he ans e sal engagemen o he local
s akeholde s in he plan as a challenging bu also ewa ding planning-wise ask. O e all,
hese esea ch modules in end o upg ade he in eg a ion o u ban and ene gy planning
disciplines o he clima e neu ali y o ci ies, ackling he weakes poin s o ha challeng-
ing in eg a ion o be p ac ically o e come by municipali ies. Mo e de ails abou his Re-
sea ch F amewo k a e p o ided in sec ion B.
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Looking a he ini ia i es desc ibed in sec ion A2.1, i can be a i med ha he e is a
clea in en o pa o ou socie y o escaping om ca bon lock-in. Con inuing wi h TIC
heo y, he e a e wo po en ial sou ces o change o occu , bo h a he co e o he TIC con-
cep : echnological, and ins i u ional [49]. In e ms o echnology, i is al eady p o en ha
cu en enewable ene gy echnologies can sol e he economic and en i onmen al con a-
dic ions en ailed in he use o ossil uels o ene gy gene a ion. Fu he mo e, and ouch-
ing now he p i a e ins i u ional side, adi ional ene gy companies ha e shi ed hei o-
cus owa ds enewables, s a ing o assume ha escaping ca bon lock-in is a majo end
and enewable echnologies a e ma u e enough o channel ha ansi ion in economic
e ms.
Rega ding ins i u ions, and local au ho i ies as he main ocus o his hesis, hey can
play a de e mining ole in escaping ca bon lock-in. Fo his ansi ion o occu , socie y
needs o achie e a poin whe e social p io i ies a e eo ien ed, when a signi ican numbe
o in luen ial ins i u ions and indi iduals ecognise and claim ha ossil- uel pa h de-
pendency is no ole able anymo e [49]. In his sense, local au ho i ies a e he closes pub-
lic ins i u ions o ci izens, u ban policies, and in e en ions, hence ha ing a c ucial ole in
he ecogni ion and eo ien a ion o social p io i ies in o conc e e clima e ac ion.
Howe e , escaping ca bon lock-in “should no be seen as he esul o a single change, bu
a he a se ies o complex, in e connec ed changes in mul iple a iables” [49]. Tha social and
ins i u ional ecogni ion o unaccep able en i onmen al ha m may be necessa y bu no
su icien o o e come ca bon lock-in a a sui able speed. Looking a p e ious o ongoing
ansi ions (i.e., acid ain, use o pes icides, ozone-hole), an ex e nal e en may be equi ed
o pu all socie al engines a wo k. Can he COVID-19 ou b eak be ha igge ing o ce?
I does no seem so, as consump ion pa e ns a e apidly coming back o 2019 igu es,
accompanied by ela i ely slow enewables pene a ion on he ene gy mix. “Is a majo
ca as ophe equi ed?” Un o una ely, his o y shows ha a majo na u al e en -o an in e -
connec ion o e en s- will p obably ha e o p o ide an ala ming shock ha u ges accele -
a ed and dis up i e clima e ac ion [49]. In his sense, Un uh sugges s ha u u e TICs
mus allow echnological and ins i u ional e olu ions, be mo e lexible, and unde s and
policy egimes no as he-one solu ion o ou clima e eme gency, bu as a s ep close o i s
esolu ion [49].
C1.2 Ins i u ional ans o ma ion o a mo e in eg a ed planning app oach
In ending o o e come ca bon lock-in, and assuming a ce ain deg ee o enewable
ene gy echnological eadiness, his hesis ocuses on he ins i u ional side; mo e speci i-
cally on ci ies and local au ho i ies; and e en mo e speci ically on planning p ocesses o-
wa ds he clima e-neu ali y goal.
Local au ho i ies a e cu en ly le e aging he window o oppo uni y opened by he
Eu opean Commission o clima e-neu ali y policies and in e en ions, mainly h ough
he G een Deal p og amme and he 100 Clima e-Neu al and Sma Ci ies by 2030 Mission.
Howe e , in mos cases, local ins i u ions a e no eady o lead and echnically suppo
his ambi ious goal. The main ocus o his hesis s ands as a clea example; as desc ibed
in sec ion A2, he e is a lack o in eg a ion among ene gy planning and u ban planning
p ocesses a a municipal le el, unning bo h in pa allel lanes ha e en ually ouch each
o he o e idence hei dis ance.
Conside ing clima e neu ali y a ela i ely new p io i y ele a ed o e he las decade
by municipali ies, one ques ion comes o he s age: how municipali ies will o ganise and
implemen ac ion o e ec i ely add ess such a new, ambi ious, and challenging p o-
g amme and all p ojec s en ailed o i ? I seems easonable o assume ha new p io i ies
and p og ammes will need a ce ain deg ee o ins i u ional ans o ma ion o add ess
hose. I planning s uc u es and ins i u ions a e pe cei ed as inadequa e o hei pu -
poses [50], hei unc ion and c edibili y would be comp omised.
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Wi h ha ins i u ional ans o ma ion aim, E.R. Alexande in oduces he concep o
ins i u ional design, showing he a ie y o ields and dep h o ins i u ional ans o ma ion
o adequa ely add ess new ambi ious challenges such as clima e neu ali y in ci ies:
“Ins i u ional design means, designing ins i u ions: he de ising and ealisa ion o ules, p o-
cedu es, and o ganisa ional s uc u es ha will enable and cons ain beha iou and ac ion so as o
acco d wi h held alues, achie e desi ed objec i es, o execu e gi en asks. By his de ini ion ins i-
u ional design is pe asi e a all le els o social delibe a ion and ac ion, including legisla ion,
policymaking, planning, and p og am design and implemen a ion.” [50]
Acco ding o his de ini ion, clima e-neu ali y municipal planne s will need o ead-
jus hei cu en go e nance s uc u es, ec ui , o eo ien a e capaci ies, amend o o -
mula e new egula ions, gene a e new inancing schemes and pa ne ships, upg ade local
s akeholde s’ and ci izen engagemen o a highe le el, in eg a e key planning disciplines
owa ds he new goal, e c. All his cons i u es a challenging exe cise o ins i u ional design
o municipal planne s and poli icians; and i is he e we e Ci ies4ZERO me hodology,
he second publica ion o his PhD hesis, in ends o p o ide suppo o ci ies, iden i ying
he key ci y needs in such a p ocess o p o ide a sequen ial me hod ha acili a es bo h
he pa hway owa ds clima e neu ali y and he ins i u ional design exe cise i en ails. As
Alexande a gues, o be e ec i e in hei planning asks owa ds his goal, planne s need
a pa allel e lexi e consciousness o ins i u ional design [50]. Jus i his is he case, plan-
ne s will ha e he abili y o adap he con ex ual local ins i u ional s uc u es o be suc-
cess ul owa ds hei clima e-neu ali y goal.
O e all, he ins i u ional design mindse is p esen all along he ou scien i ic a icles
o his hesis, p esen ing clea examples in Sonde bo g and Vi o ia-Gas eiz municipali ies
(Sec ion III, G1 [43], and G4 [40]), as a key exe cise o cope wi h clima e-neu ali y planning
challenges. Fu he mo e, Ci ies4ZERO u ban deca bonisa ion me hodology (p esen ed in
Sec ion III, G2 [39]) sugges s an adap ed s a egic planning p ocedu e o be e add ess
clima e-neu ali y goals by municipali ies. And inally, he ENER-BI app oach p o ides
insigh s on how o in eg a e ene gy and spa ial da a o clima e-neu ali y planning in
ci ies. All hese exe cises a e conside ed di e se manne s o ins i u ional design, as pa
o he in en o adap ing local leading ins i u ions o a sui able planning amewo k able
o gene a e obus and s able-in- ime ini ia i es, policies, and plans. This app oach en-
su es municipali ies a mo e consis en coo dina ion and implemen a ion o he local cli-
ma e agenda.
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C2. Me hodological amewo k
In he ini ial s age o he PhD, he me hodological app oach was based on P oblem
Based Lea ning (PBL) [51], whe e he esea ch aced he esolu ion o he p oblem h ough
an open-ended lea ning p ocess, wi hou a p ede ined solu ion, de eloping an explo a-
o y app oach owa d he de ini ion o he esea ch backg ound, he esea ch gap (and
esea ch ques ion), and a hypo he ical answe , hence suppo ing he esea ch design i-
nally adop ed. A e e en s uc u ing an ini ial d a o he esea ch backg ound, he e-
sea ch low kep he explo a o y app oach un il he elease o he i s scien i ic publica-
ion [43]. This publica ion iden i ied he esea ch gap and esea ch ques ion’s key ele-
men s and o mula ed he hypo hesis, se ing he g ound o comp ehensi e and s uc-
u ed esea ch in he ollowing s udies [39][44][40], which ackle he di e en s a emen s
o he esea ch hypo hesis. Only a e a mo e exhaus i e p ocess o explo ing he s a e-o -
he-a in he ma e and he challenge o be sol ed i was possible o consolida e he e-
sea ch amewo k desc ibed in sec ion B ( esea ch ques ion, hypo hesis, objec i es, po en-
ial esul s).
C2.1 O e all esea ch echniques o da a collec ion
As desc ibed in he esea ch backg ound (sec ion A2), his hesis na iga es bo h on
social and echnical scopes. Fo socio- echnical esea ch, he s udy P omo ing no el y, igo ,
and s yle in ene gy social science: Towa ds codes o p ac ice o app op ia e me hods and esea ch
design om So acool, Axsen, and So el [52] se s a axonomy o he dominan esea ch
me hods wi hin his ield. Acco ding o his axonomy, he ollowing esea ch echniques
o da a collec ion ha e been used by he au ho in he PhD p ocess:
▪ Li e a u e e iews. This has been a key me hod o esea ch all along he hesis as
i p o ided no only he heo e ical backg ound (pee - e iewed), bu also an ex-
pe imen al o e iew o u ban-ene gy di e se ini ia i es, as e iews included im-
plemen ed policies, p ojec epo s, wo king pape s, and ci ies’ case s udies ( he
so-called g ey li e a u e).
▪ Quali a i e esea ch. This PhD hesis is p edominan ly based on quali a i e e-
sea ch, using a a ie y o echniques o ob ain in o ma ion, unde s andings, pe -
cep ion o indi iduals and g oups, local con ex s, e c.
▪ Case s udies. This was he app oach ha enabled i s he o mula ion o he hy-
po hesis, and secondly, he alida ion o he esea ch. Fo he hypo hesis, he e-
sea ch ocused on he Sma EnCi y p ojec case, whils o he alida ion, he case
s udy del ed in o he de elopmen o he APIET 2030 o Vi o ia-Gas eiz. In bo h
case s udies, he p ocess implied an in-dep h examina ion o he case and he
associa ed con ex ual condi ions, elying on mul iple sou ces o bo h quan i a i e
and quali a i e e idence.
▪ Da a analysis. This canno be s ic ly conside ed a da a collec ion echnique, bu
i helped in he ENER-BI pape o explo e, es , and compa e he di e en a ia-
bles o be in oduced as equisi es in a Decision Suppo Sys em (DSS) o cli-
ma e-neu ali y planne s, also a ec ing he DSS unc ionali ies.
The esul s p esen ed in he scien i ic pape s o his PhD a e no indi idual, bu pa
o a collabo a i e esea ch g oup, as he au ho ship o hose pape s s a es. Despi e all
s udies ha e been coo dina ed by he au ho , he speci ic expe ise o he con ibu o s
om his g oup has enabled he inco po a ion o an addi ional esea ch echnique:
▪ Quan i a i e ene gy modelling. This app oach co e s a a ie y o mechanisms, us-
ing simpli ied ma hema ical models. I consis s o an abs ac ion o he complex-
i ies o he eal case, enabling a ocus on key aspec s and mechanisms by a com-
bina ion o empi ical da a and heo e ical assump ions. This echnique was used
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du ing he de elopmen o he APIET 2030, se ing he CO2 emissions baseline o
he ci y as well as suppo ing all he collabo a i e planning p ocess, om diag-
nosis and u u e scena ios’ co-gene a ion o he iden i ica ion and quan i ica ion
o ac ions wi hin he APIET 2030. The so wa e ool ha enabled his esea ch
echnique is LEAP Low Emissions Analysis Pla o m [53].
C2.2 Resea ch me hods in he scien i ic a icles
The esea ch backg ound p esen ed in sec ion A2, mainly add essing he concep ual
cons uc ion o he clima e-neu al ci y e m, and he in eg a ed planning dynamics wi hin
his ield, bo h ha e been based on a li e a u e e iew. This e iew en ailed documen s o
di e se ypologies, such as scien i ic a icles, policies, egula ions, p ojec epo s, case
s udies o ci ies, and ongoing ini ia i es a di e en le els.
Rega ding he 4 s udies leading o hei espec i e scien i ic publica ions, each o
hose made use o di e en me hods, which a e all u he desc ibed in hei co espond-
ing Ma e ials and Me hods sec ion [43][39][44][40]:
▪ S udy 1. Sma Ze o Ca bon Ci y: Key Fac o s owa ds Sma U ban Deca bonisa ion.
The me hod o his s udy desc ibes he s ages o he Sma EnCi y p ojec , aken
as a case s udy, which we e ollowed by he esea ch eam o ex ac hose Key
Fac o s. Those s ages include a heo e ical and amewo k analysis, implemen a-
ion o pilo s in ci ies, moni o ing and assessmen o hose pilo s, and a alida ion
knowledge exchange wi h ci ies and sec o al expe s.
▪ S udy 2. Ci ies4ZERO: O e coming Ca bon Lock-in in Municipali ies h ough Sma
U ban T ans o ma ion P ocesses. The me hod o his second s udy buil upon he
me hod de eloped o S udy 1, achie ing successi e ine- unned e sions o he
Ci ies4ZERO me hodology h ough di e en s ages o de elopmen , namely: a)
SZCC: he Concep Unde lying he Me hodology; b) Ci ies4ZERO Be a_0 Ve sion: a
Me hodology om he Lab; c) Con as o Ci ies4ZERO Be a_0.1 - F om he Lab o he
U ban Lab; d) Con as o Ci ies4ZERO be a_0.2—F om he U ban Lab o he Real
Wo ld.
▪ S udy 3. ENER-BI: In eg a ing Ene gy and Spa ial Da a o Ci ies’ Deca bonisa ion
Planning. This s udy equi ed a speci ic me hod o iden i y he main equisi es
and unc ionali ies o a Decision Suppo Sys em (DSS) able o e ec i ely in e-
g a e ene gy and spa ial a iables o ci ies’ clima e-neu ali y planning. This
p ocess equi ed a ho ough li e a u e e iew o he Eu opean ene gy egula ion,
he clima e-neu ali y planning amewo k, and he exis ing u ban-ene gy plan-
ning ools, ollowed by he iden i ica ion o he mos CO2-emi ing u ban sec o s
and hei da a en ailed (da a analysis). All o his allowed he esea ch eam o
iden i y DSS’s equisi es, s uc u e, and con en s (including algo i hms and p o-
cesses), leading o eal-da a es de elopmen s and he main equi emen s o
use - iendliness in e aces.
▪ S udy 4. Towa ds an In eg a ed App oach o U ban Deca bonisa ion in P ac ice: The
Case o Vi o ia-Gas eiz. This case s udy p oceeded o he alida ion o he p e ious
s udies h ough hei applica ion in a eal planning en i onmen . Acco dingly,
he me hod applied o he de elopmen o Vi o ia-Gas eiz’s Ac ion Plan o an
In eg a ed Ene gy T ansi ion 2030 was he Ci ies4ZERO me hodology, p esen ed
in he second publica ion o his PhD hesis. The applica ion o Ci ies4ZERO also
en ailed he celeb a ion o wo kshops wi h local s akeholde s o co-de elop a ci y
diagnosis, and gene a e he 2030 scena ios and ci y ision, mainly based on he
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o esigh app oach [54]. Fu he mo e, and ega ding he u ban-ene gy model ha
quan i a i ely suppo ed he planning p ocess, he s udy elied on he equisi es
p esen ed by ENER-BI publica ion (s udy 3), suppo ed by LEAP Low Emissions
Analysis Pla o m so wa e, a widely-used so wa e ool o clima e change mi -
iga ion assessmen de eloped a he S ockholm En i onmen Ins i u e [53].
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PhD
D. Resul s & Discussion
D1. Resul s o he esea ch
D2. Discussion
D1. Resul s o he esea ch
This sec ion p esen s an o e iew o he main esul s o he PhD, all s uc u ed ac-
co ding o he ou s udies de eloped. The comple e e sion o hese s udies is a ached
in Sec ion III (Published esea ch). Fu he mo e, a wide summa y o complemen a y scien-
i ic con ibu ions o his p ima y li e a u e is a ached in he i s pages o his documen ,
including g ey li e a u e, uni e si y lec u es, con e ences, e en s, esea ch & inno a ion
p ojec s, bene i ed ci ies, and awa ds.
D1.1 S udy 1. Sma Ze o Ca bon Ci y: Key Fac o s Towa ds Sma U ban Deca bonisa ion
The esul o his scien i ic a icle is he iden i ica ion o he Key Fac o s ha munici-
pali ies mus inco po a e as main le e s ha igge hei local p ocesses owa ds clima e
neu ali y. Fo ha pu pose, he a icle e lec s on he clima e-neu ali y planning p o-
cesses o he Sma EnCi y p ojec pilo ci ies (Vi o ia-Gas eiz [ES], Ta u [EE], Sonde bo g
[DK], Lecce [IT], and Aseno g ad [BG]), wi h a speci ic ocus on he Danish case o con-
ex ualise he esul s o he a icle. Complemen ed wi h local examples o he Sonde bo g
planning p ocess, his pape p esen s he ollowing Key Fac o s (KF):
▪ KF1. E ec i e in eg a ion o ene gy planning in o u ban planning p ocesses
- The s a egic municipal p ocess owa ds clima e-neu ali y in he mid-long e m
- Key local s akeholde s’ engagemen in clima e-neu ali y planning p ocesses
- Tools o e ec i e clima e-neu ali y modelling
▪ KF2. Clima e-neu ali y ini ia i es deploymen (ene gy e iciency, clean supply,
and aising awa eness)
▪ KF3. Ci ies’ collabo a ion; sha ing knowledge & expe iences h ough ci ies’ ne -
wo ks
As desc ibed in p e ious sec ions o his PhD hesis, KF1 (E ec i e in eg a ion o ene gy
planning in o u ban planning p ocesses) is aken as he hypo he ical s a emen ha guides
his esea ch, p o iding po en ial solu ions and mo e comp ehensi e answe s o his KF1
along he ollowing scien i ic pape s.
Among he examples om he Sonde bo g case ha p o ide conc e ion o he Key
Fac o s iden i ied, he a icle p o ides u he de ails abou :
▪ The sho and long- e m s a egic p ocess owa ds clima e neu ali y s a ed in
2007 and he public and p i a e s able in e es and coope a ion o e ime.
▪ The key ole o P ojec Ze o public-p i a e pa ne ship as he local leade and a-
cili a o o clima e ansi ion in he municipali y
▪ The pool o local s akeholde s commi ed o he clima e-neu ali y p ocess and
he deploymen o s a egic p ojec s aligned wi h hei expe ise and businesses.
▪ The engagemen dynamics o hose local s akeholde s
▪ The ole o u ban-ene gy modelling in he p ocess, suppo ing he co-de elop-
men o he Roadmap 2025.
▪ An o e iew o Sonde bo g’s ene gy sys em and ambi ions.
▪ An o e iew o he Sonde bo g Roadmap 2025 and speci ic p ojec s.
▪ The in eg a ion o he ene gy planning p ocess in o he municipal dynamics.
▪ The ole o he Danish clima e-neu ali y ne wo k (Ene gibye ne) in sha ing
knowledge, expe iences, common ba ie s, and po en ial solu ions.
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SMART ZERO CARBON CITY: KEY FACTORS TOWARDS SMART URBAN DECARBONISATION
K. U u ia-Azcona, S. So ensen, P. Molina-Cos a, and I. Flo es-Abascal, “Sma Ze o Ca bon Ci y: Key Fac-
o s Towa ds Sma U ban Deca bonisa ion,” DYNA Ing. e Ind., no. Clima e Change Challenges o Engi-
nee ing, 2019.
h ps://doi.o g/10.6036/9273
JOURNAL:
Homepage - DYNA JOURNAL ENGINEERING ( e is adyna.com)
Recei ed: 31 May 2019
Accep ed: 26 July 2019
Published: 01 No embe 2019
ABSTRACT:
Fossil uels-based human ac i i y o e ime has gene a ed unaccep able local le els o ai pollu ion and GHG
emissions. One o main implica ions o his ac i i y is Clima e Change, which un o eseen consequences a e
al eady impac ing a local and global scales.
This esea ch is ocused on de ining an e ec i e amewo k o shi ha end a local le el h ough he im-
plemen a ion o he Sma Ze o Ca bon Ci y concep , which b ings oge he he eme ging Sma Ci y pa a-
digm and he 2030/2050 EU goals wi h he u gen need o deca bonising ou local en i onmen s.
In his case, he s udy applies he Sma Ze o Ca bon Ci y concep and implemen a ion me hod in o 5 EU
ci ies, ocusing on he case o Sonde bo g municipali y (DK) o ex ac he Key Fac o s owa ds Sma U ban
Deca bonisa ion, which a e applicable o o he ci ies acing his ambi ious ansi ion.
Figu e 4. Me hodology o Key Fac o s iden i ica ion
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D1.2 S udy 2. Ci ies4ZERO: O e coming Ca bon Lock-in in Municipali ies h ough Sma
U ban T ans o ma ion P ocesses
This a icle p esen s a me hodology o municipali ies o s uc u e hei clima e-neu-
ali y ansi ioning planning p ocesses, also suppo ing be e in eg a ion o ene gy and
u ban planning p ocesses. O e all, and while ackling he i s elemen o he PhD hy-
po hesis, his a icle p esen s he ollowing esul s:
▪ Ci ies4ZERO, he u ban ans o ma ion me hodology o ci ies’ clima e-neu al-
i y. This i e a i e me hodology, consis ing o 3 s ages and 16 s eps, is “a s ep-by-
s ep me hodology o a sma u ban deca bonisa ion ansi ion, guiding ci ies
h ough he p ocess o de eloping he mos app op ia e s a egies, plans, and
p ojec s, as well as looking o he commi men o key local s akeholde s o an
e ec i e ansi ion; all om an in eg a ed and c oss-cu ing planning app oach”.
Beyond he me hodology, he a icle also p o ides complemen a y ma e ials o con-
ex ualise and os e a sui able applica ion o Ci ies4ZERO by municipali ies:
▪ The alue p oposi ion Ci ies4ZERO o e s o local au ho i ies.
▪ An o e iew o ci ies whe e Ci ies4ZERO was ini ially es ed, including hei ci y
s a egies, main in e en ions, and CO2 emissions educ ion goals.
▪ G aphic ma e ial including s ep-by-s ep, s age, and o e all sequen ial diag ams.
▪ Taxonomy o po en ial solu ions o inspi e p ojec iden i ica ion wi hin S age A.
▪ The Ci y Check-up Assessmen ; a kick-o ques ionnai e ha e alua es munici-
pali ies’ planning si ua ion acco ding o Ci ies4ZERO’s S age A s eps.
This me hodology, de eloped in collabo a ion wi h Vi o ia-Gas eiz (ES), Ta u (EE),
Sonde bo g (DK), Lecce (IT), and Aseno g ad (BG) municipali ies, has enabled hem o
collabo a i ely de elop hei clima e mi iga ion local s a egies. Fu he mo e, and once
published, i has guided di e se elemen s o he s a egic clima e-neu ali y p ocesses o
ci ies such as Ams e dam (NL), Copenhagen (DK), Budapes (HU), B a isla a (SK), K a-
kow (PL), Riga (LV), Ma osinhos (PT), Bilbao and San u zi (ES), as well as many o he
Sma EnCi y Ne wo k membe s, wi h cu en ly 67 Eu opean ci ies on boa d [55].
Finally, he Ci ies4ZERO me hodology was appoin ed as a “Key Inno a ion” by he
Eu opean Commission’s Inno a ion Rada pla o m, wi h a ma ke ma u i y o “business
eady” and a “ma ke c ea ion po en ial” [56].
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CITIES4ZERO: OVERCOMING CARBON LOCK-IN IN MUNICIPALITIES THROUGH SMART
URBAN TRANSFORMATION PROCESSES
K. U u ia-Azcona, M. Ta a , P. Molina-Cos a, and I. Flo es-Abascal, “Ci ies4ZERO: O e coming Ca bon
Lock-in in Municipali ies h ough Sma U ban T ans o ma ion P ocesses,” Sus ainabili y, ol. 12, no. 9, p.
3590, 2020. h ps://doi.o g/10.3390/su12093590
JOURNAL: Sus ainabili y
Sus ainabili y | An Open Access Jou nal om MDPI
ACADEMIC EDITORS: D Pe e W. New on (Swinbu ne Uni e si y o Technology, Aus alia) and D
B iony Roge s (Monash Uni e si y, Aus alia)
Recei ed: 31 Ma ch 2020
Accep ed: 22 Ap il 2020
Published: 28 Ap il 2020
ABSTRACT:
How can local au ho i ies e ec i ely add ess he deca boniza ion o u ban en i onmen s in he long un?
How would hei in e es s and expe ise be aligned in o an in eg a ed app oach owa ds deca boniza ion?
This pape del es in o how s a egic p ocesses can help o in eg a e di e se disciplines and s akeholde s when
acing u ban deca boniza ion and p esen s Ci ies4ZERO, a s ep-by-s ep me hodology o local au ho i ies,
able o guide hem h ough he p ocess o de eloping he mos app op ia e plans and p ojec s o an e ec i e
u ban ansi ion; all om an in eg a ed, pa icipa o y and c oss-cu ing planning app oach. Fo he de elop-
men o he Ci ies4ZERO me hodology, plans, p ojec s, and s a egic p ocesses om i e Eu opean ci ies ha
a e pa o he Sma Ci ies and Communi ies Eu opean Commission p og am ha e been moni o ed o 4
yea s, in close collabo a ion wi h local au ho i ies, analysing ad-hoc local s a egic app oaches o de e mine
key success ac o s and ba ie s o be conside ed om hei ansi ioning expe iences. The s udy indica es
ha an i e a i e s a egic app oach and a p ojec -o ien ed ision, combined wi h a s able ins i u ional com-
mi men , a e opening a window o oppo uni y o ci ies o achie e e ec i e deca boniza ion.
Figu e 5. Ci ies4ZERO o e iew: 3 s ages, 16 s eps and i e a i e p ocess
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Connec ed also o hese go e nance s uc u es, di e se models o coo dina ion lead-
ing g oups can be se . Fo example, in some cases, his g oup can be ancho ed wi hin he
municipali y (mos cases), whe eas in o he s, i can be hos ed in a sepa a ed hi d-pa y
o ganisa ion, hough in close pa ne ship wi h he municipali y (Sonde bo g, Leu en
2030), o e en in a hi d-pa y o ganisa ion ha wo ks as a membe -based ne wo k (Deep
Demons a ion in Mad id). This inc eases he complexi y o including all unde he same
me hodology, bu o su e di e en models will adap be e o di e en local con ex s,
hence cha ac e is ics, capabili ies, and skills o hose g oups will ha e o be di e en o
e ec i ely se he ansi ion p ocess up. As s a ed by Hodson e al [57], he e is o en a
signi ican gap be ween clima e neu ali y isions and he ma e ialisa ion o hose in p o-
jec s and in as uc u es, and i is he e whe e he ole o u ban in e media y go e nance can
s eng hen and complemen municipali ies’ capaci ies and compe encies.
