Chapter 4. Energy efficiency and design measures
4.2 Integrated analysis in the local context
sources in the local planning practice. The following figure gives an insight over the GAP analysis concept 65. The GAP analysis shows that shortcomings in the current Iranian planning practices, appear in terms of limited know-how on energy efficiency measures in the spatial planning process of social infrastructures. With the exception of a building code dedicated to energy and environmental issues (Code no.19), no other planning and design measures exists in the planning system to cover the issue. It appears that most actors and stakeholders involved in urban development activities in Iran neglect energy efficiency and environmental designs issues. Nor is there any special incentive program which emphasizes improving energy efficiency in planning and design activities. In addition no particular monitoring and enforcement mechanisms are in place. Lack of incentives to motivate the developers and planners in integrating new environmental qualities is yet another shortcoming. On a more general level energy efficiency items are not among the compulsory spatial planning codes yet. The following table gives a more detailed overview on the main gaps in the current planning system.
Table 31. Gap Analysis for integration of energy efficiency in the local spatial planning process
Dimensions Expectations Gaps
Planning & design measures
Energy efficiency planning measures
Identification, definition &
importance of energy efficiency and design measures in the spatial planning (which measures should be integrated?)
- Lack of clear definition and the impact of planning and design measure on environment and energy savings
- Lack of an EE66 checklist/guideline for local actors
Integration of measures in the planning process
Integration of the EE measures in the local planning system.
Contribution scale and phase (where the planning measures should be integrated?)
- Lack of EE measures in the current planning practices - Lack of clarity where each criteria should be
integrated in the local planning system (which phase of planning?)
- Complexities concerning the scale of contribution (i.e.
building, urban district)
Organizational dimension (actors and stakeholders)
Awareness of the actors
Enhanced sensitivity and awareness of the actors concerning the importance of EE
- Lack of know-how among local actors about the potential energy gains in the physical development of cities
- Lack of know-how about energy efficiency and design measures (no training and capacity building
programme) Participation
of the local actors
Contribution and participation of involved local actors i.e. planner, developer, administration
- Lack of political commitment to put energy efficiency on top of the agenda
- Lack of multilevel (horizontal and vertical) communication and cooperation among involved authorities (i.e. municipalities, ministerial
organizations and NGOs involved in energy efficiency topics).
- Rigid top down modalities with limited participatory approaches
- Overlapping responsibilities with inefficient workflows
65 A total of 30 interviews have been carried out with local authorities and academic experts – Annex 1
66 Energy Efficiency
Regulation dimension (planning instruments and enforcement)
Control and monitoring
Existence of special department/organization to steer, promote, control and monitor the process in the local urban planning practices
- Lack of competent department/organization responsible for promoting, monitoring and authorizing energy efficiency considerations in the spatial development of cities
- Lack of an integrated workflow, dedicated tasks and responsibilities for actors (especially at local level) Planning
instruments
Dedicated obligatory &
promotional instruments and measures
- Lack of energy efficiency guideline, regulation or checklist available for spatial development in cities (with an exception of Code 19 on buildings) - Lack of energy efficiency incentives and promotional
measures (i.e. energy efficiency certificates, tax deductions) for planners and developers
- Lack of financial instrument/support dedicated on this topic
- Lack of an enforcement/monitoring mechanism in place
Integrated political will among actors
Enhanced & integrated commitment among actors in all levels (national, regional and local)
- Lack of a clear link between policy/strategy measures and the local regulatory measures and actions in the field (divergence of priorities & policies within and among different decision making levels)
Source. Khodabakhsh, 2017 (based on field observations and energy efficient social infrastructure planning and provision interviews – Annex 1)
A similar process has been applied to identify the main gaps and shortcomings in the planning and provision of electronic social infrastructures. As explained previously, electronic services as a new form of service delivery possess contribution potentials to decrease energy consumption in cities. From one hand, they impact on reducing the meeting and working spaces (front and back offices) for almost all types of social infrastructures such as the administrative, educational or health services.
Reducing space, in turn, directly affects the energy demand for heating, cooling and lighting purposes. On the other hand, electronic services minimize the urban movement by diverting working procedures to online means. From an energy perspective, this dimension of electronic services, considerably impacts energy demand in the transport sector (more precisely the reduction of VMT and as a result less traffic congestion and less energy consumption in the transport sector). Therefore, electronic services as a new form of service delivery can be considered as an energy efficient alternative to existing physical service spaces.