An addi ional conce n o he cu en me hodology is he di icul y o inding he igh
balance be ween engagemen ac i i ies and he quan i a i e suppo o he u ban ene gy
models in hose ac i i ies. To wha ex en he excess o quan i a i e da a can make he
engagemen ac i i ies oo complica ed o o e all s akeholde s o con ibu e? Bu wha
happens i numbe s a e so supe icial ha hose s akeholde s don’ ha e enough in o -
ma ion o con ibu e meaning ully? This discussion is o mula ed he e in e y simplis ic
e ms, bu i is a balance ex emely di icul o keep as he p ac ice has e ealed. Da a mus
be well communica ed, p ocessed, and unde s ood by he audience, and hen kep as
backg ound o meaning ul con ibu ions. Wha i ’s clea is ha Ci ies4ZERO and he
o esigh app oach p o ide a e y sui able p ocess o a quali a i e discussion, inding
di icul ies in e ec i ely inco po a ing quan i a i e da a in o he communica ion low
wi hin he engagemen ac i i ies, in e ms o meaning ully con ibu ing ha kind o da a
o he deba e and he collabo a i e decision-making p ocess.
Figu e 9. Bilbao's go e nance s uc u e o coo dina e local clima e-neu ali y planning (de eloped by he au ho )
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In he case o Ams e dam and Copenhagen, hey bo h had eleased hei clima e
s a egies when he wo k wi h hem s a ed, and Ci ies4ZERO was seen mo e as an in e -
es ing ool o con as hei ecen planning p ocesses, iden i ying po en ial gaps o be
illed ou . In hese cases, i doesn’ eel igh o b eak up he pace al eady aken, bu mo e
o complemen whe e possible he exis ing pa h.
O e all, e en i Ci ies4ZERO has been p o en as a use ul and suppo ing me hodol-
ogy o ansi ioning ci ies, he wide ange o opics add essed and he complexi y and
mul iple connec ions o each o hose opics make necessa y a u he e olu ion o he
amewo k o p o ide an e en mo e comp ehensi e oolki o ci ies. A combined e olu-
ion o Ci ies4ZERO and a clea e and mo e comp ehensi e ci ies’ clima e-neu ali y
amewo k, as eques ed in he in oduc ion o his sec ion, seems an in e es ing u u e
pa h o esea ch.
In eg a ion o s a egic equi emen s in o he land-use planning cascade
Focusing on one o he key s eps o Ci ies4ZERO (S ep 6. INTEGRATE), he e a e
addi ional conce ns in he s a egic planning p ocess. One o hose a ec s he co e o his
PhD esea ch, which is he in eg a ion o he clima e-neu ali y plan ou comes, such as
he ones o he APIET 2030, in o he land-use planning cascade. The g ea impo ance o
such in eg a ion is s a ed by an ene gy manage in he ci y o Bilbao, who condi ions he
easibili y o any s a egic ac ion o he exis ing u ban planning egula ion: “u ban planning
limi a ions ha e g ea weigh when analysing and de ining he a eas in which o in e ene. The
p epa ed GIS maps and ho spo s o each s a egy mus be aken in o accoun as a i s indica ion”
(pe sonal communica ion).
The e is a hie a chy and sequen ial concep ion o planning ins umen s, om he EU
Te i o ial Agenda 2030 (no legally binding) o he municipal mas e plans, de ailing he
land use o he e i o y and he ci y, bo h in g aphic and ex - egula o y e ms. Howe e ,
s a egic plans, such as APIET 2030 do no belong o ha ope a i e and egula o y u ban
planning cascade. Is his a ba ie when implemen ing APIET 2030 key ac ions? Fo some
clima e-neu ali y ini ia i es, i seems clea he need o del e in o ha ope a i e le el (land
owne ship, igh s and obliga ions, municipal egula ion, land-use incompa ibili ies, e c.)
i hey a e mean o be implemen ed. The mul iple po en ial a ec ions o land-use igh s
and incompa ibili ies comp omise he p ocess unless he e is a deep e lec ion on he op-
e a i e u ban planning dimension. Fu he mo e, which kind o documen shall e lec ha
in eg a ion? Ci y mas e plans seem e y s able in legal e ms, bu hey may no be agile
enough o such a pu pose, while u ban agendas may lack he ope a ional aspec . P oba-
bly, he local con ex o each ci y, bound o i s na ional and egional egula ions, will de-
e mine he bes solu ion o each case; wha seems clea is ha hese po en ial ba ie s
mus be add essed, and u ban planning s akeholde s mus be engaged.
In he case o he APIET 2030, he in ol emen o he u ban planning depa men
was sca ce, mainly due o he ex emely slow upda ing p ocess o he ci y mas e plan,
which akes se e al yea s o igid bu eauc acy, making he in eg a ion o APIET 2030 ou -
pu s in such a documen a signi ican challenge. Howe e , he e was a speci ic and signi -
ican ac ion wi hin APIET 2030 called “Analysis and adap a ion o egula o y and u ban plan-
ning ins umen s”, pushing he municipali y o p omo e he necessa y changes o he e -
ec i e deploymen o APIET 2030 ac ions. Fu he mo e, ano he ac ion in ends he mod-
i ica ion o axa ion o bene i deca bonisa ion ac ions in he ields o enewable ene gy,
ene gy-e icien eno a ion, g een mobili y, and high-e iciency equipmen acquisi ion, a
ac ha shows ha egula ion can also be an enable o clima e ansi ion. O e all, a
de e mined poli ical will and echnical dedica ion a e bo h needed o local egula ion no
o block he ansi ion bu o ans o m i in o an ally.
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D2.2 Local s akeholde s a e he co e o any ci y ansi ion
The second hypo hesis s a emen poin ed o he engagemen o local s akeholde s o
imp o e ene gy and u ban planning in eg a ion wi hin clima e-neu ali y p ocesses. This
s a emen seemed ob ious a he s a o he PhD esea ch p ocess, bu a e his esea ch,
he au ho has a much deepe unde s anding o all nuances his engagemen en ails o
he clima e-neu ali y goal.
In his sense, municipali ies mus ocus on p ope engagemen ac i i ies o c ea ing
a sense o join owne ship o he whole ansi ion p ocess. This exac ly add esses he
weaknesses ha ha e been iden i ied in nume ous SEAPs and SECAPs [58], hence a co e
conce n o Ci ies4ZERO de elopmen . In he case o Ta u municipali y, hey s a ed ha
he ac o c ea ing a communi y o simila ly mo i a ed s akeholde s in his ansi ion was
he main alue o he planning p ocess. This le el o engagemen demands a lo o e o
and communica ion and may p olong he planning p ocess. Bu a he same ime, i c ea es
an emo ionally and in ellec ually in es ed g oup o s akeholde s. I will e en ually gi e a
planning documen he s akeholde suppo i needs o succeed.
In APIET 2030 de elopmen , key local s akeholde s ha e been a he co e o he plan-
ning p ocess since he beginning, con ibu ing o he diagnosis, en isioning, and ac ion
planning phases. This ac has been, o su e, a signi ican e o o he managemen eam,
which some imes can be pe cei ed as a oll on an agile planning p ocess. Howe e , in he
eyes o APIET 2030 planne s, his in ensi e engagemen has ein o ced he quali y o he
inal ou pu , and i has imp o ed he alignmen wi h o he depa men al s a egies and
o he local public-p i a e ini ia i es. Fu he mo e, i seems easonable o hink ha he
po en ial ba ie s a he implemen a ion s age may be educed due o his ea ly engage-
men , and p obably mo e syne gies will be ound a ha s age due o he exchange o
iews du ing he planning p ocess. In APIET 2030 case, a mo e in ensi e engagemen o
he local indus y and some economic sec o s would ha e been p e e able (i.e., Me cedes,
Michelin); hence he managemen eam mus e lec on how o p esen a ac i e p ocesses
o such s akeholde s o pa icipa e. Local au ho i ies mus design pa icipa o y p ocesses
whe e e e y ele an local s akeholde inds an in e es , b anding hei pa icipa ion and
clima e ac ion e o s as suppo o he local communi y de elopmen .
This sca ce in ol emen o he p i a e sec o in he case o APIET 2030 can be con-
side ed a limi a ion o he Ci ies4ZERO me hodology. Howe e , when applying he me h-
odology o he case o Sonde bo g’s clima e-neu ali y Roadmap 2025 [59], he p i a e
sec o ook a key ole in he p ocess. Anyhow, his is an aspec o ake ca e o ; o he wise,
he inal plan will ind di icul ies in he implemen a ion phase as well as in becoming
ans e sal among he local communi y.
D2.3 A bi mo e han jus u ban-ene gy modelling
The hi d and inal hypo hesis s a emen sugges ed he use o ools o u ban-ene gy
modelling in his ansi ion, and indeed i ’s been p o ed o be one o he main ways o
in eg a ing bo h disciplines in p ac ice. Howe e , ha in eg a ion mus happen also du -
ing he da a managemen p ocess, so he pu e modelling ac i i y is i s app op ia ely
da a- ed, and hen well connec ed o he decision-making chain.
The ole o u ban-ene gy models in clima e-neu ali y planning
Looking a cu en ci ies’ clima e-neu ali y planning p ocesses, he e is scien i ic
consensus on he c ucial impo ance o u ban-ene gy models and hei quan i a i e sup-
po o se goals and de ine ac ions. Howe e , one should no lose sigh o he main pu -
pose o he u ban-ene gy model, i.e., he p ospec i e analysis. The de ined u ban-ene gy
model does no aim o ansla e al eady decided ac ions o objec i es, al hough i can be
used o ha end, bu o gene a e di e en al e na i e pa hways ha may suppo he
de ini ion o hese measu es and a ge s. In his sense, APIET 2030 can be conside ed as a
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o ecas ing app oach, whe e u ban-ene gy modelled scena ios we e used o analyse he
po en ial impac o di e se ac ions in he ci y, hence se ing CO2 educ ion a ge s; i is an
explo a i e ision in line wi h he ci y’s po en ial. In he coming yea s, when ollowing up
on APIET 2030 and gene a ing he upda ed scena ios in he u u e, he me hod could link
o ecas ing and backcas ing (jus objec i es a e de ined; no ac ions) app oaches. The u -
ban-ene gy model should be used o eed he discussion and suppo he decision-mak-
ing, a he han o jus i y al eady de ined s a egies, o ming so-called socio- echnical sce-
na ios [60]. In he same line o inconsis ency, he e is no poin in e eshing he base yea
o he model om yea o yea wi hou gene a ing upda ed scena ios o e ine he
mid/long- e m isions, as ha app oach implies upda es nei he on ac ions no on a ge s.
Rega ding ha ollow-up p ocess, u ban-ene gy modelling should be combined wi h as-
sessmen me hodologies o e alua e esul s based on di e se c i e ia.
Fu he mo e, looking o u u e upda es, i would be in e es ing o link Vi o ia-Gas-
eiz modelling o wha he es o he Basque egion and Spain a e planning, which also
has signi ican e ec s on he ene gy balance and ca bon ou comes o he ci y and ice
e sa [61]; he ci y is likely no going o be a disconnec ed ene gy island in he u u e. This
way, he ene gy and spa ial in eg a ion would be ex ended o he e i o y, which makes
sense o a comp ehensi e pe spec i e o he ene gy sys em, while inco po a ing po en ial
syne gies o combined uses o enewable ene gy and u al ac i i ies, o wi hin he emis-
sions o se ing ield, o example.
ENER-BI p inciples, s ep-by-s ep
One o he main akeaways o his PhD esea ch is ha be o e and beyond he pu e
u ban-ene gy modelling ac i i y, he e is a huge challenge in he way da a mus be ga h-
e ed, s o ed, ea ed, agg ega ed, calcula ed, and isualised, so he u ban-ene gy model
can app op ia ely ul il i s pu pose and his whole package can consis en ly suppo and
accompany he decision-making p ocess owa ds clima e-neu ali y.
As b oadly discussed wi hin he ENER-BI scien i ic publica ion, he upda e o all nec-
essa y da a can be a challenge o mos municipali ies, s ill a signi ican p oblem e en in
he planning phase, whe e he e o o p o ide enough de ailed in o ma ion o he u ban-
ene gy model is an issue. In addi ion, he dep h o he analysis mus de e mine some cha -
ac e is ics o he da a o be ga he ed and he u ban-ene gy model s uc u e. The le el o
de ail will no be he same i planne s jus wan some ough numbe s o o ien a e hei
decisions, o i hey eally wan o check he exac po en ial impac o each p oposed ac-
ion; in his sense, bo h da a and model cha ac e is ics mus be conside ed.
In he case o Vi o ia-Gas eiz, he ENER-BI da a managemen p inciples aced he
eali y whe e mos municipali ies a e cu en ly s anding in his ield. Fo he da a ga he -
ing p ocess, he amoun and quali y o da a we e su icien (excep o he p i a e mobili y
sec o ), bu ha d o e ie e, om di e en sou ces and s akeholde s, s anding a om
being an au oma ism. The da a was always s a ic and s o ed in Excel iles, s ill pending
he inco po a ion o dynamic in o ma ion in o he p ocess. Fu he mo e, in o ma ion was
nei he au oma ically upda ed no agg ega ed. Howe e , wo ENER-BI p inciples we e
included in he p ocess, dis up ing p e ious planning p ocesses. Fi s is he inco po a ion
o geospa ial da a, hence welcoming he spa ial a iable in he ene gy analysis. Secondly,
he isualisa ion and managemen o da a in o a dashboa d, which objec i ely allowed an
enhanced decision-making p ocess. E en i s ill many hings can be imp o ed, hose wo
p inciples made he di e ence o ene gy and u ban planning in eg a ion wi hin he
APIET 2030 de elopmen , b eaking he habi o siloed app oaches based on non-geo e -
e enced da a. In his sense, Vi o ia-Gas eiz is s a ing o be e b idge he gap be ween
p ojec -o ien ed ools, such as a s anda d ene gy model, and wha i was he adi ional
u ban planning pa adigm, based on non-geo e e enced and s a ic in o ma ion. Finally,
and his is some hing ha didn’ happen in APIET 2030, i would ha e been g ea o in-
clude an ex a GIS laye in he dashboa d, including he analysis o he cu en u ban
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planning egula ion, showing he po en ial limi a ions o APIET 2030 ac ions implemen-
a ion.
This ield o esea ch has s ill a long pa h, bu APIET 2030 de elopmen has helped
Vi o ia-Gas eiz o ake a s ep o wa d. P obably he coming i e a i e planning cycles will
keep upg ading hese p ocesses i he municipali y keeps pushing his way. A b illian
way o s a doing so would consis o applying ENER-BI p inciples in he APIET 2030
implemen a ion and ollow-up s ages. This is wha we call in he ENER-BI a icle he
“Module 2 – deca bonisa ion ollow-up”, suppo ing he ollow-up by enabling a quan i a i e
e iew o clima e ac ions, inco po a ing KPIs ha add ess each deca bonisa ion a ge ,
showing he e olu ion o hose KPIs o e ime, p oposing co ec i e mechanisms, and
upda ing da a eposi o ies and GHG emissions au oma ically.
D2.4 The b oade con ex : a sui able con ex o dis up i e clima e ac ion
Now looking a a b oade con ex o his esea ch, he global si ua ion has changed
d ama ically du ing he 4-yea de elopmen pe iod o his PhD, also a ec ing he clima e-
neu ali y con ex . The Theo e ical F amewo k sec ion a gued ha he occu ence o “ex-
ao dina y e en s” we e equi ed o o e come he exis ing socio- echnical ca bon lock-
in p esen ed by Un uh [49]. Acco ding o him, wo po en ial sou ces can in luence escap-
ing ca bon lock-in: echnological and social/ins i u ional. By mid-2022, we can a gue ha
he cu en pe iod has bo h; he con e gence be ween he clean- ech o e ake hand-in-
hand wi h EU pushing commi men s, and he la es “ex ao dina y e en s” ha led o a
deep socio-ins i u ional econside a ion (2020-2022), hey all ha e opened a window o
oppo uni y o escaping ca bon lock-in wi hin he EU. A leas i ’s he bigges window
seen so a .
By 2018, he use o enewable ene gy was al eady accoun ing o s able g ow h while
GHG emissions we e being educed, and numbe s sugges ed ha p obably he Eu opean
Union’s 20/20/20 clima e a ge s we e o be achie ed. By he end o 2019, he COVID19
ou b eak came in o ou li es and i a ec ed GHG emissions as well; i hose we e educed
by 4% in 2019, ha numbe escala ed up o 10% du ing 2020. E en i his igu e en ails
p ojec ion unce ain ies due o he excep ional heal h, social, and economic si ua ion du -
ing he pandemic, he EU-27 GHG emissions we e 31% lowe compa ed o he 1990s,
widely o e coming he 20% educ ion a ge [62]. Acco dingly, in 2021 i seemed eason-
able o inc ease he ambi ion o 2030 emissions educ ion a ge s om 40% (se in 2014) o
55% (wi hin he “ i o 55” clima e package), a igu e cap u ed in he Eu opean Clima e
Law [63].
The las episode o his inc emen al ambi ion has been o ced by he un o una e ge-
opoli ical si ua ion esul ing om Russia’s in asion o Uk ainian e i o y. In 2021, he EU
impo ed 27% o i s oil, 43% o gas, and 46% o coal needs om Russia a a cos o 99 billion
€. E en hese sha es ha e signi ican ly d opped since 2011 when impo s om Russia ep-
esen ed a 77% o he o al EU ene gy needs (148 billion €/y .), he EU in ends o d as ically
educe i s Russian ene gy dependency o s op inancing he ongoing wa . Th ough he
REPowe EU plan, he aim is o educe gas impo s by 155 billion cubic me e s (bcm) by
he end o 2022 and be comple ely independen o Russian ossil uels by he end o he
decade [64]. In his con ex , di e si ying supplies is key, bu he e is also a clea oppo -
uni y o in es in educing ene gy demand and p oducing g een ene gy wi hin he EU
e i o y.
Resul o di e se easons, unp eceden ed ambi ions and decisions a e gene a ing an
app op ia e con ex o clima e-neu ali y plans and he necessa y dis up ion en ailed o
i . This is wha F ank Geels calls “a window o oppo uni y” o eadjus he socio- echnical
egime a ound he ca bon lock-in [48]. Howe e , aking ad an age o his window implies
a socio- echnical challenge; he g ea e he change, he g ea e he esis ance. Acco ding
o Un uh, policymake s p e e con inui y app oaches o a oid ha esis ance when acing
ansi ions. Howe e , he dis inc ion be ween con inui y and discon inui y (o dis up ion)
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doesn’ ha e o be igid, bu some imes i can be bo h and jus a ma e o scale. Le ’s say
ha enewables can be pa o a con inui y app oach by connec ing hem o exis ing elec-
ici y dis ibu ion g ids, bu hey a e also key in he o e a ching discon inui y s a egy
ha aims o eplace ossil uels o cen alised gene a ion sys ems wi h enewable dis ib-
u ed gene a ion sys ems. A simila case can be a gued by eplacing ossil- uelled ca s wi h
elec ic ehicles, os e ing discon inui y in powe bu a ce ain deg ee o con inui y in ehi-
cles’ manu ac u e s and in as uc u es. I policymake s wan o le e age his window o
oppo uni y, hey will ha e o balance whe he he esis ance gene a ed by he discon inu-
i y shi s can hinde policy ac ion. These examples can be also applied o clima e-neu al-
i y policies and ambi ions in ci ies and na ions, including he ac ions o be implemen ed
o his pu pose and he delica e balance o be kep in his ace. Cases like he “yellow
jacke s” in F ance (since 2018), he logis ics s ikes in Spain (2022), he aising p ices o
ene gy o ci izens and companies esul ing om he Uk ainian wa , o he manoeu es
o ene gy companies o pay back hei in es men s. E en in e nally a a local le el, wi hin
municipal s uc u es, his ension shows up when an ins i u ional ans o ma ion is
needed o his shi , o when local jobs a e comp omised by his ansi ion. The e is a lo
o na iga e in his jou ney, and signi ican esis ances a e s ill o be o e come o le e age
his “window”.
D2.5 A comp ehensi e and common unde s anding o clima e-neu al ci ies’ jou ney
In pa allel o his e ol ing con ex , i is c ucial o b ing u he cla i y and s anda d-
isa ion o he clima e-neu al ci y concep and he con ex in which ci ies manage hei
jou ney owa ds his goal. The e is a g ea numbe o ci ies ha a e se ing ambi ious plans
and goals owa ds clima e neu ali y [21], and hey need mo e sys ema ic suppo o gen-
e a e he igh ecosys em o ace his ansi ion.
Fi s , he e is a need o ha monisa ion and guidance on common assessmen me h-
ods [7]. The lack o consis ency in he way ci ies accoun hei emissions is e iden , exis -
ing mul iple amewo ks, in some cases e en sel -made by municipali ies. Fu he mo e,
he lack o consis ency in GHG emissions’ scopes makes i e y di icul o compa e am-
bi ions and ac s among ci ies. Some amewo k elemen s mus be obus and consis en
o all ci ies. And secondly, he ole o o se ing he emissions. To wha ex en ci ies can
ou sou ce hem? Th ough which channels and h ough which no ? How a in geog aphic
e ms? Which is he limi o be ou sou ced?
O e all, a sys ema isa ion o e e y hing ha su ounds he clima e-neu ali y ci y
jou ney and inal goal will be a g ea p ac ical asse o ci ies and signi ican suppo o
he legi imacy o he p ocess and he cause. Fu he mo e, by p o iding a mo e solid and
igo ous common amewo k o all ci ies, he po en ial emp a ion o some poli icians o
use clima e ansi ion as a g eenwashing elemen will be limi ed.
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PhD
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This sec ion includes all sou ces ci ed in his documen , excep ing he ones included
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h ps://www.inno ada .eu/me hodology/#ma u i y-in o. [Accessed: 11-May-2022].
[57] M. Hodson, S. Ma in, and H. Bulkeley, “The In e media y O ganisa ion o Low Ca bon Ci ies: A Compa a i e Analysis o
T ansi ions in G ea e London and G ea e Manches e ,” U ban S ud., ol. 50, no. 7, pp. 1403–1422, 2013.
[58] S. Ri as e al., The Co enan o Mayo s : In-dep h Analysis o Sus ainable Ene gy Ac ions Plans. Eu opean Commission, 2015.
[59] P ojec Ze o, “Roadmap2025. 50 s eps owa ds a ca bon neu al Sonde bo g.” B igh G een Business P ojec Ze o,
Sonde bo g, p. 64, 2018.
[60] F. W. Geels, A. McMeekin, and B. P luge , “Socio- echnical scena ios as a me hodological ool o explo e social and poli ical
easibili y in low-ca bon ansi ions: B idging compu e models and he mul i-le el pe spec i e in UK elec ici y gene a ion
(2010–2050),” Technol. Fo ecas . Soc. Change, ol. 151, p. 119258, Feb. 2020.
[61] K. Spe ling, F. H elplund, and B. V. Ma hiesen, “Cen alisa ion and decen alisa ion in s a egic municipal ene gy
57 o 71
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planning in Denma k,” Ene gy Policy, ol. 39, no. 3, pp. 1338–1351, 2011.
[62] Eu opean En i onmen al Agency, “Technical backg ound documen . Accompanying he epo T ends and p ojec ions in
Eu ope 2021.” Eu opean En i onmen Agency, Copenhagen, pp. 1–31, 2021.
[63] Eu opean Commission, “Eu opean Clima e Law,” O . J. Eu . Union, ol. 2021, no. June, p. 17, 2021.
[64] Eu opean Commission, “REPowe EU: Join Eu opean Ac ion o mo e a o dable, secu e and sus ainable ene gy.”
Eu opean Commission, S asbou g, p. 10, 2022.
[65] A. Huo ila e al., “Ca bon-neu al ci ies: C i ical e iew o heo y and p ac ice,” J. Clean. P od., ol. 341, p. 130912, 2022.
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Addi ionally, and al eady men ioned, i is c ucial o s a u he esea ch on how o
inco po a e ci cula i y wi hin Scope 3 o he GHG emissions p o ocol; in u ban-ene gy
modelling e ms oo. How o include emissions om ac i i ies ha occu ou side he ci y
bounda y as a esul o ac i i ies aking place wi hin he ci y bounda y i is a challenge.
Those ac i i ies en ail supply chains beyond ene gy gene a ion, such as ood, wa e , build-
ing ma e ials, clo hing, p oduc s, e c. In his sense, LCA app oaches, and ex ended in-
pu /ou pu ables will be explo ed.
Finally, u he esea ch is needed o e ie e eliable da a om hose clima e-neu-
ali y planning sec o s whe e da a is no easily accessible (i.e., p i a e mobili y consump-
ion and emissions, beyond es ima ions).
Fo su e, he au ho and Tecnalia’s U ban T ans o ma ion Lab in end o explo e some
o hese pa hs, which will hope ully p o ide a be e amewo k o clima e ansi ion in
ci ies, and a small in- ime con ibu ion o cope wi h he clima e eme gency we a e acing
as humani y.
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This page is in en ionally le blank.
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PhD
SECTION III.
Published Resea ch
H. Sma Ze o Ca bon Ci y: Key Fac o s owa ds Sma U ban Deca bonisa ion
I. Ci ies4ZERO: O e coming Ca bon Lock-in in Municipali ies h ough Sma U ban T ans o ma ion P ocesses
J. ENER-BI: In eg a ing Ene gy and Spa ial Da a o Ci ies’ Deca bonisa ion Planning
K. Towa ds an In eg a ed App oach o U ban Deca bonisa ion in P ac ice: The Case o Vi o ia-Gas eiz
This sec ion compiles he 4 esea ch s udies o he PhD.
Enjoy eading!
Ci a ion:
K. U u ia-Azcona, In eg a ion o en-
e gy and u ban planning dynamics o
ci ies’ clima e-neu ali y. Bilbao: Uni-
e si y o he Basque Coun y, 2022.
Di ec o s:
PhD Molina-Cos a, Pa icia
PhD Flo es-Abascal, I án
Ins i u ions:
TECNALIA, Basque Resea ch and
Technology Alliance (BRTA),
Pa que Tecnológico de Vizcaya,
Geldo s ee , Edi .700, 48160 De io,
Spain.
Uni e si y o he Basque Coun y,
ENEDI Resea ch G oup, Alda. U -
quijo s/n, 48013 Bilbao, Spain.
Co espondence:
koldo.u u ia@ ecnalia.com;
In eg a ion o ene gy and u ban planning dynamics o ci ies’ clima e-neu ali y Tecnalia R&I / UPV-EHU 2022
PhD
Publica ion No. 1
Published Resea ch
K. U u ia Azcona, S. S endo So ensen, P. Molina Cos a, and I. Flo es Abascal, “Sma Ze o Ca bon Ci y: Key
Fac o s owa ds Sma U ban Deca bonisa ion,” DYNA Ing. E Ind., ol. 94, no. 1, pp. 676–683, 2019.
Sma Ze o Ca bon Ci y: key ac o s owa ds sma u ban deca bonisa ion
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
a ículo de in es igación / esea ch a icle
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Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
| Dyna | 1
Sma Ze o Ca bon Ci y: Key
Fac o s owa ds Sma U ban
Deca bonisa ion
Sma Ze o Ca bon Ci y: ac o es cla e hacia la desca bonizaci
ó
n u bana
in eligen e
DOI: h p://dx.doi.o g/10.6036/9273
| Recibido: 31/05/2019 • Inicio E aluación: 03/06/2019 • Acep ado: 06/07/2019
ABSTRACT
Fossil uels-based human ac i i y o e ime has gene a ed
unaccep able local le els o ai pollu ion and GHG emissions. One
o main implica ions o his ac i i y is Clima e Change, which
un o eseen consequences a e al eady impac ing a local and
global scales.
This esea ch is ocused on de ining an e ec i e amewo k o
shi ha end in he local le el h ough he implemen a ion o
he Sma Ze o Ca bon Ci y concep , which b ings oge he he
eme ging Sma Ci y pa adigm and he 2030/2050 EU goals wi h
he u gen need o deca bonizing ou local en i onmen s.
In his case, he s udy applies he Sma Ze o Ca bon Ci y concep
and implemen a ion me hod in o 5 EU ci ies, ocusing on he case
o Sonde bo g municipali y (DK) o ex ac he Key Fac o s
owa ds Sma U ban Deca bonisa ion, which a e applicable o
o he ci ies acing his ambi ious ansi ion.
Palab as cla e
:
Desca bonisa ion, Sma Ze o Ca bon
Ci y, Sma Ci ies, Ene gy T ansi ion.
1.
INTRODUCTION
Socie y is nowadays acing one o he ha des challenges in
his o y. Ou p og ess has been highly dependen on bu ning
ossil
uels since indus ial e olu ion in 19 h Cen u y, ob aining
ene gy a lowes possible cos s since hen, while boos ing G een
House Gas (GHG) emissions. The esul o his human ac i i y
o e ime has b ough a des abilizing phenomenon o ou ime,
Clima e Change, which un o eseen consequences a e al eady
modi ying global na u al pa e ns.
Focusing on GHG emissions and he impac his ossil- uel
dependency has on local en i onmen s, he Wo ld Heal h
O ganiza ion (WHO) s a es ha 92% o global popula ion li es in
places whe e ai quali y le els exceed WHO limi s. In his line,
ci ies a e he mos ulne able en i onmen s, bo h e en ually
egis e ing unaccep able pollu ion le els, while nowadays
concen a ing mo e han hal o global popula ion, o ecas ing
his a e o o e come 70% by 2050 [1], p o oking a huge impac
on global public heal h.
Wi hin his ossil uels pa h dependency, deca bonisa ion
o ci ies s ands as a p io i y when ackling bo h global and
mainly local ala ms. Ox o d Uni e si y de ines o
deca bonise as “ educing he amoun o gaseous ca bon
compounds eleased in o as a esul o an en i onmen o
p ocess”[2], ma ching he aim o ci ies o educe he
emissions en ailed o i s u ban me abolism p ocess o a
heal hie u ban en i onmen and he po en ial mi iga ion o
Clima e Change.
Add essing his deca bonisa ion in en , he Eu opean
Commission (EC) has se speci ic a ge s o 2020 and 2030,
educing GHG emissions by 20% and 40% espec i ely below
1990 le els, besides submi ing in No embe 2018 a s a egy
o a clima e neu al economy by 2050, pa ing he way
owa ds a ne -ze o emissions a ge adop ed in Pa is
Ag eemen [3]. Indeed, acco ding o Eu oba ome e esul s,
his is he pa h mos o Eu opean ci izens wan o ollow, as
85% o hose ag ee ha igh ing Clima e Change and using
ene gy mo e e icien ly can lead o economic g ow h [4].
Focusing on ci ies, he EC is deploying wo main ini ia i es o
achie e hose deca bonisa ion a ge s h ough local
implemen a ion in u ban en i onmen s. Fi s ly, os e ing
s a egic p ocesses, wi h he Co enan o Mayo s ini ia i e
ga he ing 7.755 signa o ies since 2008, wi h 6.038 Sus ainable
Ene gy Ac ion Plans (SEAP) submi ed and 1.743 o hose al eady
being moni o ed. This ini ia i e in ends o accele a e he
deca bonisa ion o EU e i o ies, s eng hening hei capaci y o
adap o una oidable Clima e Change impac s, allowing hei
ci izens o access secu e, sus ainable and a o dable ene gy [5].
◼◼◼◼
Koldo U u ia-Azcona
1
, Simon S endo -Sø ensen
2
, Pa icia Molina-Cos a
1
and I an Flo es-Abascal
3
1
Tecnalia Resea ch & Inno a ion. Building Technologies Uni . Pa que Tecnológico de Vizcaya. Geldo S ee , Edi . 700 - 48160 De io (Spain)
2
PlanEne gi-A.C. Meye s Vænge 15 – 2450 Københa n SV (Denma k)
3
Uni e si y o Basque Coun y. ENEDI Resea ch G oup. Alda. U quijo, s/n - 48013 Bilbao (Spain).
◼◼◼◼
a ículo de in es igación / esea ch a icle
Sma Ze o Ca bon Ci y: ac o es cla e hacia la desca bonización u bana in eligen e
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
2 | Dyna |
Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
In 2016, he ini ia i e e ol ed o demand ci ies Sus ainable
Ene gy and Clima e Ac ion Plans (SECAP), based on a Baseline
Emission In en o y and a Clima e Risk & Vulne abili y
Assessmen , as well as a epo on p og ess e e y wo yea s,
commi ing ci ies o suppo GHG educ ion EU a ge s by 2030.
Secondly, os e ing eal implemen a ion in ci ies, he EC
launched in 2012 he Eu opean Inno a ion Pa ne ship on Sma
Ci ies and Communi ies (EIP-SCC), a pla o m in ending o
engage ci ies, indus ies, SMEs, in es o s and esea che s,
b inging hem all oge he o design and deli e sma -
sus ainable solu ions and p ojec s
This EIP-SCC ini ia i e is suppo ed by H2020 inno a ion
p og amme and he S a egic Ene gy Technology Plan (SET Plan)
[6], aligning all o ces owa ds EU deca bonisa ion a ge s and
he economic g ow h o he egion.
In his con ex , he alignmen among ci ies’ deca bonisa ion
and Sma Ci y solu ions implemen a ion needs an
o e a ching concep s a ing a ision and i s goals, aming
all plans and in e en ions his ambi ious u ban ansi ion
equi es. In his line, heo e ical and expe imen al esea ch
on Sma EnCi y – Towa ds Sma Ze o CO
2
ac oss Eu ope
(EIP-SCC p ojec ) has allowed o de elop he Sma Ze o
Ca bon Ci y concep ,
Fig. 1:
Me hodology o Key Fac o s iden i ica ion (sou ce: de eloped by he au ho s).
Sma Ze o Ca bon Ci y: key ac o s owa ds sma u ban deca bonisa ion
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
a ículo de in es igación / esea ch a icle
◼◼◼◼
Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
| Dyna | 3
s ill missing on u ban planning pa adigm, se ing a ision able
o guide ci ies owa ds he sma u ban deca bonisa ion:
“A Sma Ze o Ca bon Ci y (SZCC) is a esou ce-e icien u ban
en i onmen whe e ca bon oo p in is elimina ed; ene gy
demand is kep o a minimum h ough he use o demand
con ol echnologies ha sa e ene gy and p omo e aised
awa eness; ene gy supply is en i ely enewable and clean; and
esou ces a e in elligen ly managed by awa e and e icien
ci izens, as well as bo h public and p i a e s akeholde s”[7]
(p.2).
The concep is a ge ing main deca bonisa ion elemen s
connec ed o ci ies’ ene gy sys ems: ene gy demand, ene gy
supply, and ene gy managemen ; all om a pa icipa o y and
echnology-suppo ed pe spec i e. He e, ene gy elemen s a e
a he co e, as almos o al GHG emissions gene a ed in u ban
en i onmen s come om ac i i ies en ailed o ci ies’ ene gy
sys ems.
F om his o e a ching concep , he p oblem is ocused on how
o deploy he SZCC; how his concep is e ec i ely
implemen ed in ou ci ies? In ending o answe his ques ion,
Sma EnCi y p ojec is chosen as case-s udy, whe e he
au ho s o his con ibu ion and pa ne s o he p ojec explo e
planning, implemen a ion, moni o ing and eplica ion wo ks o
iden i y he Key Fac o s owa ds Sma U ban Deca bonisa ion
(SZCC concep ), e iewing a s ill ongoing p ocess o 3 yea s o
coo dina ed ini ia i es in he ci ies o Vi o ia-Gas eiz (ES),
Ta u (EE), Sonde bo g (DK), Lecce (IT) and Aseno g ad (BG).
In his line, he me hodological sec ion o his con ibu ion
del es on how he analysis has been pe o med o ex ac
hose Key Fac o s owa ds Sma U ban Deca bonisa ion. Nex ,
he Resul s sec ion p esen s hose Key Fac o s, examining
Sonde bo g ini ia i es as a eal implemen a ion case. Finally,
he las sec ion discusses u he implica ions hose Key
Fac o s may ha e in his ambi ious u ban ansi ion as well as
po en ial esea ch lines in he opic.
2.
MATERIALS AND METHODS
Sma EnCi y p ojec has de eloped a p og am o coo dina ed
ac ions o ex ac Key Fac o s owa ds Sma U ban
Deca bonisa ion o ci ies. All hese ac ions a e happening
wi hin he bounda ies o he exis ing ci y, he e o e aligning
he Sma Ze o Ca bon Ci y concep wi h he In eg a ed U ban
Regene a ion one, which ocuses on he buil en i onmen [8].
The Key Fac o s o Sma U ban Deca bonisa ion ha e been
de eloped h ough desk esea ch, eal implemen a ion and
pe o mance measu emen s, o be inally con as ed by he
in e ac ion wi h he ci ies, which a e he inal a ge g oup.
Those Key Fac o s a e p esen ed in nex sec ion; Resul s.
2.1.
THEORETICAL & FRAMEWORK ANALYSIS
Fi s ly, he analysis del es on a ho ough e iew o In eg a ed
U ban Planning p ocesses in las decades, explo ing he
di e en u ban sys ems and how hose in e ac wi h each
o he , also add essing hei scales o ac ion -ci y/ dis ic /
building-, he ools o be used in each planning s age, and he
moni o ing equi emen s o assess he inal pe o mance o
in e en ions. The main u ban sys ems analysed in his e iew
apa om planning ha e been; ene gy, mobili y, e o i ing,
ICTs, and go e nance, as main sec o s o in e es in Sma
Ci ies & Communi ies EC p og amme.
Wi h his e iew as a backg ound, he amewo k analysis has
been suppo ed by complemen a y analyses on key elemen s
o u ban ans o ma ion p ocesses, such as: egula ion and
s anda ds; business models, p ocu emen schemes and
inancing mechanisms; a ci y diagnosis me hodology; an
in eg a ed managemen model; and a Ci izen Engagemen
s a egy. All hese inpu s, as well as he In eg a ed Planning
e iew a e inco po a ed in a s ep-by-s ep me hodology o
U ban T ans o ma ion: he U ban T ans o ma ion S a egy o
Ci y Deca bonisa ion; a jou ney owa ds he Sma Ze o
Ca bon Ci y.
2.2. TESTS IN REAL EU URBAN ENVIRONMENTS –
REAL IMPLEMENTATION
Once he U ban T ans o ma ion S a egy o Ci y
Deca bonisa ion is de ined, i is ime o u n plans in o eal
p ojec s, when s a egies a ci y scale e ol e in o speci ic
in e en ions a dis ic scale. G ounded on he heo e ical &
amewo k analysis and he U ban T ans o ma ion S a egy
o Ci y Deca bonisa ion, in e en ions in eal EU u ban
en i onmen s a e planned and implemen ed in he ci ies o
Vi o ia-Gas eiz, Ta u, Sonde bo g, Lecce and Aseno g ad,
mainly a dis ic o e en building scale.
These in e en ions a e ocused on h ee main ields: Nea ly
Ze o Ene gy Dis ic s, In eg a ed In as uc u es and
Sus ainable Mobili y; all o hem acili a ed by in ensi e
Ci izen & S akeholde s’ Engagemen ac i i ies. As a esul ,
his s udy has been able o ga he aluable implemen a ion
expe iences, acing di e se EU u ban con ex s.
2.3. MONITORING AND ASSESSMENT
Aligned wi h he implemen a ion in eal u ban en i onmen s,
p o ocols on da a collec ion, e alua ion and impac
assessmen a e designed, as well as a se o Key Pe o mance
Indica o s (KPIs) bo h a p ojec and ci y le els. This way,
h ough moni o ing and supe ision o in e en ions a
dis ic scale, he p ojec eam has been able o ob ain clea
ac s and igu es on p ojec ’s pe o mance, iden i ying wha
wo ks wi hin his p ocess and o wha ex en . Acco dingly,
hese KPIs allow o measu e he speci ic con ibu ion o each
in e en ion o he o e all ci y deca bonisa ion a ge .
Fu he mo e, he in e ope abili y o ga he ed da a is
s uc u ed h ough a Ci y In o ma ion Open Pla o m, which
enables access and exchange o di e se g oups o
s akeholde s, besides public adminis a ion manage s.
2.4. KNOWLEDGE SHARING & REPLICATION POTENTIAL –
CONTRAST WITH CITIES
Finally, all he inpu s ga he ed up o his poin -2.1; 2.2; 2.3- a e
bundled in o a eplica ion oolki , con as ing his knowledge wi hin
ci ies’ ne wo ks, h ough knowledge-
◼◼◼◼
a ículo de in es igación / esea ch a icle
Sma Ze o Ca bon Ci y: ac o es cla e hacia la desca bonización u bana in eligen e
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
4 | Dyna |
Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
sha ing wo kshops wi h ci ies and expe s. Those in e es ed
ci ies a ending he wo kshops a e in oduced o he
ma e ials included in he eplica ion oolki , whe e hey
iden i y which ma e ials a e o hei in e es depending on
hei local con ex . Fu he mo e, hey can also check o
wha ex en hei cu en pe o mance is e ec i ely
enabling a sui able ci y ansi ion owa ds a Sma U ban
Deca bonisa ion. He e, a compa a i e analysis on how
ci ies a e ul illing hei deca bonisa ion goals based on
hei moni o ing esul s can os e a heal hy
compe i i eness among ansi ioning ci ies [9].
In he sec ion Resul s, Sonde bo g planning (2.1),
implemen a ion (2.2), assessmen (2.3) and na ional
ne wo king (2.4) case is aken as a e e ence o exempli y
he iden i ied Key Fac o s owa ds Sma U ban
Deca bonisa ion
3. RESULTS
Sonde bo g is one o Sma EnCi y pilo cases, whe e he
U ban T ans o ma ion S a egy o Ci y Deca bonisa ion -in
his case including an In eg a ed Ene gy Plan (IEP) [10]- was
de eloped based on he SZCC amewo k. The p ojec also
deployed in e en ions in building e o i ing, mobili y,
and ene gy sec o s, wi h high engagemen s anda ds,
inally moni o ing he pe o mance o all hose
in e en ions. A e his p ocess was comple ed in
Sonde bo g, eedback allowed o e ine he amewo k
be o e being used again and u he es ed by Ta u,
Vi o ia-Gas eiz, Lecce and Aseno g ad.
The speci ic app oach ollowed in Sonde bo g was o
de elop an IEP p ocess (Figu e 2) whe e a pool o local
s akeholde s would commi o de eloping s a egic
p ojec s, all aligned wi h he inal goal o achie ing he
Sma Ze o Ca bon Sonde bo g by 2029, based on
sus ainable g ow h and os e ing g een jobs c ea ion as
side- esul . Th ough calcula ed scena ios, each o hose
s a egic p ojec s was in oduced in o he ene gy modelling
so wa e (sec ion 3.1.3), quan i ying he amoun o CO2
emissions educ ion and i s o e all con ibu ion o he inal
deca bonisa ion a ge o he ci y.
The p ocess was conduc ed and coo dina ed by a municipal
and local-p i a e s uc u e. Based on his case and
app oach, he Key Fac o s (KF) owa ds Sma U ban
Deca bonisa ion a e p esen ed below.
3.1. KF1. EFFECTIVE INTEGRATION OF ENERGY PLANNING
INTO URBAN PLANNING PROCESSES
I
n he Sonde bo g case, he IEP p ocess was p epa ed and
o ganized o i in o a much b oade municipal p ocess o
upda ing he municipal plan o Sonde bo g, which is
de eloped e e y second yea . In Sonde bo g, he municipal
plan is he o mal s ee ing documen o poli icians and
municipal employees, and he e o e he e was a na u al i
o he ou come o he IEP p ocess – bo h in e ms o
diagnosing Sonde bo g’s ene gy sys em and en isioning
ealis ic plans owa ds deca bonizing he ene gy sys em –
o wo k as knowledge inpu s o adminis a ion and
poli icians, becoming mo e in eg a ed in he gene al u ban
planning p ocess. The lack o his kind o in eg a ion has
been iden i ied as a key ba ie o o e come when implemen ing
conc e e ene gy- ela ed ini ia i es in municipali ies.
The e ec i e in eg a ion o ene gy planning in o u ban planning
p ocesses is mainly based on s a egic municipal p ocesses a
municipal le el (3.1.1), he engagemen o key local
s akeholde s (3.1.2) and he in eg a ion o ene gy modeling
ools in o decision-making (3.1.3).
3.1.1. KF1.1. S a egic municipal p ocesses owa ds Sma
U ban Deca bonisa ion in he mid-long e m
The Con e ence o COP24 Pa ies “ ei e a es i s in i a ion o
Pa ies o communica e, by 2020, mid-cen u y, long- e m low
g eenhouse gas emission de elopmen s a egies in acco dance
(…) o he Pa is Ag eemen ” - COP24 [12]
Sonde bo g in ends o be a ole model owa ds sma
deca bonisa ion o small and mid-sized ci ies. The municipali y
s a ed he jou ney in 2007 and i s commi men owa ds
deca bonisa ion has been g owing since hen, educing CO2
emissions by 35% and ene gy consump ion by 14%. Nex s eps
a e s ee ed by Sonde bo g’s Roadmap 2025, when he ci y
in ends o a ain a 75% ca bon educ ion, a key miles one be o e
becoming ca bon neu al in 2029 [11].
Since 2007, his s a egic p ocess has kep bo h public and
p i a e in e es and coope a ion o e ime, p o iding s abili y
o he p ocess in he long e m. As an example, he co-
de elopmen o Roadmap2025 has ga he ed mo e han 100 local
s akeholde s wo king in he p oposals, inspi ing business and
ci izens, sp eading he eeling o belonging o a sus ainable
communi y, which wo ks all oge he owa ds a common
meaning ul goal.
In his kind o long- e m s a egic p ocesses, he c ea ion o a
local ene gy planning au ho i y inside he municipali y can
p o ide he equi ed suppo , being able o s ee hese
p ocesses and c oss-wo k wi h o he public depa men s and
p i a e s akeholde s. In he case o Sonde bo g, his s a egic
p ocess was launched h ough a public-p i a e pa ne ship -
P ojec Ze o-, e en o e coming he public sec o and sp eading
i s oo s in indus y and academia. This inclusi e pa ne ship has
been key in he accep ance and in ol emen o he local
communi y in his ini ia i e.
3.1.2. KF1.2. Key local s akeholde s’ engagemen in o
In eg a ed Ene gy Planning p ocesses
“The new s a egic discou se needs o emphasize he p ocess
han he con en , he ac o s mo e han he s uc u es
sepa a ing o he planning and ope a ional elemen s o he
p ocess” – P. M. Williams [13].
The o ganiza ion and se icing o s akeholde s has been he
single highes p io i y in Sonde bo g’s IEP p ocess. This is based
on he simple belie e ha , since s akeholde s a e he ones who
a e going o de elop he ini ia i es, hey need o be engaged
om he beginning o achie e a success ul implemen a ion.
Sma Ze o Ca bon Ci y: key ac o s owa ds sma u ban deca bonisa ion
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
a ículo de in es igación / esea ch a icle
◼◼◼◼
Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
| Dyna | 5
Figu e 2: Sonde bo g’s Roadmap 2025 ime-line as pa o hei Ene gy T ansi ion S a egy o Ci y Decabo nisa ion and IEP P ocess [ 1]
Expe ise om local s akeholde s suppo s ha he mos cos -
e ec i e and unde s andable ini ia i es o hem a e b ough
o wa d, whe e only ealis ic and aluable ac ions a e conside ed,
ein o cing he implemen a ion p ocess.
Du ing he IEP p ocess in Sonde bo g, local s akeholde s we e
di ided in 8 g oups based on Sonde bo g’s p ima y ocus a eas in
e ms o CO2- educ ions (Ene gy sys em, Ag icul u e, Housing
associa ions, P i a e en als, Owne -occupied housing, Passenge
anspo , Businesses and Hea y anspo ).
Each g oup had a wo k g oup leade (ex e nal s akeholde )
and a sec e a y (in e nal s akeholde ), and hey had eedom o
plan he mos sui able wo king p ocess o hem, wi h he only
equi emen o be aligned wi h he IEP p inciples. The inal
p ojec p oposals we e assessed by a s ee ing g oup wi h
in ol emen om he Ene gy sys em g oup o ensu e he sys emic
app oach.
G ouping s akeholde s allowed hem o apply hei ocus in
he a ea each s akeholde had mos commi men and expe ise
abou . This also enhanced ha he p ojec p oposals whe e
de eloped e icien ly and based on he a ailable knowledge. In
his line, some key s akeholde s wi h decision-making au ho i y
we e iden i ied in Sonde bo g, and we e gi en special oles,
acknowledging ha changes in speci ic elemen s o Sonde bo g’s
ene gy sys em ha e a la ge impac (e.g. dis ic hea ing
p oduc ion o uel consump ion in la ge indus ies/ sub-g oup o
la ge indus ies ha ing indi idual mee ings wi h he s ee ing
g oup). The highe he impac , he mo e a en ion on s ee ing
hei ini ia i es.
3.1.3. FC1.3. Tools o e ec i e ene gy deca bonisa ion
modelling
“Tools can con ibu e o a b oade scope, mo e
comp ehensi e assessmen s, and be e legi imacy o he ene gy
planning” – J. I ne [14].
A clea pic u e o he local ene gy sys em is key o unde s and
and plan a easible pa h o ollow owa ds deca bonisa ion,
enabling he gene a ion o al e na i e ene gy scena ios o he
u u e. In Sonde bo g case, wo o e all ools (ene gyPLAN [15],
based on Aalbo g Uni e si y Sma Ene gy Sys em model -Figu e
3- and Ene gy Balance [16] -Figu e 5-) ha e been used o
calcula e and isualise he cu en s a us o Sonde bo g’s ene gy
sys em (Figu e 4), as well as o o ecas he po en ial e ec s
om he p ojec s p oposed by he 8 s akeholde g oups.
Using hese modelling ools, Sonde bo g’s ene gy sys em
was quan i ied a h ee di e en s ages in he IEP p ocess: he
end (2029 wi hou new p ojec s) – he midway (2029 wi h
a ious ypes o p ojec s) – and he ambi ious (2029 wi h all
p ojec s inalized). Bo h ools p o ided he backg ound
knowledge o he wo k o all 8 g oups, iden i ying which
p ojec p oposals we e mos in e es ing o Sonde bo g’s
deca bonisa ion a ge . In his ega d, bo h ools we e able o
quan i y he po en ial impac on o e all CO2 emissions
educ ion o each p ojec .
Fu he mo e, moni o ing is conside ed key o main ain
s akeholde mo i a ion in Sonde bo g du ing nex yea s. A
moni o ing sys em has been he e o e es ablished, o enable
p og ess ollow-up o each o 8 s akeholde g oups. The
moni o ing sys em is se up om an Excel-based Ene gy Balance
Tool (which can be downloaded a Sma EnCi y websi e [16]),
whe e he ene gy low is calcula ed acco ding o guidelines
es ablished by he Danish Ene gy Agency.
The Ene gy Balance ool is u he di ided in o subg oups, so
he 8 ac i i y g oups can ollow he de elopmen o each
ac i i y o e ime acco ding o Figu e 5.
◼◼◼◼
a ículo de in es igación / esea ch a icle
Sma Ze o Ca bon Ci y: ac o es cla e hacia la desca bonización u bana in eligen e
Koldo U u ia-Azcona, Simon S endo -Sø ensen, Pa icia Molina-Cos a, e I an Flo es-Abascal
6 | Dyna |
Cod. 9273
| Tecnología de la cons ucción | 3305.37 Plani icación u bana
Figu e 3: Sma Ene gy Sys em model de eloped by Aalbo g Uni e si y [15]
Figu e 4: Sma Ene gy Sys em model wi h local Sonde bo g con ex used in Sonde bo g’s IEP p ocess (PlanEne gi and Aalbo g Uni e si y in [11])
3.2. KF2. ENERGY EFFICIENCY, CLEAN SUPPLY AND
RAISED AWARENESS INITIATIVES DEPLOYMENT
“I is impo an o p opose ini ia i es wi hou delay
and in line wi h he Join Decla a ion o he h ee
ins i u ions on he Eu opean Union (…), o allow o a
swi ene gy ansi ion on he g ound. (…) he ocus now
u ns o implemen a ion” – Eu opean Commission [17].
The implemen a ion o SZCC a ge ed ini ia i es is key o
achie e Sma U ban Deca bonisa ion. In Sonde bo g’s IEP
p ocess (Figu e 2), 56 p ojec p oposals we e de eloped by
local s akeholde s, which we e hen p ocessed and
concen a ed in o 40 inal p ojec p oposals, inding he
ag eemen o include hose in Sonde bo g 2025 Roadmap.
Sus ainabili y 2020,12, 3590 3 o 30
This ques ion is wha he Ci ies4ZERO heo e ical app oach add esses, based on he expe ience o
a close collabo a ion wi h he local au ho i ies o Vi o ia-Gas eiz (ES), Ta u (EE), Sonde bo g (DK),
Aseno g ad (BG) and Lecce (IT), analyzing ad-hoc local s a egic app oaches, plans, and p ojec s
owa ds deca boniza ion. The me hodology p esen ed in his a icle is he esul o a close analysis o
he eal planning dynamics in hese ci ies; howe e , i has no ye been ully implemen ed, so i emains
as a heo e ical amewo k, while he eal e ec s o i s ull implemen a ion will ake se e al yea s o
moni o ing p og ess owa ds e ec i e deca boniza ion. Ne e heless, he applica ion o his heo e ical
app oach in hese i e ci ies has al eady been able o mobilize hei local communi ies owa ds sha ed
diagnosis, isioning, and planning p ocesses; a co ne s one owa ds a p omising u ban ansi ion.
In he es o his esea ch a icle, Sec ion 2, he Ma e ials and Me hods sec ion, p esen s he Sma
Ze o Ca bon Ci y guiding concep , while aising he ques ion o how o implemen his concep in
eal u ban con ex s. Sec ion 2also desc ibes he me hod ollowed in his esea ch, s a ing om a
“be a” e sion o he s a egic app oach h ough o he inal e sion o he Ci ies4ZERO me hodology,
which is p esen ed s ep-by-s ep in Sec ion 3, Resul s. Finally, he Discussion and Conclusions sec ions
highligh he impo ance o suppo ing ci ies in his ansi ion, os e ing deepe ho izon al and
e ical in eg a ion, and sha ing me hodologies and ools o ci ies ac oss a communi y o p ac ice
owa ds deca boniza ion.
2. Ma e ials and Me hods
2.1. Sma Ze o Ca bon Ci y: he Concep Unde lying he Me hodology
Ci ies4ZERO me hodology in ends o align ci ies’ deca boniza ion and Sma Ci y solu ions
implemen a ion, h ough a concep able o s ee his u ban ans o ma ion p ocess: The Sma Ze o
Ca bon Ci y concep .
A Sma Ze o Ca bon Ci y (SZCC) is a esou ce-e icien u ban en i onmen whe e ca bon
oo p in is nea ly elimina ed; ene gy demand is kep o a minimum h ough he use o
demand con ol echnologies ha sa e ene gy and p omo e aised awa eness; ene gy supply
is en i ely enewable and clean; and esou ces a e in elligen ly managed by awa e and
e icien ci izens, as well as bo h public and p i a e s akeholde s [4].
This concep a ge s he main deca boniza ion elemen s om a pa icipa o y and
echnology-suppo ed app oach, and wo ks as he ul ima e goal o be achie ed by ci ies on boa d o his
ansi ioning p ocess. Wi h his guiding concep as an o e a ching goal o ci ies, he ollowing me hod
was de eloped o enable e ec i e ac ion in municipali ies, bo h in planning and implemen a ion
e ms. This me hod builds upon he p e ious wo k o he au ho s on he a icle “Sma Ze o Ca bon
Ci y: Key Fac o s owa ds Sma U ban Deca boniza ion” [
4
], which is he e b ie ly summa ized,
u he de eloped and inalized, answe ing one o he key ac o s iden i ied: “S a egic municipal
p ocesses owa ds Sma U ban Deca boniza ion in he mid-long e m”, asking o a s a egic p ocess
able o guide he commi men o municipali ies in he mi iga ion o GHG emissions h ough u ban
ans o ma ion p ocesses in he mid-long e m. This s a egic p ocess, Ci ies4ZERO, is p esen ed in he
Sec ion 3, Resul s, and he me hod o ob ain i , desc ibed in he ollowing diag am and lines o his
sec ion (Figu e 1).
2.2. Ci ies4ZERO Be a_0 Ve sion: a Me hodology om he Lab
Based on he SZCC concep (-0- in Figu e 1), he esea ch ho oughly e iewed u ban ans o ma ion
p ocedu es, ools, and bes p ac ices in he las decades, del ing on ci y sys ems and he way in which
hese in e ac wi h each o he a he di e en u ban scales [
16
]. This e iew was complemen ed by a
amewo k on u ban ans o ma ion p ocesses, including s udies on ci y diagnoses [
17
], egula ion [
18
],
inancing, p ocu emen schemes and business models [
19
], s anda ds [
20
], an in eg a ed managemen
model [21] and a ci izen engagemen s a egy [22].
Sus ainabili y 2020,12, 3590 4 o 30
This ho ough heo e ical and amewo k analysis in he lab (-1- in Figu e 1) enabled
he de elopmen o a be a_0 e sion o Ci ies4ZERO me hodology, eady o be es ed in eal
u ban en i onmen s.
Figu e 1. W ap-up diag am p esen ing he me hod ollowed o de elop Ci ies4ZERO me hodology.
2.3. Con as o Ci ies4ZERO Be a_0.1 - F om he Lab o he U ban Lab
The Ci ies4ZERO be a_0 e sion was applied in i e Eu opean ci ies wi h a o mal commi men o
educing hei GHG emissions, suppo ed by an in e disciplina y conso ium and he pa ial unding
o he EC o de elop s a egies, plans, and in e en ions in hei pa h owa ds ca bon neu ali y.
Those ci ies we e di ided in o wo g oups; he “ligh house” ones we e Vi o ia-Gas eiz (ES), Ta u
(EE), and Sonde bo g (DK), willing o in e ene h ough pilo p ojec s in speci ic dis ic s, as well as
upda ing hei ci y s a egies; and he “ ollowe ” ones, Aseno g ad (BG) and Lecce (IT) [
23
], willing o
lea n om he expe iences o ligh house ci ies o upda e hei ci y s a egies, and s a wi h speci ic
dis ic in e en ions in a la e s age. The i e ci ies we e small and mid-sized, showing ha his
signi ican g oup o ci ies (83.43% o EU ci ies, acco ding o Eu os a da a [
24
]) can also mo e o wa d
in his ansi ion, a om big numbe s and budge s o main Eu opean capi als. Mo e speci ically, he
Sus ainabili y 2020,12, 3590 5 o 30
h ee leading ci ies we e chosen as hey we e conside ed pionee s in di e en deca boniza ion ields
(Vi o ia-Gas eiz—sus ainable mobili y and g een in as uc u es; Ta u—ICTs deploymen in he u ban
en i onmen ; Sonde bo g—s a egic oadmaps owa ds deca boniza ion), sha ing a solid backg ound
and able o o e lessons o o he ci ies om a collabo a i e app oach (Table 1).
Table 1.
Vi o ia-Gas eiz, Ta u, and Sonde bo g main ea u es o alue o Ci ies4ZERO esea ch s udy.
Vi o ia-Gas eiz
This adminis a i e capi al o he Basque Coun y, in no he n Spain, has a popula ion o
240,000 inhabi an s, wi h an ex ension o 276.81km2. A compac , mode a ely dense ci y,
Vi o ia-Gas eiz has an ex ensi e backg ound in he planning and implemen a ion o
en i onmen al policies, being awa ded he Eu opean G een Capi al appoin men in 2012.
A la and walkable ci y su ounded by a "g een bel ", and o en ega ded as a model in
sus ainable mobili y planning, Vi o ia-Gas eiz is commi ed o becoming a ca bon-neu al
ci y by 2050.
Ta u
Ta u is he second-la ges ci y in Es onia, wi h a popula ion o 100,000 inhabi an s and a
o al a ea o 38.86km
2
. The home o se e al knowledge-in ensi e o ganiza ions (Uni e si y
o Ta u, Es onian Uni e si y o Li e Sciences), i is be e known o i s ex ensi e
implemen a ion o Sma echnologies in he U ban En i onmen . Ta u implemen ed
public Wi-Fi a eas h oughou he ci y and was he i s ci y in he wo ld o enable a
mobile-paymen sys em o s ee pa king in 2000. Pape less go e nmen was
implemen ed in 2003, e-elec ions in 2005 and 2011 (EU Pa liamen ), and ully elec ic axi
se ice and cha ging g id we e implemen ed in 2012.
Sonde bo g
Six een h la ges municipali y in Denma k, wi h app oxima ely 77,000 inhabi an s,
included in he Sou he n Denma k egion. The municipali y holds an ex ensi e ag icul u e
sec o , some o Denma k’s la ges indus ial companies (i.e., Dan oss), and some o he
mos beau i ul na u al eso s o he coun y, wi h a cos o app oxima ely 200km (o sho e
wind po en ial) and as o es s (local biomass po en ial). The ci y o Sonde bo g has been
wo king wi h he “P ojec Ze o” oadmap since 2007, aiming o become ca bon neu al by
2029; one o he wo ldwide pionee ci ies in his ega d.
Wi hin his collabo a i e amewo k among municipali ies, he pilo in e en ions in he ligh house
ci ies a ge ed h ee main in e en ions ields, closely connec ed o u ban deca boniza ion: nea ly
ze o ene gy dis ic s; in eg a ed in as uc u es, and sus ainable mobili y; acili a ed by ci izen and
s akeholde s’ engagemen ac i i ies (-2- in Figu e 1). These in e en ions we e in ended o igge
addi ional low-ca bon in es men s in he ci ies, os e ing local eplica ion, as well as inspi a ion o
o he ci ies based on hese bes p ac ices. Table 2summa izes hese in e en ions, whe e ene gy
sa ings we e calcula ed acco ding o BEST (building ene gy speci ica ion able) and TEST ( anspo
ene gy speci ica ion able) s anda ds.
Aligned wi h all hose s a egies, plans, and in e en ions, a p ojec supe ision including a
moni o ing p og am and la e pe o mance measu emen s and assessmen o in e en ions was
de eloped (-3- in Figu e 1). In line wi h his, key pe o mance indica o s le esea che s know wha
was wo king and wha was no as expec ed, and o wha ex en he in e en ions we e con ibu ing o
deca boniza ion a ge s, besides o he complemen a y measu emen s. Th ough his con as in he i e
ci ies, Ci ies4ZERO me hodology was ine- uned o achie e i s be a_0.1 e sion.
Sus ainabili y 2020,12, 3590 6 o 30
Table 2.
Vi o ia-Gas eiz, Ta u, and Sonde bo g in e en ions du ing Sma EnCi y p ojec . Sa ings
o e iew in pilo p ojec s (2016–2021).
Ene gy
Sa ings
(kWh/Yea )
CO2Emission Reduc ion (Tn/Yea )
DISTRICT
INTERVENTIONS
Building
Re o i ing
•450 dwellings/36,000m2
•En elope insula ion ( oo and
açade)
•Connec ion o dis ic
hea ing ne wo k
6,099,700 2149
VITORIA-GASTEIZ
In eg a ed
In as uc u es
•New biomass-powe ed dis ic
hea ing ne wo k
•In eg a ed elec ical and he mal
ne wo k Ene gy Managemen
Sys ems, a Home/Building/Dis ic
le els (HEMS/BEMS/DEMS)
Sus ainable
Mobili y
•
Deploymen o 100% elec ic
bus line
ICTs
•U ban managemen sys ems
(UMS)
CITY STRATEGY
•
In eg a ed Ene gy
T ansi ion Ac ion
Plan 2030
Baseline 2006: 841,068 CO2 n/y
2020: 624,728 CO2 n/y
Nex a ge by 2030 (-40%): 504,640 CO2 n/y
DISTRICT
INTERVENTIONS
Building
Re o i ing
•900 dwellings/39,500m2
•En elope insula ion ( oo and
açade)
•New low-ene gy windows
and doo s
•PV (Pho o ol aic) panels in he
sou h acades
•Connec ion o he dis ic hea ing
and emo ing old elec ic boile s
•Hea eco e y en ila ion sys em
16,080,829 12,244
TARTU
In eg a ed
In as uc u es
•In eg a ing hea ing and cooling in
he cu en Dis ic Hea ing
Th ough a new hea -pump
•Sma public ligh ing
Sus ainable
Mobili y
•Ex ending he echa ging ne wo k
o elec ic ehicles (EVs)
•Bikesha e
•Biogas buses
•Reuse o EVs ba e ies as a s o age
sys em o PV panels
ICTs
•U ban managemen sys ems
(UMS)
CITY STRATEGY
•Ta u 2030 Ene gy
+Plan
Baseline 2010: 540,794 CO2 n/y
2020: 432,635 CO2 n/y
Nex a ge by 2030 (-40%): 324,477 n/y
Sus ainabili y 2020,12, 3590 7 o 30
Table 2. Con .
Ene gy
Sa ings
(kWh/Yea )
CO2Emission Reduc ion (Tn/Yea )
DISTRICT
INTERVENTIONS
Building
Re o i ing
•844 dwellings/66,181 m2
•En elope insula ion ( oo and
açade)
•New low-ene gy windows
and doo s
•PV panels in oo s
•LED ou doo lamps
•Ligh ing con ol
16,080,829 12,244
SONDERBORG
In eg a ed
In as uc u es
•
Residen ial elec ici y s o age om
local enewable ene gy (PV)
Sus ainable
Mobili y
•44 biogas buses lee and biogas
illing s a ion
•Ex ending he echa ge ne wo k
o EVs
ICTs
•U ban managemen sys ems
(UMS)
CITY STRATEGY
•Roadmap2025—50
s eps owa ds a
ca bon-neu al Sonde bo g
Baseline 2007: 701,044 CO2 n/y
2018: 432,336 CO2 n/y
Nex a ge by 2025 (-75%): 175,261 n/y
2.4. Con as o Ci ies4ZERO be a_0.2—F om he u ban lab o he eal wo ld
A his s age, Ci ies4ZERO be a_0.1 e sion and all he complemen a y ma e ials and ools we e
packed in o a eplica ion oolki , which was o e ed o municipali ies wi h a deca boniza ion in e es ,
wi hin a pool o 60 ci ies om di e en coun ies ha signed up as membe s o he Sma EnCi y
Ne wo k on hei own will and in e es [
25
], in ending o lea n abou he expe iences o he 5 pilo ci ies.
Mul iple wo kshops wi h municipali ies and expe s we e o ganized in se e al Eu opean coun ies,
whe e an in ensi e knowledge exchange allowed he es ing o con en s, in e es , and eplica ion
po en ial o Ci ies4ZERO me hodology, achie ing he ine- uned be a_0.2 e sion (-4- in Figu e 1).
Finally, he iden i ica ion o he key ac o s owa ds sma u ban deca boniza ion [
4
], based on he
lessons lea ned along his p ocess, and a inal e iew by he au ho s allowed o achie e Ci ies4ZERO
me hodology, p esen ed in he Sec ion 3, Resul s (-5 and 6- in Figu e 1).
3. Resul s
This sec ion p esen s Ci ies4ZERO— he u ban ans o ma ion me hodology o ci ies’
deca boniza ion—a s ep-by-s ep me hodology o a sma u ban deca boniza ion ansi ion, guiding
ci ies h ough he p ocess o de eloping he mos app op ia e s a egies, plans and p ojec s, as well as
looking o he commi men o key local s akeholde s o an e ec i e ansi ion; all om an in eg a ed
planning app oach.
Bea ing in mind he c i ical si ua ion ega ding he need o mi iga ion ac ions, he impo an
ques ion is how o e ec i ely deploy he SZCC concep in ou ci ies. In line wi h his, Ci ies4ZERO
sugges s a p agma ic app oach o municipali ies s uc u ed on 3 s ages and 16 s eps. S age A will deal
wi h he de elopmen o he ci y s a egy owa ds deca boniza ion, while s ages B and C will de elop
he key p ojec s iden i ied in ha ci y s a egy (Table 3).
Sus ainabili y 2020,12, 3590 8 o 30
Table 3. Ci ies4ZERO alue p oposi ion o local au ho i ies.
A. S a egic S age Ci y Le el
CITY STRATEGY
STEPS 1–6
. They p o ide a s a egic planning amewo k which enables he ci y
adminis a ion o pe o m an e ec i e ansi ion owa ds he Sma Ze o Ca bon
Ci y (SZCC), including:
•Key ci y s akeholde s’ engagemen and ins i u ional analysis
•Analysis and diagnosis o ci y s eng hs and oppo uni ies
•Co- isioning p ocess o u ban ans o ma ion owa ds ene gy ansi ion,
including po en ial u u e scena ios
•De elopmen o s a egic plans o deploy ha ision and iden i ica ion o
key p ojec s, ensu ing in eg a ion in local au ho i ies’ p ocesses,
commi men o engaged s akeholde s and municipal suppo
B. Design S age P ojec Le el
DEVELOPMENT AND
IMPLEMENTATION
OF KEY PROJECTS
STEPS 7–11
. They guide municipali ies h ough he de elopmen o key p ojec s
iden i ied in S age A, acco ding o he s a egic plans o he ci y, pa ing he way
o angible in e en ions owa ds he SZCC, including:
•P ojec p io i iza ion and selec ion based on ci y needs
•Ci y ans o ma ion amewo k wi h policies, plans, bes p ac ices,
egula ion, e c.
•Funding and inancing mechanisms
•Ci izen engagemen s a egies o p ojec de elopmen
•P ojec design and ools
•P ojec implemen a ion plan and indica o sys ems
C. In e en ion and Assessmen S age P ojec and Ci y Le el
STEPS 12–16
. They s uc u e he implemen a ion and assessmen o key p ojec s
iden i ied in S age A and designed in S age B, inally ans o ming he u ban
en i onmen ; including:
•In e en ion wo ks, solu ions deploymen , and commissioning
•Moni o ing, main enance, and use s aining
•In e en ions’ pe o mance and impac assessmen
•Pos managemen and communica ion h ough ci y in o ma ion
open pla o ms
•P ojec and s a egy alida ion
•Up-scaling o success ul expe iences
This s ep-by-s ep me hodology is no concei ed as a linea p ocess, bu as a ci cula one. The whole
p ocess (S ages A, B, and C) cyclically i e a es when el pa ially obsole e o eadjus he ocus o
s a egies, plans, and key p ojec s owa ds he inal deca boniza ion goal, acco ding o he co- o mula ed
ci y ision (Figu es 2and 3).
Figu e 2. S ages om Ci ies4ZERO me hodology and ci cula i y o he p ocess.
Sus ainabili y 2020,12, 3590 9 o 30
Figu e 3. W ap-up diag am om Ci ies4ZERO me hodology.
Sus ainabili y 2020,12, 3590 10 o 30
Depending on he cu en s a us o each municipali y, he poin o depa u e can a y, as some
me hodological s eps migh be al eady ul iled. The i s exe cise o ci ies consis s o e alua ing hei
si ua ion ega ding his p ocess and which s eps om S age A will be a p io i y o hem. As a s a ing
poin , he Sma EnCi y eam has de eloped he Ci y Check-up Assessmen ool [Supplemen a y
Ma e ials]. By illing a ques ionnai e, ci ies can sel -assess ega ding his u ban ans o ma ion p ocess.
Finally, s ep-by-s ep does no always mean ha i mus be a s aigh line; eali y is usually mo e
complex han plans. Ei he way, his me hodology will wo k as a solid e e ence amewo k. The inal
aim o Ci ies4ZERO is o in ol e Eu opean ci ies on he pa h owa ds deca boniza ion, mainly a ge ing
he wide ange o small and mid-sized ci ies in he egion (83.43% o ci ies) [
26
]. As he Sma EnCi y
p ojec slogan s a es, “you don’ ha e o be a capi al ci y o make a majo di e ence!”.
3.1. A. S a egic S age a Ci y Le el – CITY STRATEGY
The main objec i e o he s a egic s age is o p o ide a amewo k ha enables he ci y o pe o m
an e ec i e ansi ion owa ds he SZCC (Figu e 4). In la e s ages, he s a egy del es in o conc e e
p ojec s’ de ini ion (B. Design S age) and implemen a ion (C. In e en ion and Assessmen S age),
landing on speci ic p ojec s iden i ied in his s a egic s age a he ci y le el.
Figu e 4. S eps o Ci ies4ZERO S a egic S age.
The amewo k o his s a egic s age consis s o six s eps, ocusing on he main ac i i ies o be
pe o med a he ci y-planning le el. The i s s ep (1. ENGAGE) desc ibes he ounda ion o a pe manen
local s ee ing g oup (local pa ne ship owa ds he SZCC) lead by he local au ho i y o his ansi ion
owa ds he SZCC, sugges ing an al e na i e go e nance model wi h key local s akeholde s on boa d.
Wi h his g oup in place, he ci y needs o pe o m a ho ough ci y cha ac e iza ion (2. ANALYSE) and a
s a egic ci y diagnosis (3. DIAGNOSE), o unde s and wha he poin o depa u e o he ci y ansi ion
is. This comp ehensi e backg ound analysis allows one o pe o m a s a egic planning p ocess, s a ing
wi h he co-de elopmen o a ci y ision (4. ENVISION), based on po en ial deca boniza ion scena ios
o he ci y. Tha esul ing ision will p o ide an umb ella o de elop a s a egic plan, which will s ee
he ci y owa ds he achie emen o ha ag eed ision, also de ining an ac ion plan o pe o m speci ic
ac ions wi h ha pu pose (5. PLAN
Ci y le el
— key s ep o S age A). The las s ep o he s a egic s age
(6. INTEGRATE) os e s he in eg a ion o s a egic plan con en s in o municipal planning ins umen s,
ensu ing he alignmen and o icial app o al o all p ocesses o a oid legal, adminis a i e and land-use
ba ie s, while le e aging syne gies among municipal depa men s and compe ences, all ca e ully
s ee ed by he local pa ne ship owa ds he SZCC.
Be o e acing his s a egic s age wi h S ep 1, i is highly ecommended o ci ies o use he Ci y
Check-up Assessmen ool (Supplemen a y Ma e ials), so ha he eade has an o e iew o he
p ocess, con ex ualized o his/he speci ic local en i onmen .
Sus ainabili y 2020,12, 3590 11 o 30
STEP 1. ENGAGE. Founda ion o a local pa ne ship owa ds he SZCC
The i s co ne s one in his jou ney equi es he ounda ion o a local g oup headed by he local
au ho i y (local pa ne ship owa ds he SZCC), which will s ee he u ban ans o ma ion owa ds
he SZCC, p o iding s abili y o he p ocess in he mid-long e m. This local s ee ing g oup mus
map and engage key local s akeholde s, including ep esen a i es om all quad uple helix b anches
(go e nmen , indus y, academia, and ci izenship), as well as de ining he go e nance model o his
u ban ans o ma ion p ocess. This local g oup can e en ually be suppo ed by ex e nal consul ancy i
some compe ences a e missed wi hin he municipali y.
Be o e s a ing wi h he u ban ans o ma ion s a egy, p eplanning asks o his g oup mus e lec
on he o e all s a egy equi emen s and app o als such as imeline, coo dina ion wi h o he pa ne s
and municipal depa men s, po en ial ins i u ional adap a ions [
27
], budge a y needs, in en o ies and
da a eposi o ies, (. . . ); de e mining he needs o he shaping, egula ing, s imula ing and capaci y
building o po en ial p ojec s o ini ia i es amed wi hin his u ban ans o ma ion p ocess. A wide
commi men o he local au ho i y is key o a po en ial ci y deca boniza ion.
STEP 2. ANALYSE. Ci y in o ma ion ga he ing: he ci y backg ound in o ma ion package
When acing a s a egic u ban ans o ma ion p ocess, a ho ough analysis ga he ing
comp ehensi e in o ma ion on he cu en s a e o he ci y is c ucial o success ul egene a ion.
A p e-analysis mus pe o m a li e a u e e iew a he ci y le el, del ing on exis ing policies,
egula ions, s a egies, and plans, complemen ed by semi-s uc u ed in e iews wi h expe s
and su eys on ci izens’ pe cep ion. On ha basis, a ci y cha ac e iza ion p o ides a deepe
unde s anding on he socioeconomic and sec o ial ea u es (ene gy, building s ock, mobili y, public
space, ICTs—In o ma ion and Communica ion Technologies—engagemen , was e, wa e , e c.) and
he s a us o he ci y, whe e ci y indica o s (SZCC eadiness le el in [
26
]) can p o ide a desi able
quan i a i e app oach o his cha ac e iza ion. He e, a ca bon emissions baseline is key o pe o m
u he s a egies and p ojec s owa ds ene gy ansi ion. In line wi h his, a comp ehensi e model o
he local ene gy sys em is key o d aw he ca bon emissions baseline, o be pe o med by ools like
Ene gyPLAN [28] o Ene gy Balance [29].
All ga he ed in o ma ion wi hin his s ep can be bundled in o a ci y backg ound in o ma ion
package (CBIP), as a solid e e ence o u he s eps in his me hodology (e.g.: S eps 3, 8).
STEP 3. DIAGNOSE. S a egic ci y diagnosis and isioning ask o ces se -up
Once key s akeholde s a e ini ially engaged wi hin he local pa ne ship owa ds he SZCC (S ep
1) and ci y in o ma ion is ga he ed on he CBIP (S ep 2), i is ime o o ganize hose s akeholde s in
wo king g oups, o p o ide aluable inpu o he s a egic planning asks; namely: s a egic ci y
diagnosis (S ep 3); scena ios and ci y ision gene a ion (S ep 4); s a egic plan and ac ion plan (S ep
5). In he Sma EnCi y p ojec , he low o hese h ee s a egic planning asks has been suppo ed by
a pa icipa o y o esigh exe cise, which consis s o ga he ing u u e insigh s and building common
isions o making p esen -day decisions and mobilizing join ac ions in he ci y.
This o esigh exe cise s a s wi h he s a egic ci y diagnosis (me hod in [
17
]), which
consis s o a ho ough SWOT (s eng hs/weaknesses/oppo uni ies/ h ea s) analysis o he ci y,
suppo ed by CBIP (S ep 2; in e nal d i e s o SWOT including GIS da a—geog aphic in o ma ion
sys ems), and a ci y- ends analysis (ex e nal d i e s o SWOT), explo ing ele an connec ions o
egional/na ional/in e na ional a ge s, policies, and ins i u ions in he ield o SZCC. Wi hin his
SWOT, a e iden i ying he main "ex e nal oppo uni ies and h ea s", and "in e nal s eng hs and
weaknesses" o he ci y, hey can bo h be combined o assess he p obabili y (likelihood o become a
eali y) and ele ance o each elemen . The logic is ha he "highly ele an , bu unce ain d i e s
o change" should lead o de ining he main s a egic ac ions o be aken in he nex s eps (S ep 4.
ENVISION/S ep 5. PLAN). Fu he mo e, a PESTLE analysis (poli ical, economic, social, echnological,
legal, en i onmen al) can be use ul o pe o ming an in-dep h analysis o ex e nal ac o s.
Sus ainabili y 2020,12, 3590 12 o 30
This s a egic ci y diagnosis mus be suppo ed by he collabo a ion and con ibu ion o local
s akeholde s o ganized in hema ic wo king g oups by he local pa ne ship owa ds he SZCC, and i
will p o ide c i ical opics and main inpu o scena ios and ci y ision gene a ion (S ep 4).
STEP 4. ENVISION. Scena ios gene a ion and p e e ed ision
Building upon main ou pu s om he s a egic ci y diagnosis (S ep 3), local wo king g oups will
ace a ci y isioning wo kshop wi h he assis ance o a mode a o expe in p ospec i e, co-de eloping
an ag eed ision o he u u e o he ci y.
Assuming he ole o ci y manage s, he wo king g oups will gene a e di e en u u e scena ios
o he ci y based on he SWOT analysis o S ep 3, while acing he o mula ed s a egic ques ion wi hin
he ag eed ime ame; e.g.: How a e we ans o ming ou ci y o become ca bon neu al by 2040? Wha
can we do by 2030 as a mid-way miles one?The s akeholde s will con as he analysis on p obabili y
and ele ance o he ends pe o med in he s a egic ci y diagnosis, be o e gene a ing he di e en
u u e scena ios.
The local s ee ing g oup mus ga he all hose inpu s and u he de elop each o he scena ios
sugges ed by each o he wo king g oups. Once all his inpu is s uc u ed, hose inal scena ios a e
p esen ed o he local s akeholde s, s a ing a discussion o selec a p e e ed “mas e scena io”, which
can be one o a combina ion o hose inal scena ios. Acco ding o ha mas e scena io, he g oup
will de elop a ci y ision, ideally as a esul o eaching consensus among all s akes, being he basis
o de eloping he s a egic plan o he ci y (S ep 5). A e all hese p ocesses, he s akeholde s in
Vi o ia-Gas eiz ag eed on a mas e scena io o 2030, summa ized in he ollowing ci y ision, which
guided he con en o hei s a egic plan and ac ion plan (S ep 5):
Vi o ia-Gas eiz 2030; a esilien , sa e, heal hy, me abolic e icien , ci cula and high-quali y
en i onmen al municipali y; a benchma k o dis ibu ed ene gy p oduc ion om enewable
sou ces, o an e ec i e ene gy- e o i ing model o he buil en i onmen , o i s de e mined
commi men o he ac i e mobili y modes, complemen ed by a high-quali y elec i ied public
anspo sys em. A municipali y wi h ins i u ions ha exe cise powe ul leade ship and
ac in an exempla y way oge he wi h a co- esponsible ci izenship wi h a high le el o
awa eness, ein o ced by a model o communi y coope a ion capable o acing he challenges
o he ene gy ansi ion a he local le el. All his wi hin a p ospe ous, inno a i e, and
compe i i e economic en i onmen , which ensu es a collabo a i e social model in which no
one is le behind.
STEP 5. PLAN CITY LEVEL. S a egic plan and ac ion plan
All ma e ials and ac i i ies pe o med in S eps 1-4 p o ide a comp ehensi e backg ound o
de elop a s a egic plan and an ac ion plan o he ci y, whose main goal is o pa e he way, wi h
speci ic ac ions owa ds he ci y ision achie emen wi hin he ag eed ime ame.
The s a egic plan o he ci y will ans o m he ci y ision (S ep 4) in o speci ic goals. F om hose
goals, s a egic axes and lines will s uc u e he s a egic plan, which will be u he landed in o an
ac ion plan. The ac ion plan is he documen in which speci ic ac ions and key p ojec s a e iden i ied,
appoin ing s akeholde s, budge , impac indica o s such as emissions educ ion, and ime ame o
hei de elopmen . The desi able implemen a ion ime ame o hose key p ojec s is less han i e yea s,
when he ac ion plan mus be upda ed, o eadjus he ocus o he e ol ing u ban si ua ion. Rega ding
he o ma o a s a egic plan and ac ion plan, he ollowing summa ized and gene ic example can be
ollowed, based on he expe iences o he Sma EnCi y p ojec [30]:
a) Ci y ision: ca bon neu ali y o 2030, based on g een economic g ow h
b)
S a egic axis 1 (1 ou o 3 axes): sus ainable ene gy
c) S a egic line 1.3 (ou o 5 lines): posi i e ene gy dis ic s
Sus ainabili y 2020,12, 3590 19 o 30
Figu e 7. W ap-up diag am om Ci ies4ZERO Design S age.
Sus ainabili y 2020,12, 3590 20 o 30
Figu e 8. S eps o Ci ies4ZERO In e en ion and Assessmen S age.
This me hodology will end wi h a inal wo kshop s ee ed by he local ask o ce (LP owa ds he
SZCC), e lec ing on he nex s eps and u u e in e en ions. This wo kshop ensu es he i e a ion o
he whole p ocess depending on ci y needs:
1.
I he s a egic plan and ac ion plan a e s ill conside ed alid a e his p ocess, and i an upda e
is no ye necessa y, he ci y can pick and de elop new key p ojec s coming back o S ep 7
(7. PRIORITIZE), selec ed om he p ojec lis published in he ac ion plan (S ep 5).
2.
In case he s a egic plan and/o ac ion plan a e conside ed as pa ially obsole e, whe e an upda e
is app op ia e o a be e p ojec ocus, he ci y can come back o S ep 4 (4. ENVISION) and
upda e i s s a egic planning p ocess o a econside ed planning umb ella (s a egic plan and
ac ion plan).
This con inuous i e a ion will eadjus he ocus o ci y p ojec s and s a egies owa ds he inal
SZCC goal.
STEP 12. INTERVENE. In e en ion wo ks and solu ions deploymen
A e he s a egic planning p ocess and design o in e en ions, S age 3 s a s wi h he dis ic
in eg a ed in e en ion, en ailing execu ion wo ks and he implemen a ion o solu ions acco ding
o planned schedules and equisi es. Bo h o design, implemen a ion, and assessmen s ages, BIM
p inciples a e highly ecommended, os e ing an in eg a ed and e ec i e deploymen .
This in e en ion s ep, whe e he implemen a ion plans become eali y, in ol es a la ge a ie y
o expe s and echnicians. Addi ionally, he coo dina ion eam a he ci y le el will ha e o gua d
he co ec deploymen o he wo ks and he o e all economic con ol. A his s age, hose expe s
appoin ed o ollow-up he in e en ions will also ake ca e o he adequa e ins alla ion o he
moni o ing equipmen and he da a acquisi ion sys ems, o be able o measu e pe o mance and hence,
app op ia ely assess in e en ions in he ollowing s eps. Rega ding implemen a ion expe ise, he
mo e p epa ed and skilled he wo ke s and echnicians aking he ac ions a e, he bigge will be he
gua an ee o a aining he en isaged objec i es. As in p e ious S ep 11, sui able expe s should be
selec ed, in e nal o ex e nal, wi h he compe ences o add ess each ac ion (ene gy, mobili y, LCA—li e
cycle assessmen , e c.).
Managemen aspec s in his s ep a e c ucial. Wo ks mus be deployed on ime and hey need o
comply wi h he equi emen s de ined in p e ious s eps o achie e he ene gy and emissions a ge s.
Fu he mo e, he schedule and cos aspec s mus be gua ded. Those a e pa allel aspec s ha ha e
mu ual implica ions, since delays on some wo ks usually go hand in hand wi h cos inc eases. Delays
in his s ep as well as in he ende ing p ocess a e likely o happen—pe mi s, po en ial indus y/social
esis ance, sa u a ion o he local ma ke , e c., whe e p ede ined mi iga ion and con ingency plans will
be o conside able suppo .
In pa allel o in e en ion wo ks, in ensi e engagemen and communica ion ac i i ies a e highly
ecommended, acco ding o he ci izen engagemen s a egy de eloped in S ep 9. This is iden i ied
as a key success ac o , o e en as an enable , as in some cases, p ojec s and solu ions migh no be
easible wi hou he ag eemen o po en ially a ec ed ci izens.
STEP 13. ENSURE. Ope a ion and in-use; use s’ beha iou
Sus ainabili y 2020,12, 3590 21 o 30
Righ a e in e en ions a e in place, he ope a ion and in-use pe iod s a s. He e, ensu ing a
heal hy li espan o in e en ions is he main p io i y.
An ongoing commissioning will de e mine oles and esponsibili ies o each in e en ion. In his
ask, BIM models (digi al wins) can signi ican ly imp o e he ope a ion and main enance wo ks, i we
app op ia ely deploy senso s on buildings, in as uc u es, ehicles, e c., as echnicians will ha e a
i ual upda e o all elemen s, simula ing imp o emen s o co ec ions, and inally implemen ing hem
in eali y i conside ed bene icial. Fu he mo e, acili ies managemen plans will p o ide p o ocols,
key main enance in o ma ion, and end-use manuals, o an e ec i e pe o mance o all buildings and
in as uc u es deployed.
In line wi h his, he e ec i eness o in e en ions may depend on end-use beha iou , which mus
be ackled by engaging hem h ough aining and communica ion ac i i ies. He e, communi y-based
ini ia i es, economic incen i es (o disincen i es), and egula ion modi ica ions conside ing exemp ions,
ag eemen s, p icing, e c., can be good ools o he co ec use o in e en ions.
A his s ep, jus igh a e he in e en ions, i is impo an o un pe o mance es s and o s a
he moni o ing pe iod, which will allow da a a ailabili y o assessmen in S ep 14. This will also allow
one o ce i y he quali y assu ance o in e en ions.
STEP 14. ASSESS. P ojec e alua ion and impac assessmen
A his poin , all in e en ions a e inished and he da a om each o hem ha e been ga he ed o
a signi ican pe iod. Now i is ime o ind ou i he ac ions ha e eached he expec ed esul s and
he p ojec goals in e ms o ene gy pe o mance o emissions sa ings; o calcula e he LCA and he
economic impac s; and o e alua e he social accep ance, among o he pa ame e s.
The p ocess o assessing implemen ed ac ions needs he in ol emen o di e en expe s on
he di e en ields o e alua ion o co ec epo ing and compa ison. I is use ul ha , o some
calcula ions, he expe s a e ce i ied on an e alua ion me hodology (such as he In e na ional
Pe o mance Measu emen and Ve i ica ion P o ocol—IPMVP, o example), o assu e he quali y o
he wo k.
This assessmen mus go back o he se o key pe o mance indica o s (KPIs) al eady de ined in
S ep 11, and using he da a collec ed on he da a-ga he ing pe iod o calcula e hei alues. These esul s
can suppo an e alua ion epo , ocusing on all key aspec s, compa ing he KPIs alues be o e and
a e he in e en ion. A he ci y le el, he ob ained da a can be con as ed wi h he indica o s de ined
in S ep 5. This compa ison be ween be o e and a e he in e en ions (PRE s. POST in e en ions)
will p o ide a good e alua ion measu e. I is impo an o s ess ha no all indica o s a e based on
da a ga he ed by echnical equipmen , bu also om he ci izens, enan s and he se ices’ use s. Da a
has been ga he ed, o example, h ough su eys, and needs o be analysed acco dingly.
As a esul o his p ocess, a posi i e assessmen suppo s he in e en ions de eloped, in case
hey ha e been co ec ly inished and good e alua ion esul s ob ained. Bu e en i he esul s a e
no as expec ed, a co ec assessmen is s ill aluable, as i is he way o ensu e be e esul s in u u e
in e en ions and co ec i e ac ions, i possible. The main challenge a his s ep is o ha e a comple e
and good quali y se o da a. This means a signi ican wo kload in p e ious s ages.
All gene a ed da a in his s ep can eed he ci y in o ma ion open pla o m (CIOP) desc ibed in
S ep 11. Th ough his new ci y ool, a CIOP ca alogue o po en ial se ices can explo e he applicabili y
o he in eg a ed da a gene a ed in he p ojec .
STEP 15. VALIDATE. P ojec e iew; main lea nings and e lec ions
Finally, a e planning a heal hy li espan o in e en ions as well as assessing hem, he p ojec has
come o i s end. I is ime o e lec and pe o m a p ojec e iew. This e iew will check i he p ojec
objec i es s a ed in S eps 7 and 10 ha e been ul illed. Fo ins ance, he Sma EnCi y p ojec objec i es
we e spli in o ou main ca ego ies: echnical, en i onmen al, social, and economic objec i es.
Sus ainabili y 2020,12, 3590 22 o 30
Fo a comp ehensi e e iew, gene al and speci ic eedback om key s akeholde s can e eal
c i ical ac o s; success ul ones as well as ba ie s. The main g oups o be asked a e ci izens and
end-use s; p ac i ione s and expe s; ci y adminis a ion; p i a e sec o ; and academia.
Wi h all his in o ma ion, a e assessmen on S ep 14 and p ojec e iew, he local pa ne ship
owa ds SZCC will be able o check and alida e i he in e en ions we e aligned wi h he s a egic
plan and ac ion plan a he ci y le el (S ep 5), and o wha ex en hey a e success ul and eplicable.
Wha was success ul? Wha migh ha e been done be e ? F om his e lec ion, key ba ie s, success
ac o s, egula o y inpu s, and po en ially exploi able esul s can be ex ac ed o u u e p ojec s in
he ci y.
STEP 16. SCALE-UP. Up-scaling in he ci y and nex s eps
The inal s ep o his hi d s age and Ci ies4ZERO me hodology explo es he eplica ion po en ial
o he p ocess and i s implemen ed SZCC solu ions. This is done h ough local up-scaling s a egies o
he ci y, conside ing u ban labs o eplica ion in o he a eas o he ci y (p io i iza ion in S ep 7/ci izen
engagemen s a egy in S ep 9), and h ough exploi a ion pa hs o local pa ne s (business models,
incuba o s, accele a o s, public-p i a e pa ne ships, e c.).
As men ioned in he in oduc ion o his hi d s age, Ci ies4ZERO me hodology will end wi h a
inal wo kshop s ee ed by he local pa ne ship owa ds SZCC, e lec ing on he nex s eps and u u e
in e en ions. The hema ic wo king g oups se in S age A o ci y diagnosis and en isioning p ocesses
(S eps 3 and 4) can p o ide aluable sec o ial inpu . This wo kshop ensu es he con inuous i e a ion
o he whole Ci ies4ZERO s a egic p ocess depending on ci y needs, eadjus ing he ocus o ci y
s a egies and p ojec s owa ds he inal deca boniza ion goal and he e ol ing u ban con ex :
1.
I he s a egic plan and ac ion plan a e s ill conside ed alid a e his p ocess, and i an
upda e is no necessa y, he ci y can pick and de elop new key p ojec s, coming back o S ep 7
(7. PRIORITIZE), selec ed om he p ojec lis published in he ac ion plan (S ep 5).
2.
In case he s a egic plan and/o ac ion plan a e conside ed o be pa ially obsole e, whe e an upda e
is app op ia e o a p ojec ’s imp o ed ocus, he ci y can come back o S ep 4 (4. ENVISION) and
upda e i s s a egic planning p ocess o a econside ed planning umb ella (s a egic plan and
ac ion plan).
A w ap-up diag am o he Ci ies4ZERO In e en ion and Assessmen S age is p esen ed in
Figu e 9.
Sus ainabili y 2020,12, 3590 23 o 30
Figu e 9. W ap-up diag am om Ci ies4ZERO In e en ion and Assessmen S age.
Sus ainabili y 2020,12, 3590 24 o 30
4. Discussion
4.1. Wide Suppo o Ci ies
In his en i onmen al c isis, suppo ing ci ies is he p io i y, as local go e nmen s a e uniquely
posi ioned o enable u ban deca boniza ion, acco ding o hei a ious capaci ies: as planne s and
egula o s, as acili a o s o inance, as ole models and ad oca es, and as la ge consume s o ene gy
and p o ide s o in as uc u e and se ices [
35
]. I hey a e s ably commi ed, he a e o po en ial
success is high o he ollowing decades.
As men ioned abo e, he Co enan o Mayo s being one o he mos known ini ia i es o
ackle clima e change h ough educing CO
2
le els in e i o ies, b ings oge he local and egional
au ho i ies ac oss Eu ope, who gi e a olun a y commi men o implemen ene gy, clima e mi iga ion
and sus ainabili y policies on hei e i o ies, has al eady o e 10,075 signa o ies, wi h o e 6447
SEAPs/SECAPs submi ed. Signa o ies al eady use he SEAP/SECAP, no only as an ene gy planning
ins umen , bu also as he basis o an all-encompassing app oach o u ban planning, as highligh ed
in he Co enan o Mayo s’ e alua ion epo [
36
]. Howe e , se e al e alua ions o SEAPs and la e
SECAPs ag ee ha mo e guidance could be p o ided o ci ies o help hem add ess in a mo e e ec i e
way; all he key sec o s o ac i i y as he s a egic dimension in he u ban planning sys em is s ill
o en missing o weak [
36
–
40
]. Addi ionally, e alua ions show ha especially ega ding aspec s
ela ed o go e nance (e.g. he adap a ion o adminis a i e s uc u es, he mobiliza ion o ci il socie y,
o he SEAP moni o ing p ocess) and o he inancing o ac ions, municipali ies’ plans gene ally
show some weaknesses and a e lacking ailo -made s a egies o ensu e ci izens’ and s akeholde s’
pa icipa ion o assigning clea oles and esponsibili ies o municipal o ice s. Weaknesses also lay in
how he plans a e implemen ed and moni o ed and in he inconsis ency o da a [
36
]. The e is oom o
suppo ing municipali y ep esen a i es, planne s o de elope s o a ca bon- ee u ban ansi ion and
o p o ide hem wi h he necessa y ools o help ci ies and local go e nmen s each hei own goals o
deca boniza ion in he nea u u e.
Conside ing he challenges ela ed o ci ies’ high ene gy demand and ca bon p oduc ion, ways
ela ed o he de elopmen o ene gy-e icien u ban a eas a e sea ched o e e ywhe e; we need ci ies
ha a e sus ainable, sma and esou ce-e icien and, as a gued in his a icle, who a e willing o
ans o m in o Sma Ze o Ca bon Ci ies. Mo eo e , clima e change is no only he issue o megaci ies
and big u ban cen es; clima e a ge s, and he need o implemen sus ainable de elopmen goals,
a e challenging each local go e nmen , despi e hei size [
38
]. As also admi ed by an in-dep h
analysis o SEAP/SECAPs in he EU [
36
], smalle municipali ies p esen a mo e accu a e e alua ion
o he eali y o he ci y and may he e o e p oduce mo e e icien measu es. Smalle municipali ies
may also bene i om mo e di ec con ac wi h he public and s akeholde s and un mo e success ul
awa eness- aising campaigns, which a e an impo an pa o e e y holis ic app oach o he ci y
ans o ma ion p ocess [36].
In pa icula , i is impo an o municipali ies o ocus on p ope engagemen ac i i ies o
c ea ing a sense o join owne ship o he whole ans o ma ion p ocess. This exac ly add esses
he weaknesses ha ha e been iden i ied in nume ous SEAPs and SECAPs [
36
]. As quo ed by he
ep esen a i e o he ci y o Ta u, ha is cu en ly inalizing i s in eg a ed ene gy ac ion plan ollowing
Ci ies4ZERO me hodology:
The main alue o Ta u in his p ocess has been in c ea ing a communi y o simila ly
mo i a ed s akeholde s. The p ocess demands a lo o e o and communica ion and may
p olong he planning p ocess. Bu a he same ime, i c ea es an emo ionally and in ellec ually
in es ed g oup o s akeholde s. I will e en ually gi e a planning documen he s akeholde
suppo i needs o succeed.
By ollowing Ci ies4ZERO, Vi o ia-Gas eiz ended up wi h a e y de ailed baseline analysis and
success ul engagemen o key s akeholde s o join ly wo k owa ds he ision. Sonde bo g in ol ed
Sus ainabili y 2020,12, 3590 25 o 30
almos 100 s akeholde s om di e en sec o s, who pa icipa ed o c ea e a concep ha will d i e
he en i e deca boniza ion p ocess. All ci ies in he p ojec a e ou s anding examples o how a local
au ho i y can ake he lead in mobilizing di e en s akeholde s o ind mu ually ad an ageous solu ions
o ans o ma ion. Ci ies4ZERO me hodology also helps o add ess he need o coo dina ion wi h
o he local s a egies, ini ia i es, p ojec s, and depa men s, o a oid o eseen ba ie s, as well as o
le e age po en ial syne gies in he local con ex .
All municipali ies ha we e pa o his esea ch we e acing common challenges and solu ions in
his u ban ansi ion and all concluded ha in eg a ed planning implies he commi men o di e en
s akeholde s, and he conside a ion o all dimensions o a p oblem (social, en i onmen al, echnological
and economic pa ame e s) is i al o de e mine he mos app op ia e solu ions. In pa icula , i is c i ical
o conside a all s ages how di e en social p o iles migh be engaged in he p ocess, conce ning hei
socio-demog aphic, socio-economic, and cul u al p o iles. Some g oups will be mo e di icul o engage
han o he s, so messages and media will ha e o be ailo ed o di e en cul u al s anda ds, languages
(i.e., o immig an s), o ma s (i.e., digi al o analogical o he elde ly), e c. Mo eo e , di e en in e es
g oups will eme ge ( o example, hose willing o no willing o e o i hei esiden ial buildings,
hose willing o os e elec ic mobili y in as uc u e, e c.), and con lic ing in e es s will ha e o be
ackled and discussed. In e ms o en i onmen al pa ame e s, no only ene gy will come in o he
equa ion, bu also ai quali y and noise issues, ecology, and oo p in o ma e ials, as well as hei
con ibu ion o highe esilience o clima e change, o example.
A he ime o e ising his a icle, a global pandemic ou b eak, namely COVID-19, has comple ely
changed ou pe spec i e as a species. All aspec s o ou li ing will need e ision, u ban planning
o ene gy ansi ion ce ainly being one o hem. In gene al, we a e apidly lea ning ha quali a i e
analysis will need o be made quan i a i e, o p o ide a de ini i e assessmen o he phenomena and
hei impac s, o be p epa ed in he u u e.
4.2. Towa ds Deepe In eg a ion (Ho izon al and Ve ical)
Local au ho i ies a e expe iencing inc easing p essu e o de elop and implemen inno a i e
solu ions o p o ide high-quali y se ices and li ing en i onmen wi h less esou ces, bu hei
capaci y o do so emains limi ed. In o de o mo e owa ds he ze o-ca bon ision, i is no enough
o implemen indi idual solu ions o single imp o emen s wi hou a wide ision. Success a he
lies in an in eg a ed app oach as a sys em o in e linked ac ions—p o i ing om mode n ICT ools,
massi e da a p oduc ion and analy ical capaci ies, di e si ying ene gy p oduc ion wi h enewable
ene gy sys ems, ans o ming he s uc u e o ene gy p oduc ion o enabling small-scale p oduc ion,
iden i ying he igh business models, suppo ing changes wi h adminis a i e and axing p ac ices,
shaping use beha iou s, e c. Deca bonizing ci ies in ol es nume ous in e ela ed challenges and
equi es sys emic and in e connec ed solu ions.
Al hough he concep o in eg a ed u ban de elopmen is no new, “ hinking in silos” is s ill
common in oo many municipal adminis a ions. O en, indi idual sec o ial s a egies do no conside
co-dependencies o in e dependencies wi h o he ci y sys ems. This no only leads o con lic s o
in e es , bu also alls sho o add essing c oss-sec o al challenges [
39
]. Consequen ly, o add ess hese
challenges, a holis ic s a egic app oach is i al. This can add ess each challenge indi idually and
sys ema ically. I could ake he o m o a ci y jou ney whe e a ci y would begin wi h basic s eps, o
example by de ining a amewo k s a egy, and ad ancing wi h ime o add ess he mo e di icul
challenges. “The ci y jou ney should p e e ably be unde pinned by a long- e m ision, designed as a
sha ed oadmap o b eak h ough bo h ime and human- ela ed ba ie s.” [
40
]. Such a s a egy would
need he app o al o he ele an ci y sys ems, ac o s, go e nance le els, and e i o ies, and would be
join ly de eloped by hese di e en ac o s. Making su e ha e e yone is on boa d is impo an , because
in eg a ed u ban de elopmen goes beyond me ely coo dina ing sec o policies and in e es g oups. I
p esumes a common unde s anding o he mid- and long- e m de elopmen goals, which should be
join ly de eloped. Such p ocesses beyond adminis a i e bounda ies equi e poli ical and ins i u ional
Sus ainabili y 2020,12, 3590 26 o 30
changes. A he same ime, local go e nmen s need o be p o ided wi h incen i es ha p omo e
in eg a ed app oaches and s eng hen hei capaci ies, so ha hey can deal wi h in e disciplina y
asks [39].
As can be ecalled om he name, Ci ies4ZERO p oceeds om an in eg a ed u ban egene a ion
model ha ocuses on he concep o Sma ze o ca bon ci ies, i.e., ci ies ha ha e ze o ca bon emissions
on an annual basis. This a icle eleases his no el, simple and i e a i e in eg a ed app oach o local
go e nmen s, by explaining he essence o each s ep. Each s ep, as desc ibed in mo e de ail in he
Sec ion 3“Resul s", has i s unique se ing and elemen s which should be conside ed, bu all a e also
e y much in e connec ed. Mo eo e , expe ience among ci ies in he Sma EnCi y p ojec shows
ha his model e ec i ely helps o achie e in eg a ion in u ban planning, especially 1) h ough an
impo an emphasis on s akeholde engagemen ; 2) among ci y sys ems and wi hin planning s uc u es;
3) wi h o he go e nmen scales (Table 5).
Table 5.
Ci ies4ZERO ein o cing ene gy planning and u ban planning local in eg a ion o
ci ies deca boniza ion.
INTEGRATION THROUGH
LOCAL STAKEHOLDERS’ ENGAGEMENT
STEP 1. Go e nance model de ini ion and local ask o ce ounda ion (ins i u ional analysis)
STEPS 3–5. Sha ed ision and s a egic planning among key local s akeholde s
STEP 9. Decision-making p ocedu es and ag eemen s along each p ojec (local communi y)
STEPS 12–13. Engagemen ac i i ies du ing implemen a ion and end-use s’ aining
STEP 16. Sha ed e lec ion o nex s eps and u u e deca boniza ion in e en ions
HORIZONTAL INTEGRATION AMONG
CITY SYSTEMS AND WITHIN CITY PLANNING STRUCTURES
STEP 1. Founda ion o a local ask o ce, s able in ime engaging di e se expe ise
STEPS 2–3. Sha ed sec o ial analysis and diagnosis om an in eg a ed pe spec i e
STEPS 4–5. S a egic planning, in eg a ing all sec o ial pe spec i es om ision o ac ion plan
STEP 6. In eg a ion o ac ion plan ou comes in o ci y planning p ocedu es (in eg a ion bookle )
STEPS 7–11. Design s age is concei ed as an in eg a ed p ocess whe e all ci y sys ems and s akeholde s
con e ge once he p ojec and he a ea o in e en ion a e selec ed: gene al s a egy (7), inancing and o e all
amewo k (8), design and solu ions (9) and implemen a ion plan (10)
STEPS 12–14. In e en ions a e planned and execu ed, conside ing po en ial syne gies and ba ie s among
sec o ial p ojec s (12); commissioning, and assessing he p ojec as one package.
STEPS 15–16. The in eg a ion becomes mul i-scale, when p ojec alida ion means a pa ial ci y s a egy
alida ion (15), and success ul in e en ions can be applied ans e sally in he ci y, s imula ing e en di e en
sec o s o he ci y (16)
VERTICAL INTEGRATION AMONG
PUBLIC AUTHORITIES FROM OTHER GOVERNMENT SCALES (REGIONAL, NATIONAL, EU)
STEP 1. Go e nance model de ini ion, including mul i-le el go e nance mechanisms
STEPS 2–3. Analysis o egional, na ional and Eu opean s a egies, including he ex e nal global ci y ends
ha may a ec he ci y in he coming yea s as pa o he diagnosis
STEP 4. In ol e egional agencies’ s akeholde s in he isioning ask
STEP 5.
Local planning conside ing egional, na ional and EU ini ia i es, looking o syne gies ha po en ially
enable a mo e s aigh o wa d implemen a ion o he ac ions iden i ied
STEP 6. Municipal in eg a ion in ol ing egional agencies when u ban compe ences equi e his
STEPS 7–12. P ojec collabo a ion o egional agencies when u ban compe ences equi e his
STEPS 15–16. In ol emen o egional agencies in he upscaling ask. Coo dina ion wi h na ional and
Eu opean bes -p ac ices eposi o ies, acili a ing he exchange o knowledge among ci ies. This con as will
en ich he i e a i e ci y s a egic planning p ocess
Mo eo e , while ine i ably posing a conside able challenge o ci ies, success ul in eg a ed u ban
planning leads o many bene i s [39]:
•
I allows ci ies o o mula e c oss-sec o al goals and o de elop moni o ing sys ems o c oss-cu ing
policy ields, such as how o e icien ly use na u al esou ces, o educe socio-economic dispa i ies;
Sus ainabili y 2020,12, 3590 27 o 30
•
I enables ci ies o de elop s a egies and p ojec s ha in ol e he knowledge and pe spec i es o
di e en disciplines and ac o s om he ci il and p i a e sec o ;
•
I helps ci ies wi h limi ed budge s and capaci ies o implemen hei goals mo e
e icien ly by joining capaci ies and unds, and by educing ade-o s be ween sec o s and
neighbou ing municipali ies.
5. Conclusions
Conside ing he impo ance o c oss-sec o al solu ions and coo dina ion, he inclusion o ele an
ac o s, coo dina ion be ween di e en le els o go e nmen , and balanced e i o ial de elopmen ,
his a icle p esen ed Ci ies4ZERO me hodology—a heo e ical amewo k o deca bonizing ci ies
h ough a aluable holis ic and sys em- hinking app oach. Wi hin he Sma EnCi y p ojec , i e ci ies
ha e wo ked closely owa ds de eloping and pu ing he app oach in o p ac ice, and almos 60 ci ies
h ough he Sma EnCi y Ne wo k ha e al eady s a ed implemen ing he app oach in hei local
se ings. The applica ion o his heo e ical amewo k is mobilizing all hese ci ies owa ds hei
po en ial deca boniza ion in he coming yea s, allowing u he s udies om he di e se local deg ees
o applica ion and esul s ob ained. So a , Ci ies4ZERO has p o ed he abili y o engage ci ies h ough
his solid heo e ical amewo k; a amewo k ci ies ind unde s andable and applicable, as well as
aluable o hem, acco ding o he numbe o ci ies al eady ollowing i s s eps [25].
5.1. A Communi y o P ac ice wi h Sha ed Me hodologies and Tools
As ze o ca bon ansi ion should be on he agenda o almos e e y municipali y in he wo ld,
he e a e many ini ia i es suppo ing his ansi ion. Nex o he men ioned Co enan o Mayo s, he
EU ini ia i e EIP-SCC pla o m in ends o engage ci ies, indus ies, SMEs, in es o s, and esea che s,
b inging hem all oge he o design and deli e sma -sus ainable solu ions and p ojec s. F om a
na ow echno-economic pe spec i e, a sma ci y p og amme aims o encou age he eplica ion o
echnological solu ions, bu
sma ci y solu ions a e a ely a simple p oduc o se ice. They o en consis o complex u ban
in e en ions in ol ing many di e en pa ies, each one wi h speci ic in e es s, agendas, and
capaci ies. E e y hing mus be he e, a he igh place, in he igh momen : he echnologies,
he business models, he a ou able legal con ex , he go e nance s uc u e, social accep ance,
use mo i a ion, capaci ies and knowledge, budge s, aligned agendas, e c. [40]
This is exac ly why he Sma EnCi y p ojec ocused mo e on c ea ing a comp ehensi e s a egic
oolbox o municipali ies h ough examining planning, implemen a ion, moni o ing, and eplica ion
wo ks, o iden i y he key ac o s playing a mos impo an ole owa ds sma u ban deca boniza ion,
e iewing an ongoing p ocess o i e yea s o coo dina ed ini ia i es in he ci ies o Vi o ia-Gas eiz
(ES), Ta u (EE), Sonde bo g (DK), Lecce (IT) and Aseno g ad (BG) and ended up wi h Ci ies4ZERO.
Applying a s a egic and in eg a ed u ban planning app oach in he ci y can be an e icien way o
c ea e a pla o m ha suppo s inc eased connec ions and ela ions be ween he ele an s akeholde s
o he communi y and ene gy sys em, and o suppo he implemen a ion o in eg a ed solu ions. As
lea ned om he esea ch, a key unc ionali y o such a p ocess is o ac i a e and engage ele an
s akeholde s, o enhance c oss-sec o al hinking among he s akeholde s, and o expose a ying
in e es s and agendas. All o his has a cen al posi ion in Ci ies4ZERO. Accep ance and suppo
om he local s akeholde s as well as gene a ing a common e e ence poin (i.e., ene gy plan and /o
in eg a ed u ban plan ag eed among s akeholde s) o he ansi ion o he ci y ene gy sys em a e
wo o he main aims o he p ocess, as his is necessa y o o m a basis o pla o m o inc eased
co-ope a ion in in e connec ed ze o-ca bon ans o ma ion p ocesses.
Sus ainabili y 2020,12, 3590 28 o 30
5.2. The Way o wa d: Local S akeholde s Engagemen and Digi al Technologies o Imp o ed Ene gy Planning
As al eady e iden , he concep o Sma Ze o Ca bon Ci ies is a complex and mul i-laye ed
one, in ol ing a lo o planning, isk analysis, public sec o ini ia i e, and s akeholde in ol emen
o uly bene i he ci y. T ansi ion in p ac ice also equi es la ge-scale in es men s o eplacing he
in as uc u e and capi al goods; all o hese e o s a e c ucial as Eu opean ci ies a e a he o e on
in he shi o a low-ca bon economy. Bulkeley e al. no e he c i icali y o municipali ies’ ac ions o
low-ca bon ansi ion, especially being dependen on some new s a ing poin s [41]:
1.
We canno in en ou way owa ds a low ca bon u u e wi hou also engaging socie y— he so s
o changes ha a e equi ed o u ban in as uc u e ne wo ks equi e no only new echnologies,
bu also new o ms o in es men , new p ac ices o ene gy use and new ways o wo king be ween
he public and he p i a e sec o .
2.
Responding o hese challenges equi es no only capaci y a he u ban le el and a p oac i e
poli ical clima e, bu also a willingness o c ea e new o ms o knowledge abou ci ies and o
ope a e beyond es ablished p ac ices and ways o doing hings.
3.
B inging ansi ion o he ci y eminds us ha wha is a s ake is no a simple choice be ween
di e en pa hs o he u u e, bu a he a complex and nego ia ed p ocess—c ea ing spaces in he
ci y whe e di e se social in e es s can a icula e and expe imen wi h hei isions o he u u e
is a p essing policy challenge.
Rega ding his engagemen p ocess, S eps 3 o 6 in Ci ies4ZERO a e key (DIAGNOSE, ENVISION,
PLAN
CITY LEVEL
, INTEGRATE), as hey s ee he co-de elopmen o he long- e m ci y s a egy,
iden i ying he key p ojec s o be de eloped, in ol ing key local s akeholde s in he isioning and
planning p ocess, and ensu ing hei commi men in a po en ial implemen a ion and i s in eg a ion
in he planning p ocedu es o he ci y. An in-dep h analysis and u he de elopmen o hese s eps
will allow one o ein o ce he whole ansi ion, sp eading he sha ed commi men eeling among he
local communi y.
Fu he mo e, ocusing on ci y modelling o decision-making p ocesses, municipali ies would
bene i om an ICT ool able o in eg a e ene gy and deca boniza ion mapping wi h spa ial planning
(GIS-based), helping o isualize he a ec ion and spa ial implica ions o deca boniza ion ac ions, so
ha hey can be be e in eg a ed in u u e local policies, gene al/sec o ial plans and p ojec s. This is a
u u e esea ch line o he au ho s, as i would be o g ea suppo in he Ci ies4ZERO s eps dealing
wi h he diagnosis (2, 3), planning (5), in eg a ion (6), p io i iza ion (7), design (10), assessmen (14)
and up-scaling o solu ions (16), signi ican ly suppo ing he deca boniza ion p ocess o he ci y.
Finally, as pa icipan s in he Sma EnCi y p ojec , esea ch will s ill ga he aluable expe ience and
new e idences o Ci ies4ZERO pe o mance du ing he coming yea s, especially h ough Ci ies4ZERO
S eps 7-16, an in-dep h analysis o he whole me hodology in p ac ice will be conside ed. This heo e ical
amewo k de eloped o e he yea s wo king wi h di e en ci ies will con inue i s implemen a ion,
moni o ing, and e idence collec ion, which will enable i s u he e inemen and consolida ion.
Supplemen a y Ma e ials:
The Ci y Check-up Assessmen me hodology o municipali ies is a ailable a
h p://www.mdpi.com/2071-1050/12/9/3590/s1, Figu es S1–S9: Ci ies4ZERO inal Diag ams.pd , Tables S1–S5:
Ci ies4ZERO inal ables.pd .
Au ho Con ibu ions:
Concep ualiza ion, K.U.-A.; me hodology K.U.-A., M.T.; in es iga ion, K.U.-A., M.T.;
p ojec adminis a ion M.T., K.U.-A.; isualiza ions, K.U.-A.; alida ion, K.U.-A. and M.T.; w i ing—o iginal d a
p epa a ion, K.U.-A., M.T.; w i ing— e iew and edi ing, P.M.-C., I.F.-A., M.T., K.U.-A.; supe ision, P.M.-C., I.F.-A.
All au ho s ha e ead and ag eed o he published e sion o he manusc ip .
Funding: This esea ch was unded by he Eu opean Commission, g an numbe 691,883.
Acknowledgmen s:
Besides he Eu opean Commission unding oppo uni y, we wish o hank he municipali ies
o Sonde bo g, Ta u, Vi o ia-Gas eiz, Lecce, and Aseno g ad o hei close collabo a ion in his s udy, and o all
Sma EnCi y conso ium o he scien i ic suppo .
Sus ainabili y 2021,13, 383 4 o 15
sec o , aimed a p omo ing ene gy-sa ing and e iciency measu es, and he p omo ion
and implemen a ion o enewable ene gies. This kind o egional egula ion is c ucial o
unde s and ENER-BI DSS equi emen s, as i s a es a conc e e case o ene gy equi emen s
o municipali ies wi hin he EU, much mo e speci ic and close o implemen a ion han
EU di ec i es.
2.2.2. Ci y Deca bonisa ion Planning F amewo k
Rega ding u ban ene gy planning p ocedu es, he Ene gy in Buildings and Commu-
ni ies (EBC) P og amme o he In e na ional Ene gy Agency (IEA) analyses, in Annex 63,
he impo ance o op imising exis ing local ins umen s, p ocesses, and amewo ks o
e ec i ely suppo he implemen a ion o ene gy and deca bonisa ion s a egies in ou
communi ies [8].
In his sense, he Ci ies4ZERO me hodology desc ibes, sequen ially, h ough 16 s eps,
he main elemen s o be co e ed by a deca bonisa ion p ocess, bo h a ci y and p ojec le -
els [
4
]. Wi hin hese s eps, ENER-BI DSS can allow in eg a ing ene gy and u ban planning
in o ma ion o p o ide ele an da a o decision-make s, mainly in he ollowing asks:
•
In en o y and cha ac e isa ion o he ci y (ANALYSE—S ep 2 om [
4
]); mainly ocus-
ing on p o iding and in eg a ing da a o he mos CO
2
con ibu ing sec o s (building
s ock, mobili y, and public ligh ing).
•
Ci y diagnosis in deca bonisa ion e ms (DIAGNOSE—S ep 3 om [
4
]); iden i ying
he key local s eng hs and weaknesses, as well as he main oppo uni ies and h ea s,
o he u u e, in eg a ing spa ial quan i a i e and quali a i e da a in he de elopmen
o such ci y diagnosis.
•
Gene a ion o u u e scena ios and consensus on ci y isioning (ENVISION—S ep 4
om [
4
]); gene a ing u ban ene gy models o s udy and discuss he u u e implica ions
o p esen decisions.
•
S a egic planning (PLAN
CITY LEVEL
—S ep 5 om [
4
]); en iching wi h spa ial and
quan i a i e da a he impac s o ecas ed o he ac ions o be de eloped, desc ibed in
he cu en plans.
•
Follow-up, assessmen , e iew, and po en ial up-scale o ac ions and plans de eloped
in he ci y (ASSESS; VALIDATE; UP-SCALE—S eps 14, 15 and 16 om [
4
]); ensu -
ing a close commissioning and pos -in e en ion de elopmen , explo ing po en ial
eplica ion o success ul ac ions in o he a eas o he ci y.
2.2.3. U ban Ene gy Planning Tools
IEA-EBC’s Annex 63 also claims o da a ce ain y, which will ein o ce imp o ed
decision-making, as well as he public accep ance o hose u ban ene gy planning decisions.
In his sense, Planning and Decision Suppo Sys ems (PDSS) a e encou aged o in eg a e
spa ial (GIS-based), echnical, and local in o ma ion o guide and suppo he decision-
making p ocess. Fu he mo e, hese kinds o ools will be able o e alua e he pe o mance
o deca bonisa ion policies inco po a ing he spa ial a iable, ollowing hei e ec i eness
up a he ci y and egional le els [8].
In ecen yea s, in pa allel o he popula isa ion o ene gy e iciency and enewable
echnology in eg a ion concep s in he u ban en i onmen and he inc ease o dis ibu ed
ene gy esou ces (DER), se e al so wa e ools we e de eloped o u ban ene gy planning.
A ailable e iew s udies assess hese ools [
9
–
15
], which p esen di e se app oaches, unc-
ionali ies, scales, and o en ocused on he DER aspec s. In pa icula , Fe a i e al. [
16
]
ca ied ou a comp ehensi e e iew o 17 well-documen ed ene gy assessmen ools a u -
ban/dis ic scale, classi ying hem acco ding o hei ea u es (license ype, use -in e ace,
ou pu ime esolu ion, ene gy se ices, scale, analysis ype). Among hem, six ools wi h
good usabili y le el and use - iendly in e ace we e iden i ied as he mos app op ia e
ones o ene gy planne s: Ene gyPLAN, ene gyPRO, HOMER, iHOGA, SIREN, WebOp .
Some o hese ools, such as iHOGA and SIREN, a e o ien ed o enewable elec ici y
p oduc ion, while o he ones include also hea ing and cooling se ices, being Ene gy-
Sus ainabili y 2021,13, 383 5 o 15
PLAN he one ha co e s he wides a ie y o ene gy supply echnologies. On he o he
hand, spa ial ep esen a ion ea u es a e included in ene gyPRO, iHOGA, and SIREN,
such as geog aphic localisa ion o he case s udy and ela ions o en i onmen al condi ions
(i.e., sola esou ce es ima ion based on la i ude), bu do no add ess u ban geog aphy in
de ail, in o ma ion such as he geome ic dis ibu ion o buildings and u ban elemen s,
no apping in o he po en ial o geo e e enced in o ma ion. Finally, hese ools enable
a ious g ades o complexi y in modelling ene gy p ojec s and esul s’ assessmen , bu
equi e ga he ing and manually in oducing co ec da ase s om he case s udy, along
wi h p o iles selec ion, which is ime-consuming, and, in case o w ong assump ions o
poo inpu s, leads o de ia ed ene gy analysis ou pu s and inco ec conclusions o he
decision making.
A e all, he digi alisa ion o he building sec o and he sp ead o IoT connec ed
de ices a e main a ibu es o sma buildings and sma ci ies, which lead o au oma ic
da a gene a ion and ga he ing p ocesses ha ene gy planne s should ake ad an age o .
These u ban asse da a sou ces should be combined wi h complemen a y sou ces unde
Open Da a ini ia i es o a holis ic analysis (i.e., Cope nicus [
17
]; go e nmen al open da a
ini ia i es [18]).
Along wi h his, an u ban deca bonisa ion ool should exploi eal da a om sma
de ices, which, combined wi h geo e e enced in o ma ion o he sou ces, loads and deca -
bonisa ion a ge s, and addi ional da a sou ces should be p ocessed o an in eg a ed and
geo e e enced u ban ene gy analysis, en iching an assessed decision-making.
3. Resul s
Following he wo k low desc ibed in Sec ion 2, Resul s p esen s he equisi es and
unc ionali ies om a DSS pe spec i e ha mus be ega ded in he gene a ion o a ool
able o suppo s a egic ci y deca bonisa ion p ocesses.
3.1. ENER-BI DSS o U ban Deca bonisa ion Planning: Main Requisi es
In e ms o equisi es o ENER-BI DSS, he a o emen ioned es s om di e en sou ces
allow o dis il hose equisi es acco ding o he ollowing sec ions:
3.1.1. In o ma ion-Ga he ing as Inpu o ENER-BI DSS
The in o ma ion is di ided in o wo subsec ions; in o ma ion needed by he deca -
bonisa ion a ge (Table 1), and complemen a y in o ma ion o u ban analysis ha can
con ibu e o a mo e in eg a ed decision-making p ocess by planne s (Table 2). In his
in o ma ion-ga he ing p ocess, and depending on he opic, local au ho i ies will ha e o
e ie e and in eg a e da a om bo h public sou ces, o en mo e easily accessible [
19
]; and
p i a e sou ces, which can become challenging some imes.
Sus ainabili y 2021,13, 383 6 o 15
Table 1. In o ma ion needed by deca bonisa ion a ge .
Deca bonisa ion
Ta ge In o ma ion Disagg ega ion
Deg ee Fo ma Pe iodici y
Public buildings
Building cha ac e is ics
(i.e., age, indoo a ea,
ypology, ene gy
ce i ica ion)
Building Geo e e enced
da abase Yea ly, a leas
Elec ici y consump ion Elec ici y
me e /supply poin . x , .cs o da abase Mon hly/hou ly 1
Gas consump ion Gas me e
/supply poin
. x , .cs o da abase Mon hly
O he ene gy ca ie s’
consump ion (i.e., Dis ic
Hea ing)
Me e /supply poin . x , .cs o da abase Mon hly
Public acili ies Elec ici y consump ion Elec ici y
me e /supply poin . x , .cs o da abase Mon hly/hou ly 1
Public ligh ing Elec ici y consump ion Lamppos / node o
lamppos s . x , .cs o da abase Mon hly
Public anspo
and lee s
Fuel consump ion and Kms
Vehicle by ype o uel .cs o da abase Mon hly
P i a e buildings Geome y o buildings Building Geo e e enced (.shp,
.gml, e c.) Yea ly
Cha ac e is ics: use, no. o
loo s and dwellings,
e ec i e m2, yea o
cons uc ion, inhabi an s
Building Geo e e enced
da abase Yea ly, a leas
1
Inc ease o sma elec ici y me e s allow o ga he hou ly da a, which can be o in e es o speci ic scena ios analysis (i.e., pho o ol aic
(PV) sel -consump ion p omo ion, demand agg ega ion).
Table 2. Complemen a y in o ma ion o u ban analysis.
Topic In o ma ion Disagg ega ion
Deg ee Fo ma Pe iodici y
Ageing popula ion % Popula ion >79 yea s [20] Census ack Geo e e enced (.shp) Annually
Socio-economic
dep i a ion % low-income popula ion Census ack Geo e e enced (.shp) Annually
Unemploymen Unemploymen a e Census ack Geo e e enced (.shp) Annually
Li ing condi ions [
21
]
A e age o occupan s
pe dwelling Census ack Geo e e enced (.shp) Annually
% o en ed dwellings Census ack Geo e e enced (.shp) 2, 5, o 10 yea s
(depending on
he a ailabili y)
% o dwellings wi hou
hea ing sys em Census ack Geo e e enced (.shp)
% o dwellings wi h bad
conse a ion s a us Census ack Geo e e enced (.shp)
3.1.2. In o ma ion S o age
Rega ding he in o ma ion ga he ed, ENER-BI DSS combines di e en kinds o in o -
ma ion; s a ic, dynamic, and geo e e enced; and consequen ly, di e se o ma s o in o ma-
ion (.cs , .shp, .gml, e c.).
S a ic In o ma ion
I consis s o in o ma ion ha is no going o change o e ime. I includes he
geo e e enced s uc u al in o ma ion, as well as he seman ic one o cha ac e isa ion.
The elemen s ha a e going o be pa o his se o in o ma ion a e public buildings and
acili ies, p i a e buildings, and public ligh ning u ni u e. Fo ins ance, me ada a o
building cha ac e isa ion includes cadas al da a, ypology, numbe o loo s, a ea, use,
heigh , numbe o dwellings, oo ype, hea ing sys em, e c. Fo ligh ning, he me ada a
Sus ainabili y 2021,13, 383 7 o 15
associa ed en ails ea u es, such as he ype o ligh s, heigh , suppo , powe , li e expec ancy
o lumens.
The selec ed in o ma ion allows c ea ing a 3D Ci y Model ha will be s o ed ollowing
he Open Geospa ial Conso ium (OGC) Ci yGML s anda d da a model [
22
]. Once c ea ed,
hese da a model will hen be included in a 3D Ci y Da abase. A co ec ly geo e e enced
model is c ucial, as many o he indica o esul s ely on he localisa ion o he asse s on
he ield.
Finally, access o he ci y model can be enabled by publishing he da a h ough a
Deg ee Se e . This se e mus implemen he OGC S anda ds, such as Web Map Se ice
(WMS), Web Fea u e Se ice (WFS), Ca alogue Se ice (CSW), Web Co e age Se ice
(WCS), Web P ocessing Se ice (WPS), and Web Map Tile Se ice (WMTS); hese allow
geop ocessing ope a ions mo e e icien ly. Fu he mo e, and o isualisa ion pu poses, i
is possible o di ec ly con e he Ci y Model (including seman ic da a) o KML o 3DTiles.
Dynamic In o ma ion
This in o ma ion is changing o e ime, such as he la ge amoun o da a ha will be
gene a ed by he IoT de ices o senso s used o moni o he s a e o he a ea o in e es a
any gi en ime, o o implemen empo al se ies; e.g., building ene gy consump ions.
To s o e dynamic in o ma ion, i is essen ial o use a da abase designed o handle his
kind o da a. In his case, In luxDB would be app op ia e as i is designed and op imized
o s o e ime se ies and manage hem e icien ly. The access and manipula ion o hese da a
can be done h ough he In luxDB API (Applica ion P og amming In e ace); In luxDB
can connec wi h senso s, h ough he API, and s o e hei da a. Howe e , in mos cases,
a p e-p ocessing ask is needed o adap aw da a o inal use s’ needs. Fu he mo e, a
module o da a ea men should be implemen ed in In lux o pe o m ope a ions, such as
applying il e s, o ma ing, changing uni s o calcula ing da a agg ega ions, be o e s o ing
he da a in he In luxDB.
The e is also some da a ha can be conside ed as semi-dynamic, such as some elemen s
ega ding he gene al con ex de ini ion, o he gene a ion o po en ial u u e scena ios.
Those can be elemen s such as clima ic zones, egional egula ions, di ec i es, ene gy p ices,
and any o he associa ed in o ma ion ha would be aluable when assessing he s a e o
an a ea o egion, and ha may change depending on he con ex . These da a can be s o ed
in a Pos g eSQL ela ional da abase.
Fu he mo e, a Pos g eSQL da abase can be deployed o s o e he esul s a e he
Key Pe o mance Indica o s (KPIs) calcula ion. Tha way, KPIs esul s would be sa ed
in o hese da abase, a oiding he need o ecalcula ing hem du ing a p ojec li espan.
In addi ion, a baseline can be calcula ed and compa ed wi h po en ial u u e scena ios,
ob ained as he esul o applying di e en ci y solu ions, which p o ides a signi ican asse
o decision-make s. Ano he unc ionali y could be o calcula e and compa e KPIs among
he en i e ci y and smalle a eas, add essing di e en ci y scales.
3.1.3. Da a In eg a ion, T ea men and KPI Calcula ions
As p esen ed abo e, he e a e di e se al e na i es o s o e he in o ma ion depending
on i s na u e: s uc u al, seman ics, con ex -based da a, and empo al da a. Howe e , all
o ha in o ma ion mus be connec ed and accessible by he di e en ools o be able o
pe o m analyses, KPI calcula ions, and geop ocessing asks. Senso da a mus he e o e
be linked wi h s uc u al in o ma ion included in he 3DCi y Model. This link can be
es ablished by wo app oaches:
•
By sha ing IDs be ween senso and elemen s (i.e., building/public lamppos ); hence,
he senso de ec s he elemen is connec ed o ia ID and ice e sa.
•
By he loca ion, he elemen s in he model a e geo e e enced, so hey can be e ie ed
when selec ing an a ea o in e es .
All ype o in o ma ion s o ed (s a ic and dynamic, ga he ed a building, and u ban
le els) a e in e p e ed o he gene a ion o meaning ul KPIs (Figu e 1). Some o hese
Sus ainabili y 2021,13, 383 8 o 15
indica o s de i e di ec ly om measu ed da a (i.e., annual elec ical consump ion o a
public building as he agg ega ion o hou ly eadings om a sma me e ), whils o he
ha e a hyb id measu emen -model app oach (i.e., CO
2
emissions ela ed o he annual
elec ical consump ion).
Sus ainabili y 2021, 13, x FOR PEER REVIEW 8 o 16
ha e a hyb id measu emen -model app oach (i.e., CO
2
emissions ela ed o he annual
elec ical consump ion).
Each a iable and KPI equi es a de ined p ocedu e on da a in eg a ion and analysis
ac oss he di e se da a s o es and s eps. In he ollowing lines, as an addi ional example,
how bo h ypes o KPIs can be de i ed om he same da a sou ce (an u ban wea he s a-
ion) is desc ibed, in o de o calcula e annual sola i adia ion (kWh/m
2
·y, in eg a ing
measu ed da a) and he enewable elec ici y po en ial o a g oup o oo s i pho o ol aic
(PV) modules a e deployed (elec ical kWh/m
2
·y, hyb id KPI, combining measu ed sola
esou ce and geospa ial da a wi h a ma hema ical model o a gene ic PV module). The
s eps would be:
• De ine he a ea o in e es .
• Se -up he scena io da a.
• Selec he s uc u al elemen s inside he a ea o in e es h ough he WFS 3D Ci y
Model published on deg ee and e ie e geome ic in o ma ion, as well as he use ul
me ada a, such as oo op a ea, building o ien a ion, o shading g ade.
• Ge con ex da a associa ed wi h he calcula ion scena io connec ing o he Pos -
g eSQL da abase (e.g., clima ic zone, usage a e).
• Collec senso da a using he In luxAPI o ob ain sola i adiance.
• P ocess he da a, wi h he de ined p ocedu es o each KPI, based on a se ice imple-
men ed speci ically ia REST API.
• Re u n he da a ia se ice, o be loaded on a map o dashboa d.
Figu e 1. In o ma ion low: om da a ga he ing a building/ci y le els o a ci y dashboa d.
3.1.4. DSS Ou pu s o Decision-Make s
The equisi es o da a ga he ing, s o age, ea men , and KPI calcula ions pu sue one
main goal: p o iding ci y planne s wi h key ci y da a o in o m, suppo , and enable ace-
abili y o hei decisions. In his case, he esea ch eam has aken he Law 4/2019 on En-
e gy Sus ainabili y o he Basque Communi y, an example o egional EU di ec i e ans-
posi ion, as a e e ence o show which DSS ou pu s decision-make s need o plan and
ollow ci ies deca bonisa ions up.
Wi hin his law, ou pu s a e condensed in h ee main sec o s ega ding ene gy con-
sump ion and CO
2
emissions: building s ock, public ligh ing and mobili y. In he case o
buildings, main ou pu s poin a elec ic and he mal ene gy consump ion (hea ing/cool-
ing/domes ic ho wa e (DHW)/ligh ing; p e e ably as a mon hly agg ega ion) as well as
Figu e 1. In o ma ion low: om da a ga he ing a building/ci y le els o a ci y dashboa d.
Each a iable and KPI equi es a de ined p ocedu e on da a in eg a ion and analysis
ac oss he di e se da a s o es and s eps. In he ollowing lines, as an addi ional example,
how bo h ypes o KPIs can be de i ed om he same da a sou ce (an u ban wea he
s a ion) is desc ibed, in o de o calcula e annual sola i adia ion (kWh/m
2·
y, in eg a ing
measu ed da a) and he enewable elec ici y po en ial o a g oup o oo s i pho o ol aic
(PV) modules a e deployed (elec ical kWh/m
2·
y, hyb id KPI, combining measu ed sola
esou ce and geospa ial da a wi h a ma hema ical model o a gene ic PV module). The
s eps would be:
•De ine he a ea o in e es .
•Se -up he scena io da a.
•
Selec he s uc u al elemen s inside he a ea o in e es h ough he WFS 3D Ci y
Model published on deg ee and e ie e geome ic in o ma ion, as well as he use ul
me ada a, such as oo op a ea, building o ien a ion, o shading g ade.
•
Ge con ex da a associa ed wi h he calcula ion scena io connec ing o he Pos g eSQL
da abase (e.g., clima ic zone, usage a e).
•Collec senso da a using he In luxAPI o ob ain sola i adiance.
•
P ocess he da a, wi h he de ined p ocedu es o each KPI, based on a se ice imple-
men ed speci ically ia REST API.
•Re u n he da a ia se ice, o be loaded on a map o dashboa d.
3.1.4. DSS Ou pu s o Decision-Make s
The equisi es o da a ga he ing, s o age, ea men , and KPI calcula ions pu sue one
main goal: p o iding ci y planne s wi h key ci y da a o in o m, suppo , and enable
aceabili y o hei decisions. In his case, he esea ch eam has aken he Law 4/2019
on Ene gy Sus ainabili y o he Basque Communi y, an example o egional EU di ec i e
ansposi ion, as a e e ence o show which DSS ou pu s decision-make s need o plan and
ollow ci ies deca bonisa ions up.
Wi hin his law, ou pu s a e condensed in h ee main sec o s ega ding ene gy con-
sump ion and CO
2
emissions: building s ock, public ligh ing and mobili y. In he case o
Sus ainabili y 2021,13, 383 9 o 15
buildings, main ou pu s poin a elec ic and he mal ene gy consump ion (hea ing/cooling/
domes ic ho wa e (DHW)/ligh ing; p e e ably as a mon hly agg ega ion) as well as i s
equi alence on CO
2
emissions; he cos s associa ed o ha consump ion (by mon h), and
he cha ac e is ics o buildings (age, indoo a ea, ypology, ene gy ce i ica ion, eno a-
ion da e), and ins alla ions ( ype, yea o ins alla ion, ene gy sou ce, powe , e iciency).
Addi ionally, he esea ch eam has conside ed ele an , in e ms o ene gy- e o i ing
planning, ou pu s connec ed o he sola esou ce, le e aging he collec o po en ial o
buildings oo ops, such as oo op use ul su ace, PV/Sola The mal (ST) ins allable capac-
i y, PV/ST annual gene a ion, ela ed economic sa ings and in es men s’ payback pe iod,
and associa ed CO2emissions a oided.
Rega ding public ligh ing, he ou pu is simple han in he case o he buildings,
a ge ing agg ega ed mon hly ene gy consump ion and i s equi alence on CO
2
emissions
as he key ou pu ; he ype o ligh ing spo and i s e iciency a e also in e es ing elemen s
o planning po en ial eno a ions. Bo h in public ligh ing and buildings cases, he geo e -
e en ia ion o each elemen is c ucial o a 2D/3D analysis. Finally, in e ms o mobili y,
he a ge ed ou pu mus be he o e all uel/ ene gy consump ion o all ehicles and i s
equi alence on CO
2
emissions depending on he uel o each ehicle. An in en o y o
all public lee s and public anspo ehicles is ele an o planning lee eno a ions
wi hin he public sec o . The moni o ing o all hose collec i e ehicles should no be a
p oblem o public adminis a ion, as hey belong o he public sec o . Hence, he a ge ed
ou pu o he DSS is easible; howe e , he same le el o moni o ing would be desi able
o p i a e ehicles, which is a challenge a a ci y le el, pa ially sol ed by es ima ions
ancho ed on e e ence e ms, such as ehicles excise du ies, a ic in ensi y on ce ain
s ee s, uel impo s, a e age km pe ype o ehicle (na ional sou ces), e c.
Fo a comp ehensi e ci y analysis, ou pu s ega ding complemen a y deca bonisa ion
ci y sys ems, such as g een in as uc u es (CO
2
sinks; i.e., g een a eas su ace), was e
managemen o wa e managemen a e ecommended o be included in he o e all equa ion
and he DSS ou pu s.
3.1.5. Rep esen a ion/Visualisa ion
The a ge use s o ENER-BI DSS a e ci y manage s, suppo ing hei diagnosis,
planning, and ollow-up asks wi hin he ci y deca bonisa ion p ocess. Fo his eason, i
is essen ial o c ea e an in ui i e, a ac i e, simple, and use - iendly sys em, combining
2D and 3D geo e e enced in o ma ion and p esen ing da a h ough in e ac i e g aphs and
diag ams ha can show KPIs, agg ega ion o elemen s o empo al se ies in a clea , concise,
and unde s andable manne . Acco dingly, a dashboa d including combined unc ions
could be he mos sui able choice.
3.2. ENER-BI DSS o U ban Deca bonisa ion Planning: Func ionali ies
Once p esen ed he leading equisi es o ENER-BI DSS, his sec ion desc ibes he
main unc ionali ies o he ool o e ec i ely suppo a ci y deca bonisa ion p ocess.
Rega ding he isualisa ion and use o he ool, he esea ch eam de eloped se e al
es s wi h Powe BI so wa e (Figu es 2and 3), c ea ing a dashboa d ha p esen s he
o emos in o ma ion o he ci y. Th ough his so wa e, he ci y eam can connec o he
di e en da abases, edi , and isualize bo h s a ic and dynamic da a/KPIs; i is possible o
agg ega e elemen s and upda e he in o ma ion ecei ing empo al se ies when he sou ce
iles a e upda ed, ollowing he equisi es desc ibed in Sec ion 3.1. This so wa e can also
p ocess and p esen geo e e enced da a, allowing he use o c osscheck di e en se s o
da a wi hin he map o he dashboa d, acili a ing an in eg a ed analysis by ci y planne s.
Sus ainabili y 2021,13, 383 10 o 15
Sus ainabili y 2021, 13, x FOR PEER REVIEW 10 o 16
Figu e 2. Example o Powe BI ci y dashboa d; public buildings analysis in a Basque u ban a ea
(Spain).
Figu e 3. Example o Powe BI ci y dashboa d; summa y o Vi o ia-Gas eiz (Spain) public ligh ing in en o y; yea s 2016–
2018.
Rega ding he quan i ica ion o CO2 emissions educ ion and ene gy sa ings, he
unc ionali ies o ENER-BI DSS ha e been spli in o h ee modules, acco ding o he di -
e en needs o he ci y deca bonisa ion planning p ocess, aking he s eps o Ci ies4ZERO
deca bonisa ion me hodology as a e e ence.
3.2.1. Module 0—In en o y, Cha ac e isa ion, and Moni o ing
The main objec i e o his module is o ga he and in eg a e all necessa y in o ma ion
o p o ide planne s wi h e ec i e suppo in he ci y deca bonisa ion p ocess. Fi s ly,
Module 0 en ails he in o ma ion ga he ing mechanisms o p o ide a comp ehensi e in-
en o y o all deca bonisa ion a ge s. This in en o y includes moni o ing hose deca -
bonisa ion a ge s and hei elemen s wi h he sui able pe iodici y each elemen equi es.
The moni o ing ask is di e en om elemen - o-elemen ; some need o impo da a om
Figu e 2. Example o Powe BI ci y dashboa d; public buildings analysis in a Basque u ban a ea (Spain).
Sus ainabili y 2021, 13, x FOR PEER REVIEW 10 o 16
Figu e 2. Example o Powe BI ci y dashboa d; public buildings analysis in a Basque u ban a ea
(Spain).
Figu e 3. Example o Powe BI ci y dashboa d; summa y o Vi o ia-Gas eiz (Spain) public ligh ing in en o y; yea s 2016–
2018.
Rega ding he quan i ica ion o CO2 emissions educ ion and ene gy sa ings, he
unc ionali ies o ENER-BI DSS ha e been spli in o h ee modules, acco ding o he di -
e en needs o he ci y deca bonisa ion planning p ocess, aking he s eps o Ci ies4ZERO
deca bonisa ion me hodology as a e e ence.
3.2.1. Module 0—In en o y, Cha ac e isa ion, and Moni o ing
The main objec i e o his module is o ga he and in eg a e all necessa y in o ma ion
o p o ide planne s wi h e ec i e suppo in he ci y deca bonisa ion p ocess. Fi s ly,
Module 0 en ails he in o ma ion ga he ing mechanisms o p o ide a comp ehensi e in-
en o y o all deca bonisa ion a ge s. This in en o y includes moni o ing hose deca -
bonisa ion a ge s and hei elemen s wi h he sui able pe iodici y each elemen equi es.
The moni o ing ask is di e en om elemen - o-elemen ; some need o impo da a om
Figu e 3.
Example o Powe BI ci y dashboa d; summa y o Vi o ia-Gas eiz (Spain) public ligh ing in en o y; yea s 2016–2018.
Rega ding he quan i ica ion o CO
2
emissions educ ion and ene gy sa ings, he
unc ionali ies o ENER-BI DSS ha e been spli in o h ee modules, acco ding o he di e -
en needs o he ci y deca bonisa ion planning p ocess, aking he s eps o Ci ies4ZERO
deca bonisa ion me hodology as a e e ence.
3.2.1. Module 0—In en o y, Cha ac e isa ion, and Moni o ing
The main objec i e o his module is o ga he and in eg a e all necessa y in o ma ion
o p o ide planne s wi h e ec i e suppo in he ci y deca bonisa ion p ocess. Fi s ly, Mod-
ule 0 en ails he in o ma ion ga he ing mechanisms o p o ide a comp ehensi e in en o y
o all deca bonisa ion a ge s. This in en o y includes moni o ing hose deca bonisa ion
a ge s and hei elemen s wi h he sui able pe iodici y each elemen equi es. The moni-
o ing ask is di e en om elemen - o-elemen ; some need o impo da a om exis ing
sou ces (i.e., cadas e ); o he s b ing emo e da a om senso s; o he s e ie e in o ma ion
om elec ici y companies’ de ices; o he s need o be moni o ed by planne s (i.e., audi s
Sus ainabili y 2021,13, 383 11 o 15
and s udies). He e he objec i e is o de elop his in en o y as au oma ically as possible;
he esea ch eam explo ed ways o acili a e a egula au oma ic upda e o each elemen
wi hou he in e en ion o a p ac i ione , who would ha e o upda e i manually, so ci y
planne s can be as au onomous as possible in he use o ENER-BI DSS. Table 3shows he
main elemen s ga he ed, moni o ed, and in eg a ed in o he Powe BI dashboa d.
Table 3. Elemen s moni o ed in Module 0 In en o y, cha ac e isa ion, and moni o ing.
Deca bonisa ion Ta ge Main Elemen s
Public buildings
Geo e e enced in en o y and cha ac e isa ion (geome y and cha ac e is ics o public
building s ock)
Ene gy consump ion (moni o ing)
Ene gy audi s (s udy esul s)
P i a e buildings Geo e e enced in en o y and cha ac e isa ion (geome y and cha ac e is ics o p i a e
building s ock)
Public ligh ing
Geo e e enced in en o y
Ene gy consump ion (moni o ing)
Ene gy audi s (s udy esul s)
Mobili y
Public uel consump ion (moni o ing o public anspo and lee s)
P i a e mobili y (s udies and es ima ions)
Ac i e mobili y (s udy esul s)
Socio-economic/socio-demog aphic
(u ban analysis) Vulne abili y (index moni o ing)
Th ough his in en o y suppo ed by ENER-BI DSS, planne s will be able o pe o m
a quan i a i e ci y cha ac e isa ion ega ding he main deca bonisa ion a ge s (Public
Ligh ing example on Figu e 3), co esponding o S ep 2 (ANALYSE) o Ci ies4ZERO
me hodology. This ci y cha ac e isa ion has o include he a o emen ioned in en o y,
which will be he base o c ea e a CO
2
emissions baseline, and which can be complemen ed
by a quali a i e analysis, p o iding a mo e comp ehensi e unde s anding o he ci y s a us:
a li e a u e e iew on a ci y le el (exis ing policies, egula ions, s a egies and plans), semi-
s uc u ed in e iews wi h sec o ial expe s (ene gy, building s ock, mobili y, public space,
In o ma ion and Communica ion Technologies (ICTs), engagemen , was e, wa e , e c.), and
su eys on ci izens pe cep ion.
3.2.2. Module 1—Scena ios Gene a ion o Deca bonisa ion Planning
This module in ends o suppo a diagnosis o he in en o y de eloped in Module 0,
bo h in echnical and socioeconomic e ms, be o e gene a ing u u e po en ial deca bonisa-
ion scena ios. This module seeks o s anda dize and au oma ize he calcula ion p ocesses
o algo i hms applied in u ban ene gy- e o i ing, public ligh ing and mobili y p ojec s
by he esea ch eam, now in eg a ed as a pa o ENER-BI DSS (Table 4). Th ough he
embedded algo i hms, he DSS can calcula e CO
2
emissions educ ions, as a esul o
implemen ing a se o p ojec s and s a egies in he ci y including, o ins ance, an inc ease
on local enewable ene gy p oduc ion.
Th ough he possibili y o calcula ing he impac o po en ial u u e p ojec s and
s a egies, ENER-BI DSS can suppo he gene a ion o u u e scena ios. To de e mine he
impac and p og essi e implemen a ion o such ini ia i es, he DSS mus es ima e wha
he ends a e and he quan i a i e e e ences o each ci y sys em o he ollowing yea s,
so speci ic p ojec ions can be add essed o each ini ia i e (i.e., elec ic ehicle pene a ion
a e pe yea ; public/p i a e building s ock e o i ing a e pe yea ). In his line, ci y
planne s will ha e o se a le el o ambi ion acco ding o he ci y deca bonisa ion a ge s,
being awa e o wha is doable, acco ding o hei baseline, con ex , and esou ces.
Sus ainabili y 2021,13, 383 12 o 15
Table 4. Au oma ized/semi-au oma ized calcula ion p ocesses embedded in Module 1.
Deca bonisa ion Ta ge Calcula ion P ocesses
Public buildings •Sola po en ial on oo ops and Renewable Ene gy Sou ces (RES) pene a ion scena ios [23]
•Viabili y o ene gy nodes (local enewable p oduc ion eeding adjacen buildings) [24]
P i a e buildings
•Ene gy consump ion and CO2emissions
•Upg ade po en ial a e ene gy- e o i ing
•Sola po en ial in oo ops and RES pene a ion scena ios
•Demand agg ega ion and syne gies (depending on inal ene gy use)
Public ligh ing •E iciency imp o emen o public ligh ing
Mobili y
•Vehicle eplacemen (public lee s and public anspo )
•CO2 educ ion om p i a e ehicles use dec ease
•P og essi e inc ease o elec ic ene gy demand (e-cha ging poin s)
Socioeconomic •Socioeconomic iabili y o gene a ed scena ios
In his sense, Ci ies4ZERO me hodology sugges s he co-gene a ion o u u e scena ios
(in S ep 4 o [
4
]; ENVISION), engaging key local s akeholde s, speci ically inco po a ing o
he deba e hose wi h he key ci y compe ences, who will be po en ially in ol ed in he
implemen a ion o he ac ions o he deca bonisa ion plan. The suppo o ENER-BI DSS o
complemen he en isioning co-gene a ion wo kshops wi h quan i a i e da a will upg ade
he deba e, showing pa icipan s, which would be he po en ial u u e consequences o
p esen decisions in each ci y sys em. Th ough his deba e, local s akeholde s will be able
o each consensus on a “mas e scena io” o 2030/2050 and will be able o pa icipa e
in he design o he ac ions included in he oadmap 2030/2050 o achie e ha scena io
(S ep 5 o [
4
]; PLAN
Ci y Le el
), en isioning he ci y o he u u e and join ly planning he
pa hway owa ds i .
3.2.3. Module 2—Deca bonisa ion Follow Up
Once ci y planne s achie e a “mas e scena io” and de elop an Ac ion Plan owa ds
deca bonisa ion, ENER-BI DSS mus suppo he ul ilmen o ha plan, se ing a ollow-up
amewo k ha enables he ul ilmen o he ac ions in he coming yea s. Fu he mo e,
ha amewo k mus allow he quan i a i e e iew o he ac ions, as well as o deciding
co ec i e mechanisms, i necessa y. Acco dingly, his module mus inco po a e ollow-up
KPIs add essing each deca bonisa ion a ge , and e en he speci ic ini ia i es o he Ac ion
Plan oo. Once decided all KPIs o be included, ENER-BI DSS mus allow s udying ha da a
o e ime, hence, showing he his o ical e olu ion o hose KPIs o e mon hs/yea s (s eps
12–16 wi hin he In e en ion and Assessmen S age o Ci ies 4ZERO me hodology [4]).
In his sense, Module 2 is suppo ed by Modules 0 and 1:
•
The au oma iza ion o he upda ing p ocess o he in en o y o Module 0 is a sig-
ni ican asse wi hin his ollow-up p ocess o Module 2, as i always p o ides ci y
planne s wi h upda ed in o ma ion.
•
I co ec i e mechanisms a e needed o e ime, he calcula ion p ocesses o Module 1
o gene a ing scena ios a e also alid in he ollow-up p ocess, ecalcula ing he
po en ial impac o hose co ec ions.
An addi ional ea u e o his module can be he link be ween he DSS and he digi-
aliza ion o some ci y p ocedu es (e.g., building pe mi s/licenses), which would p o ide
he DSS wi h some aluable skills o ci y planne s’ daily asks, becoming a ans e sal
so wa e wi hin planning depa men s. Howe e , he esea ch eam has no explo ed
his possibili y.
Sus ainabili y 2021,13, 383 13 o 15
O e all, hese h ee modules p o ide igo ous quan i a i e da a wi hin deca bonisa-
ion planning, which can addi ionally ul il anspa ency equisi es o public adminis a-
ions, enabling ai and unde s andable se s o da a, which can be publicly p esen ed o he
ci izenship o an in o ma i e and engaging deca bonisa ion local p ocess.
4. Discussion
O e all, ENER-BI DSS suppo s deca bonisa ion planning h ough an au oma ic
upda e o eal da a collec ed by senso s; au oma izes calcula ion p ocesses connec ed o
deca bonisa ion planning and u ban analysis; and p o ides geo e e enced da a o elemen s
o be deca bonised, a key aspec o an in eg a ed u ban ene gy analysis.
F om a ci y planning pe spec i e, ENER-BI os e s he p ac ical in eg a ion o ene gy
and u ban planning p ocesses as de ined by he Ci ies4ZERO me hodology, helping o
o e come adi ional siloed app oaches o ene gy planning ha ha e been applied in,
o ins ance, Sus ainable Ene gy Ac ion Plans (SEAP)/ Sus ainable Ene gy and Clima e
Ac ion Plans (SECAP) p ocesses in he amewo k o he Co enan o Mayo s. In his
sense, i p o ides a da a-led app oach o he complex p ocess o decision-making o u ban
deca bonisa ion planning, whe e se e al compe ing in e es s exis , and whe e di e en
s akeholde s a e engaged a di e en le els and momen s o he p ocess (poli icians, ci il
se an s wi h echnical esponsibili ies, p i a e ene gy companies, building owne s, and
he ci il socie y a b oad).
In addi ion, ENER-BI has a balanced le el o de ail on he ene gy assessing and
modelling aspec s ha enable decision making a u ban/dis ic le el. A e ha , dedica ed
ene gy p ojec -o ien ed planning ools can be used o a de ailed scena io o in e en ion
design. Au ho s ha e ollowed a simila me hodology on [
24
], whe e ene gy e iciency
and socio-economic ulne abili y in dis ic s we e assessed h ough GIS, building da a
and model-based KPIs, and once he e o i ing needs we e iden i ied and p io i ized, he
in e en ion in a selec ed neighbou hood was designed h ough Ene gyPLAN; ENER-BI
can he e o e be complemen a y o p ojec -o ien ed ools. Fu he mo e, ENER-BI ills he
gap in he decision-making chain be ween hose p ojec -o ien ed ools, which go di ec ly
on he echnical de ails o enginee ing p elimina y p ojec s ha do no add ess he u ban
dimension, and he cu en u ban planning pa adigm, whe e decisions a ec ing ene gy
planning a e usually based on non-geo e e enced s a ic analysis.
ENER-BI is he esul o he in eg a ion o se e al s eps needed along he deca boni-
sa ion planning p ocess a a local le el: baseline de ini ion, diagnosis, s a egic planning,
e alua ion o he implemen a ion, e c. Each o he modules can be adap ed and e ined
sepa a ely and linked back o he DSS. This modula app oach gi es ENER-BI DSS he
needed lexibili y o be use ul in di e en places since he planning p ocess is e y con ex -
sensi i e: i hea ily elies on he local/ egional egula ion, compe encies dis ibu ion,
go e nance model, da a ga he ing and a ailabili y, e c. The e o e, ENER-BI o e s a sys-
ema ic app oach o he p ocess, based on a sound planning me hodology (Ci ies4ZERO)
ha can be ailo ed o he speci ic con ex .
Howe e , in he p ocess o de eloping he ool, se e al limi a ions ha e been de ec ed.
The main ba ie ega ding da a ga he ing is he lack o in o ma ion abou one ene gy-
in ensi e sec o , such as p i a e mobili y. In e ms o unc ionali ies de ini ion, he ool was
designed o ul il he speci ic equi emen s o municipali ies o he Basque Region’s Law
on Ene gy Sus ainabili y; his law aims o anspose he Eu opean Di ec i es ela ed o he
“Clean Ene gy o all Eu opeans”, and as such, i is concep ually aligned wi h i . Howe e ,
i does no co e all o he aspec s co e ed by such di ec i es, being mainly ocused on
public ac ion a a local le el.
Once he concep ual design o he ool has been de ined, u u e esea ch should
ocus on es ing i in a eal-case en i onmen , as a suppo ool o he implemen a ion o
he Ci ies4ZERO me hodology in a ci y. In his p ocess, i is o be expec ed ha se e al
ba ie s will be encoun e ed when ac ually in eg a ing in o ma ion sou ces. Mo eo e ,
u he esea ch will be needed o ga he essen ial in o ma ion such as ene gy consumed
Sus ainabili y 2021,13, 8836 4 o 20
in he coming yea s, as well as he in e nal cha ac e is ics o he ci y, inally co-de eloping
he SWOT (s eng hs, weaknesses, oppo uni ies, and h ea s) analysis o Vi o ia-Gas eiz.
2.1.4. S ep 4. ENVISION
Building upon he s a egic ci y diagnosis co-de eloped du ing he i s wo kshop,
he same ep esen a i es o he main social g oups ga he ed again a he same enue on 12
Feb ua y 2020, his ime wi h he aim o co-c ea ing he u u e ision o Vi o ia-Gas eiz by
2030, suppo ed by he assis ance o sec o ial expe s (ene gy, mobili y, building eno a ion,
public ligh ing, wa e and was e managemen , e c.) and a mode a o expe in p ospec i e
exe cises (de ailed o esigh me hod desc ibed in [
11
]). Di ided in o ou g oups, assuming
he ole o ci y planne s, and based on he SWOT analysis, he pa icipan s gene a ed ou
di e en scena ios by 2030, which was hen con e ed in o one “mas e scena io”, aking
di e se elemen s o each scena io. Acco ding o ha “mas e scena io”, he pa icipan s
co-de eloped a ci y ision o Vi o ia-Gas eiz 2030, which esul ed om eaching consensus
among all pa icipan s (see he de elopmen p ocess in Figu e 2).
Figu e 2. Ci y Vision co-de elopmen p ocess in APIET 2030.
Sus ainabili y 2021,13, 8836 5 o 20
2.1.5. S ep 5. PLAN CITY LEVEL
Based on he Ci y Vision 2030 and he co-gene a ed mas e scena io, he leading ene gy
and clima e municipal se ice s a ed he de elopmen o he APIET 2030 documen .
This p ocess consis ed o a ho ough analysis o he inpu ga he ed in he wo kshops,
iden i ying he objec i es o he APIET 2030, as well as s uc u ing all con en s in o a
de ailed b eakdown o s a egic a eas, s a egic lines, and key ac ions. This con en was
con as ed by local sec o ial expe s, suppo ed and aligned wi h he u ban-ene gy model,
and p esen ed in a inal d a documen , which was opened o he ci izenship in a public
pa icipa ion p ocess be o e i s inal publica ion.
2.1.6. S ep 6. INTEGRATE
Once he APIET 2030 was published, he municipal se ice o ene gy and clima e
made a e lec ion on how o in eg a e he ou comes o he APIET 2030 in o municipal
planning dynamics and ins umen s. In his ega d, in eg a ion was conside ed in e ms o
ho izon al in eg a ion (c oss-cu ing collabo a ion among municipal depa men s and hei
sec o ial s a egies), looking mo e speci ically o he ongoing upda e o Vi o ia-Gas eiz
u ban plan; and e ical in eg a ion, looking o alignmen wi h exis ing ini ia i es a
egional, na ional, and Eu opean le el.
2.2. P inciples o U ban-Ene gy Modelling
Acco ding o he Ci ies4ZERO me hodology, he deca bonisa ion planning p ocess
needs he suppo o an u ban-ene gy model able o calcula e he po en ial impac o he
ac ions de ined on he local ene gy sys em. Wi h ha pu pose, he u ban-ene gy model
mus se a baseline (2017 in he case o Vi o ia-Gas eiz) upon which o in oduce ci y ac ions,
checking o wha ex en he objec i es de ined can be ul illed and in wha ime ame.
In his sense, he ENER-BI esea ch p ojec p esen ed he desi able cha ac e is ics o
an u ban-ene gy decision suppo sys em (DSS) able o in eg a e ene gy and spa ial da a
o ci ies’ deca bonisa ion planning [
12
]. This esea ch p ojec se speci ic equisi es on
in o ma ion ga he ing p ocedu es, in o ma ion s o age (bo h s a ic and dynamic da a), da a
in eg a ion and ea men , key pe o mance indica o s’ calcula ions, necessa y ou pu s o
decision-make s, and dashboa d isualisa ion. All hese equisi es we e o ien ed o enable
he h ee main unc ionali ies o an u ban-ene gy DSS, also desc ibed in [12]:
•Module 0—In en o y, cha ac e isa ion, and moni o ing.
•Module 1—Scena ios gene a ion o deca bonisa ion planning.
•Module 2—Deca bonisa ion ollow up.
In he case o APIET 2030, he de eloped u ban-ene gy model in eg a es hese h ee
i ems. Based on he ga he ed in o ma ion a he ci y le el (Sec ion 2.1.2 S ep 2. ANAL-
YSE), he model can p ocess he cha ac e isa ion o he u ban-ene gy sys em (Module
0). The end-use sec o s o he ci y and he supply echnologies a e bo h po ayed in he
LEAP modelling amewo k [
16
]. Demand-side sec o s a e de ailed as much as possible
(acco ding o he a ailable in o ma ion) o accu a ely model he ene gy ac ions ha will
be enac ed.
The cha ac e isa ion o he baseline yea se es as he s a ing poin om which
scena ios a e c ea ed. Indeed, he main goal o he u ban-ene gy model is o gene a e
di e en u u e si ua ions ha he ci y could ace in o de o assis in he gene a ion o
he ci y ision (Module 1). Scena ios a e modelled h ough he combina ion o global
ci y ends, pas and u u e socio-economic and demog aphic endencies, as well as he
impac s o implemen ed ene gy ac ions. The i s business as usual scena io is c ea ed,
se ing as a benchma k o he gene a ion o he al e na i e scena ios, o be discussed by
local s akeholde s (Sec ion 2.1.4 S ep 4. ENVISION). As a esul o his exchange, a mas e
scena io is modelled, ep esen ing he 2030 ci y ision.
The model can be upda ed, and new scena ios gene a ed, allowing he ollow-up o
he ci y deca bonisa ion p ocess, as well as he ewo k o he ene gy plans and a ge s
(Module 2).
Sus ainabili y 2021,13, 8836 6 o 20
3. Resul s
Once he p ocess has been desc ibed, his sec ion p esen s he esul s o he applica ion
o he Ci ies4ZERO me hodology o he case o Vi o ia-Gas eiz’s APIET 2030 de elopmen .
3.1. A New Ene gy and Clima e Ac ion C oss-Cu ing Depa men
Ten yea s a e s a ing he implemen a ion o he i s clima e change adap a ion and
mi iga ion plan in Vi o ia-Gas eiz [
17
], and once he new go e nmen municipal s uc u e
was de ined as a consequence o he 2019 elec ions, he new poli ical boa d decided o make
a decision ha had been unde conside a ion o some yea s: he c ea ion o he ene gy
and clima e depa men . A he end o 2019, wi h he APIET 2030 in i s p epa a ion phase,
he municipali y ag eed on he need o an ins i u ional analysis leading o an in e nal
eo ganisa ion o esou ces o be e cope wi h he challenging complexi y o implemen ing
Vi o ia-Gas eiz’s clima e ac ion agenda.
Managed by he o me en i onmen depa men di ec o , he ole o he ene gy and
clima e depa men mainly consis s o :
•
Leading he clima e ac ion agenda om he municipali y, complying wi h he co enan
o mayo s and sus ainable de elopmen goals municipal commi men s; s a egic
coo dina ion, ende ing p ocesses, clima e inno a ion und aising, and s a egic oad-
mapping and documen s’ de elopmen . Fu he mo e, he depa men mus ensu e
he municipali y complies wi h he sus ainable ene gy egional egula ions [
18
], in
line wi h he ene gy pe o mance o buildings (EPBD; 2018/844) and ene gy e iciency
(EED; 2018/2002) EU Di ec i es, and igh ly linked o he deca bonisa ion o ou
ene gy sys ems.
•
Coo dina ing a c oss-cu ing collabo a ion wi hin he municipal depa men s and
agencies (in e nal), as well as wi h ex e nal s akeholde s ha a e engaged in speci ic
clima e ac ion s a egies o ini ia i es (p i a e sec o , academia, ci izenship).
•
Managing he compe encies o some ele an clima e- ela ed municipal a eas, ab-
so bed om he o me municipal s uc u e: ene gy, en i onmen , g een in as uc u e,
was e managemen , and u ban planning.
In o de o ul il he expec a ions o hese compe encies, he new depa men has
needed a ealloca ion o o me wo ke s om o he depa men s, as well as he ec ui men
o wo new p o iles o he s a .
3.2. A Ci y Backg ound In o ma ion Package o Ene gy and Clima e Ac ion
One o he i s new depa men ’s asks was pe o ming a ci y cha ac e isa ion in
ene gy and deca bonisa ion e ms, which can be an e ol ing eposi o y ha g ounds any
s a egic wo k connec ed o his opic. This cha ac e isa ion, appoin ed as Vi o ia-Gas eiz
backg ound in o ma ion package, consis s o :
1.
A eposi o y o s a egic documen s o he municipali y, bo h gene al and sec o ial,
ha can a ec he deca bonisa ion s a egy; hence hey can be mo e e icien ly co-
o dina ed and aligned in he u u e. In his case, he documen s e iewed we e:
o me sus ainable ene gy ac ion plan (SEAP) 2010–2020 [
17
], o me ca bon neu al-
i y s a egy 2050 (Vi o ia-Gas eiz’s “Ca bon Neu ali y” unde s anding goes in line
wi h Scope 2 o g eenhouse gas p o ocol: “GHG emissions occu ing as a consequence
o he use o g id-supplied elec ici y, hea , s eam and/o cooling wi hin he ci y bounda y”.
In his sense, emissions o se ing by expo ing enewable elec ici y is conside ed.),
analysis o sola ene gy po en ial in oo ops, ene gy s a egy o municipal buildings,
ag i- ood municipal s a egy 2025, Basque ene gy ansi ion s a egy, s udy o a
municipal ene gy-ma ke e , a compa a i e s udy on ci ies ene gy ansi ion 2030
including Vi o ia-Gas eiz, sus ainable u ban mobili y plan (SUMP), wa e manage-
men s a egy, was e managemen s a egy, g een in as uc u e s a egy, sus ainable
ene gy egional egula ion, na ional plan o ene gy and clima e, and he di e se local
o dinances on ene gy and u ban planning.
Sus ainabili y 2021,13, 8836 7 o 20
2.
An u ban-ene gy model po aying he ene gy sys em o he ci y and i s pe o mance.
The u ban-ene gy model in eg a es bo h Vi o ia-Gas eiz’s end-use sec o s and ene gy
supply in as uc u es, accoun ing o he ene gy consump ion and ela ed ca bon
emissions o he baseline yea . The u ban-ene gy model allows he simula ing o
u u e ene gy scena ios suppo ing u he s a egic planning and decision-making
(Sec ion 2.2 P inciples o u ban-ene gy modelling).
3.
A se o ci y indica o s ela ed o deca bonisa ion, al eady published in [
14
], p o ides
an o e iew o he key me ics o be moni o ed in a ci y deca bonisa ion p ocess. In
his sense, bo h he u ban-ene gy model da a and his se o ci y’s deca bonisa ion
indica o s can be in eg a ed in o an u ban managemen dashboa d, al oge he wi h
mul iple geo e e enced da a se s ha allow an in eg a ed analysis, as Figu e 3shows.
Figu e 3. Vi o ia-Gas eiz’s managemen dashboa d (i.e., o e iew on buildings’ hea ing demand; kWh/m2).
3.3. A Wo king G oup o Key Local S akeholde s Engaged in Ene gy and Clima e Ac ion
S a egic P ocesses
A co e elemen in Ci ies4ZERO me hodology is i s alignmen wi h in eg a ed planning
go e nance p inciples, namely, (a) in eg a ion h ough local s akeholde s’ engagemen ; (b)
ho izon al in eg a ion among ci y sys ems and wi hin planning s uc u es; and (c) e ical
in eg a ion among public au ho i ies om o he go e nmen le els. A wo king g oup o
local s akeholde s engaged in ene gy and clima e ac ion s a egic p ocesses is, he e o e, a
co ne s one o he APIET 2030.
Du ing he APIET 2030 de elopmen , wo king g oups we e cons an ly engaged
(
Table 1
); wi h a wo old pu pose. Fi s , he in ensi e co-c ea ion p ocess signi ican ly en-
iches he esul o he inal plan, hanks o he a ie y o knowledge b ough by he di e se
se o s akeholde s. Secondly, mos o he local s akeholde s in ol ed own he key com-
pe encies, esou ces, and knowledge ele an o implemen ing he APIET 2030 p ojec s;
b inging hem on boa d since he beginning o he p ocess inc eases hei commi men in a
u u e implemen a ion, as well as in o e coming po en ial ba ie s.
Sus ainabili y 2021,13, 8836 8 o 20
Table 1. In ol emen o wo king g oups in APIET 2030.
NOVEMBER 2019/
MARCH 2020
APRIL 2020/
FEBRUARY 2021
Valida ion o Global Ci y
T ends, Ci y Diagnosis,
Scena ios’ Gene a ion, and
Ci y Vision De elopmen
Iden i ica ion and
Desc ip ion o Key
P ojec s o APIET 2030
Public Adminis a ion
Poli ical: depu y mayo s
Technical: municipal depa men
di ec o s, municipal agencies,
egional agencies; ci y/ egional
manage s and p ac i ione s he on
en i onmen , ene gy, buil
en i onmen , u ban planning, ac i e
mobili y, public anspo , digi al
ansi ion and adminis a ion, was e
managemen , economic de elopmen
Co-leading he p ocess
(leading municipal
depa men )
In i ed o wo co-c ea ion
wo kshops, co e ing he
whole p ocess ( es o public
adminis a ion s a )
Co-leading he p ocess
(leading municipal
depa men )
Coo dina ion o APIET 2030
ac ions wi h each
depa men al s a egy
P i a e companies
Rep esen a i es
om companies and
coope a i es wi h expe ise in ene gy
managemen , wa e managemen and
solu ions, cons uc ion, u ban
in as uc u es, PVs, geo he mal
solu ions, mobili y, u ban
pa icipa o y p ocesses, and
dis ic hea ing
In i ed o wo co-c ea ion
wo kshops, co e ing he
whole p ocess
Sugges ion o key p ojec s
and con as o APIET
2030 ac ions
Academia/RTOs
Expe s on u ban planning,
cons uc ion, ene gy,
and en i onmen
Co-leading he p ocess
In ol ed in he design o he
co-c ea ion p ocess,
mode a ion o wo kshops,
and backg ound ma e ials
o pa icipan s.
In i ed o wo co-c ea ion
wo kshops, co e ing he
whole p ocess
Co-leading he p ocess.
Coo dina ing ac ions’ iles
and APIET 2030 documen .
Sec o ial con as in
scien i ic and
inno a ion e ms
Ci il associa ions Rep esen a i es om
neighbou s’ associa ions
In i ed o wo co-c ea ion
wo kshops, co e ing he
whole p ocess
Sugges ion o key p ojec s
and con as o APIET
2030 ac ions
3.4. A Ci y Diagnosis on Ene gy and Clima e Ac ion
Based on he ci y backg ound in o ma ion package o Vi o ia-Gas eiz (Sec ion 3.2),
and he wo king g oup o key local s akeholde s engaged in ene gy and clima e ac ion
s a egic p ocesses (Sec ion 3.3), a ci y diagnosis on he opic was de eloped. As desc ibed
in Sec ion 2.1.3, his ci y diagnosis in ol ed local s akeholde s in he iden i ica ion o global
ci y ends o Vi o ia-Gas eiz 2030, conside ing po en ial ex e nal a ec ions (oppo uni ies
and h ea s), and pe o med a SWOT analysis o con as hose ex e nal a ec ions wi h he
in e nal cha ac e is ics o he ci y (s eng hs and weaknesses). Fi s , ega ding he global
ci y ends iden i ica ion, he s akeholde s o ed he “ ele ance” and “unce ain y” o each
o hose (Table 2, Figu e 4); on he one hand, he po en ial impac o hose ends by 2030
is wha makes hem ele an ; on he o he hand, he unce ain y o such impac is wha
gene a es di e en scena ios by 2030 depending on whe he hose ends ollow one o
ano he di ec ion.
Sus ainabili y 2021,13, 8836 9 o 20
Table 2. Global ci y ends. Vo es o Rele ance and Unce ain y in APIET 2030 wo kshop 0 (p ocess diag am on Figu e 2).
Global Ci y T end Code “Rele ance”
Vo es
“Unce ain y”
Vo es
Building s ock
Deca bonisa ion 2050 Ed1 2 2
Building s ock eno a ion Ed2 13 10
Sma De ices implemen a ion Ed3 0 0
3D p in ing Ed4 0 1
Sus ainable mobili y
E-mobili y Mo1 7 6
Connec i i y Mo2 0 0
Au onomous d i ing Mo3 0 3
Mobili y as a se ice Mo4 1 0
Go e nance
Long- e m planning Go1 2 2
Co-design/co-c ea ion p ocesses Go2 4 2
Sup a-municipal unding in clima e ac ion Go3 1 5
Ins i u ional and ci izenship awa eness Go4 16 20
Ene gy
Renewable ene gies En1 11 2
Local ene gy communi ies En2 1 1
Ene gy sys em’s moni o ing En3 0 0
EU G een Deal En4 4 3
ICTs
Da a access TIC1 0 2
Vi ual eali y, augmen ed eali y, digi al wins TIC2 0 1
Sma ci y apps and 5G TIC3 0 0
Inc easing inequali ies TIC4 1 2
Social
Responsible consump ion So1 2 7
Demog aphics and aging popula ion So2 2 0
Indi idualism and consume ism So3 10 8
O he s
Telewo k and educed commu ing O o1 3 4
Ac i e mobili y O o2 0 2
Inc easing legisla ion O o3 4 3
Educa ion and leading socie al pa e ns O o4 1 1
Impac o clima e change O o5 2 0
Indus y 4.0 O o6 2 0
Globalisa ion and big capi als a ac ion O o7 3 1
Figu e 4.
Sca e plo diag am showing he ela ion Rele ance/Unce ain y o global ci y ends in APIET 2030 wo kshop 0
(p ocess diag am on Figu e 2/ac onyms in Table 2).
Sus ainabili y 2021,13, 8836 10 o 20
De i ed om he global ci y ends assessmen , he s akeholde s iden i ied he main ex-
e nal oppo uni ies and h ea s; de i ed om he CBIP (ci y cha ac e isa ion;
Sec ion 3.2
),
he main in e nal s eng hs and weaknesses o Vi o ia-Gas eiz in ene gy ansi ion e ms
we e iden i ied, assembling a SWOT analysis ocused on quali a i e inpu . This SWOT
exe cise was suppo ed by he u ban-ene gy model, which p o ided a deepe quan i a i e
inpu (Sankey diag am on Figu e 5, summa ising Vi o ia-Gas eiz’s ene gy sys em).
Figu e 5. Sankey diag am o Vi o ia-Gas eiz’s ene gy balance, pa o APIET 2030 ci y diagnosis (GWh).
Finally, he esul ing SWOT was con as ed and complemen ed by he key local
s akeholde s’ g oup (Sec ion 3.3), inding in his ci y diagnosis a common g ound o build
he s a egic planning p ocess o Vi o ia-Gas eiz (ci y ision 2030; Sec ion 3.5 and ac ion
plan 2030; Sec ion 3.6).
3.5. Ci y Scena ios Gene a ion and a Ci y Vision o Vi o ia-Gas eiz 2030
Once he ci y diagnosis de elopmen and global ci y ends iden i ica ion p ocesses
we e inalised, he g ound o co-gene a ing a ci y ision 2030 was eady (Figu e 2). Fi s ,
aking he CO
2
educ ion and clima e adap a ion ins i u ional goal, oge he wi h he mos
“ ele an ” bu “unce ain” global ci y end o ed by local s akeholde s (“Ins i u ional and
ci izenship awa eness”; Table 2), ou di e en 2030 scena ios we e co-gene a ed by ou
s akeholde s’ g oups (wo kshop 1 in Figu e 2). Each o hose scena ios was de eloped
acco ding o a p ospec i e exe cise pe o med by each g oup [
11
], whe e he s akeholde s
iden i ied he main elemen s ha would lead o such a si ua ion in 2030, all ca ego ised by
ci y sys em (ene gy and enewables; buil en i onmen ; mobili y; go e nance; o he s). A
his poin , all SWOT elemen s and main global ci y ends iden i ied we e kep in mind o
each scena io gene a ion. Each o hose ou scena ios consis ed o a p ospec i e na a i e
and an u ban-ene gy model, and hey we e complemen ed by a summa ising diag am and
a i le p oposed by he pa icipan s, aiming o a be e common unde s anding o he
whole s akeholde s’ g oup (Figu e 6):
Sus ainabili y 2021,13, 8836 11 o 20
•
“Haec es Vic o ia quae inci ”, whe e ins i u ional and ci izenship awa eness would
be high, and CO2 educ ion a ge s would be achie ed (+/+).
•
“Vi o ia-Gas eiz is us a ed”, whe e ins i u ional and ci izenship awa eness would
be high, bu CO2 educ ion a ge s would no be achie ed (+/−).
•
“ECO-nomic despo ism”, whe e ins i u ional and ci izenship awa eness would be low,
bu CO2 educ ion a ge s would be achie ed (−/+).
•
Vi o ia-Gas eiz G ey Capi al, whe e ins i u ional and ci izenship awa eness would be
low, and CO2 educ ion a ge s would no be achie ed (−/−).
Figu e 6. Syn he ic diag ams o he ou scena ios in APIET 2030.
A e an in ense deba e among local s akeholde s, hey ied o each a consensus on
he key elemen s o a “p e e ed scena io” (Table 3), which mus be ambi ious enough o
each CO
2
educ ion 2030 goals and achie able o no gene a e w ong expec a ions among
he local communi y. Fu he mo e, he key elemen s o ha “p e e ed scena io” we e
in oduced in he u ban-ene gy model, gene a ing sligh ly di e en echnical p oposals
o achie e hose 2030 goals. Finally, he membe s o he ene gy and clima e depa men ,
wi h he suppo o he u ban-ene gy modelle s, we e able o e ine he ou pu s o he
co-c ea ion p ocess o p esen he “mas e scena io 2030”.
Sus ainabili y 2021,13, 8836 12 o 20
Table 3. Summa y o key elemen s o Vi o ia-Gas eiz’s mas e scena io 2030.
Ene gy and
Renewables Building S ock Mobili y Go e nance O he s
High enewables sha e Inc easing
ene gy- eno a ion Ac i e mobili y
CO2 educ ion and
esilience a ge s
achie ed
Di e si ied economic
d i e s, wi h high
added alue and based
on a ci cula economy
Local ene gy
communi ies
( esiden ial and
indus ial)
Building s ock
adap a ion o clima e
change impac s
Impac o
“supe blocks” concep
and p oximi y se ices
High ins i u ional
awa eness. Public
adminis a ion as a ole
model
Se ices s. p oduc ion
Ene gy exchange
(was e ene gy
managemen
Reno a ion solu ions
wi h clea and sha ed
inancing models
New mobili y se ices:
mic omobili y, sha ed
mobili y
High ci izenship’s
awa eness;
empowe men
Indus ial egene a ion
Dis ibu ed ene gy
gene a ion
Sys emic eno a ion
ac ions; no mo e pilo
p ojec s
Las -mile logis ics
e olu ion
Poli ical mul i-le el
alignmen (lo-
cal/ egional/Eu ope)
High-quali y
employmen
Ene gy sel -su iciency Reduc ion o hea ing
demand
Elec i ica ion o
p i a e ehicles and
public anspo
Flexible egula o y and
axa ion amewo ks
Highe ood and
logis ics sel -su iciency
Ene gy s o age sys ems
upg ade
U ban egene a ion o
ulne able a eas;
“supe blocks” concep
In eg a ion o
echnology companies
in o u ban a eas,
a oiding commu ing o
indus ial a eas
One-s op-shop o
ene gy and eno a ion
p ojec s and local
ene gy communi ies
New
was e-managemen
model
Fu he mo e, he essence o he mas e scena io 2030 was condensed in o Vi o ia-
Gas eiz 2030 ci y ision, a s a emen wi h he main headlines he ci y in ends o achie e
a e he implemen a ion o he APIET 2030 plan, inding a consensus among he g oup o
local s akeholde s:
Vi o ia-Gas eiz 2030; a esilien , sa e, heal hy, me abolic e icien , ci cula , and high-
quali y en i onmen al municipali y; a benchma k o dis ibu ed ene gy p oduc ion om
enewable sou ces, o an e ec i e ene gy- eno a ion model o he buil en i onmen , o
i s de e mined commi men o he ac i e mobili y modes, complemen ed by a high-quali y
elec i ied public anspo sys em. A municipali y wi h ins i u ions ha exe cise powe ul
leade ship and ac in an exempla y way oge he wi h a co- esponsible ci izenship wi h a
high le el o awa eness, ein o ced by a model o communi y coope a ion capable o acing
he challenges o he ene gy ansi ion a he local le el. All his is wi hin a p ospe ous,
inno a i e, and compe i i e economic en i onmen , which ensu es a collabo a i e social
model in which no one is le behind [10].
3.6. APIET 2030—The Ac ion Plan o an In eg a ed Ene gy T ansi ion in Vi o ia-Gas eiz
As a esul o he co-de elopmen planning p ocess, he APIET 2030 was inalised. The
documen desc ibes he co-gene a ion p ocess a all s ages, achie ing an unp eceden ed
le el o ag eemen among he local communi y. Fu he mo e, i p esen s he ci y diagnosis,
he mas e scena io, and he ci y ision 2030, leading o he inal ac ion plan 2030 (summa y
on Table 4), consis ing o s a egic objec i es (2 gene al; 7 speci ic), s a egic a eas (5),
s a egic lines (10), and key ac ions (41).
Sus ainabili y 2021,13, 8836 13 o 20
Table 4. APIET summa y; s a egic objec i es, a eas, lines and key ac ions.
STRATEGIC OBJECTIVES (O e all - OSO/Speci ic - SSO)
OSO1. Imp o emen o ca bon oo p in OSO2. Local pa ne ship o he ene gy ansi ion
SSO1. Decen alised ene gy p oduc ion and Local Ene gy Communi ies p omo ion
SSO2. Social- ai ene gy- eno a ion o he building s ock SSO3. Sus ainable Mobili y
SSO4. Exempla y municipal leade ship on ene gy ansi ion SSO5. Local communi y empowe men
SSO6. Indus ial ecology and ci cula economy SSO7. Digi al ans o ma ion
STRATEGIC AREAS (SA), STRATEGIC LINES (SL), KEY ACTIONS (A)
SA1. ENERGY GENERATION & RENEWABLES
SL1. Implemen a ion o dis ibu ed ene gy gene a ion and elec i ica ion [19]
A1.1.1 Renewable ene gy in public buildings/in as uc u es A1.1.2 Elec i ica ion o ene gy demand
A1.1.3 Was e and sus ainable o es y main enance as ene gy sou ce
SL2. Sel -consump ion po en ial managemen
A1.2.1 S udy on sui able u ban loca ions A1.2.2 Plan o sel -consump ion ins alla ions
A1.2.3 Fos e ing ene gy exchange among p osume s A1.2.4 Ene gy T ansi ion Plan o indus y sec o
A1.2.5 Pa ne ship wi h ene gy and clima e esea ch/inno a ion ins i u ions
SA2. INDUSTRIAL, RESIDENTIAL, AND TERTIARY BUILDING STOCK
SL3. P oac i e managemen o eno a ion solu ions; ene gy demand/consump ion educ ion in buildings
A2.3.1 C ea ion o a municipal eno a ion ins i u ion A2.3.3 U ban egene a ion mas e plan
A2.3.3 Di ec o In eg a ed Plan o housing eno a ion A2.3.4 Reducing ene gy consum. in se ices sec o
A2.3.5 P og amme o ene gy me e s deploymen in buildings. Con ol o elec ic and he mal ene gy demand
SA3. SUSTAINABLE MOBILITY
SL4. 15 min mobili y and sha ed mobili y
A3.4.1 “Supe blocks” u ban concep implemen a ion A3.4.2 Capaci y building and p omo ing cycling
A3.4.3 Plan o school and wo k commu e s A3.4.4 Regula ed pa king plan
A3.4.5 Se ices o sha ed mobili y
SL5. Vehicles and in as uc u es elec i ica ion
A3.5.1 Elec i ica ion o public anspo A3.5.2 Las -mile logis ics hubs
A3.5.3 Elec i ica ion o municipal lee s A3.5.4 E-cha ge s deploymen p og amme
SA4. GOVERNANCE
SL6. Ins i u ional leade ship on ene gy ansi ion
A4.6.1 T ans e sal go e nance ac i i ies A4.6.2 Adap a ion o u banis ic ins umen s
A4.6.3 Public-p i a e inancing sys em A4.6.4 G een axa ion p og amme
A4.6.5 Pa icipa ion in global ci y ne wo ks on ene gy and clima e neu ali y
SL7. Fos e ing Local Ene gy Communi ies (LECs)
A4.7.1 Fos e ing local s akeholde s’ in e es /coope a ion A4.7.2 Open capaci y building on ene gy ansi ion
SA5. MUNICIPAL SERVICES AND FACILITIES
SL8. E icien municipal se ices
A5.8.1 C ea ion o an ene gy ansi ion one-s op-shop A5.8.2 Ene gy e iciency on was e managemen
A5.8.3 Ene gy e iciency on he wa e cycle managemen A5.8.4 Ci cula economy on municipal ac i i y
A5.8.5 En i onmen c i e ia on municipal ene gy con ac s A5.8.6 Municipal websi e on ene gy & clima e ac ion
A5.8.7 Pa icipa o y budge ing o p io i isa ion o lines
SL9. Exempla y and e icien municipal acili ies
A5.9.1 Ene gy- eno a ion plan o municipal buildings A5.9.2 High-e iciency public ligh ing deploymen
A5.9.3 Fos e ing low-ca bon p ocu emen A5.9.4 Raise awa eness o public admin. employees
SL10. Inc ease o CO2sinks. G een in as uc u es and local ood p oduc ion
A5.10.1 Inc ease o municipal CO2sinks capaci y A5.10.2 Emissions educ ion on ood p oduc ion
A5.10.3 Implemen a ion o ood sel -su iciency plan 2025 A5.10.4 Municipal s a egy on g een-ci c. economy
Rega ding key ac ions, each o hem was de ined acco ding o a sys ema ised layou ,
enabling he po en ial o pe o ming a join analysis h ough a digi al dashboa d (Figu e 3),
isualising o e all APIET 2030 igu es and in e connec ions. Fu he mo e, he po en ial
impac o each key ac ion was in oduced in o he u ban-ene gy model, quan i ying he
impac s o i s implemen a ion on a yea ly basis, se ing e olu ion a es, and calib a ing
o e all consump ion and emissions goals. All elemen s conside ed o he de ini ion o
each key ac ion a e p esen ed in Table 5.
Sus ainabili y 2021,13, 8836 20 o 20
4.
Be elsen, N.; Caussa ieu, M.; Pe e sen, U.R.; Ka nøe, P. Ene gy plans in p ac ice: A case s udy o making he mal ene gy s o age
in g ea e copenhagen. Ene gy Res. Soc. Sci. 2021,79, 102178. [C ossRe ]
5.
Cajo , S.; Pe e , M.; Bahu, J.-M.; Guigne , F.; Koch, A.; Ma échal, F. Obs acles in ene gy planning a he u ban scale. Sus ain. Ci ies
Soc. 2017,30, 223–236. [C ossRe ]
6.
Basu, S.; Bale, C.S.E.; Wehne , T.; Topp, K. A complexi y app oach o de ining u ban ene gy sys ems. Ci ies
2019
,95, 102358.
[C ossRe ]
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