As illustrated in chapter 3, a three dimensional analysis concept is selected to assess the readiness level in the case study. These dimensions (infrastructure readiness,
organizational readiness and system and services readiness) are the prerequisites for a successful and complete electronic service design and delivery. The following gap analysis identifies existing shortcomings within each of those dimensions.
Table 32. Gap Analysis for improving e-services planning and provision of social infrastructures
Dimensions Expectations Gaps
Infrastructure readiness
Reliable infrastructure and updated technologies
Improved coverage and uptake of high speed internet infrastructure
- ICT infrastructure is not considered as part of the basic infrastructure in the Iranian urban planning processes
- Slow improvement in internet infrastructure due to high upfront investments for
telecommunications infrastructure projects. As a result, the main focus has been on improving the quality of mobile internet.
- Lack of updated/latest version of technologies as the result of very high infrastructure costs - Old and not updated IT support systems in municipalities and other service providers
Organizational readiness
Actors and digital literacy
Enhanced skills of users and involved actors (i.e.
the local authorities)
- limited digital skills and competencies among citizens and local authorities
- Limited trust to ICT driven solutions and
procedures such as e-services (due to cultural and educational backgrounds)
Awareness of the actors
Enhanced awareness on the benefits of e-services among all the relevant actors in different scales
- Many local actors (i.e. local authorities and communities) are not aware of the benefits and efficiencies of electronic service delivery - Lack of adequate training and awareness raising
programs
Integrated political will among actors
Multilayer and integrated commitment in different decision making layers from national to the very local level
- Lack of clear visions which has resulted in limited operational plans on the local level
- Fragmented initiatives and targets by different actors in different scales
- Lack of multilayer communication mechanisms for harmonizing the policy measures in different scale (lack of coordination)
Planning, implementation and monitoring mechanism
Special
department/organization for steering the process (i.e. promote, control and monitor the process)
- Lack of appointed coordinators (i.e. on behalf of local authorities and service providers)
- Lack of a common planning, implementation and monitoring mechanism
- Lack of standard measures, workflows and procedures
Service and system readiness
Digital content Improving digital content
- Restriction on open data due to security considerations by authorities
- Lack of digital content and digital data and high upfront investment to change paper-based procedures
- Limited awareness to keep obsolete/traditional and inefficient working procedures
e-services design
User friendly, one-stop shop e-services platform for end users
- Slow transformation pace towards planning and provision of e-services by local authorities - Diversity of interfaces and lack of a single point of
information
- The current e-services are limited to administrative workflows not the services themselves
- Lack of trust among actors on e-services (low level of transparency)
- Inefficient design of current e-services
Source. Khodabakhsh, 2017 (based on field observations and electronic services planning and provision interviews – Annex 2)
4.2.2 SWOT analysis
The method of SWOT analysis is a commonly used tool for analysing internal and external environments of a given situation in order to attain a founded results for decision-making (Wheelen and Hunger, 1995 and Kangas et al., 2003). As a matter of fact, almost any situation can be characterized in terms of positive and negative factors affecting its development, of both internal and external origin. Consequently the (SWOT) analysis is a commonly used tool for analysing both environments in order to attain a systematic approach and support for a decision situation (Wheelen and Hunger, 1995;
Kangas et al., 2003). SWOT analysis was first used in the 1960s as a tool for business management, in contexts characterized by uncertainty and high competitiveness. In recent years SWOT analysis has reached wider fields of application and is now commonly applied to support strategic planning procedures, to analyse alternative scenarios of urban and territorial development and to evaluate projects, plans and programs at both the local and global level. SWOT analysis has thus become a well-consolidated approach in the field of sustainability assessments thanks to its ability to represent in a rational and organized way the influence played by multiple factors on different decision contexts (Comino & Ferretti, 2016).
From a methodological point of view, SWOT analysis allows to distinguish between:
endogenous factors (i.e. variables that are part of the system and that can be di-rectly modified);
exogenous factors (i.e. variables that are external to the system but that can influ-ence it; these variables cannot be directly modified but it is important to keep them under control in order to take advantage from the positive aspects and pre-vent negative consequences).
Table 33. A synthetic definition of the SWOT analysis components
Helpful to achieving the objective Harmful to achieving the objective
Internal (attributes of the project)
Strengths: endogenous factors that describe the characteristics of the system. These characteristics are the resources with which the system is equipped and that is able to use in order to achieve its objectives.
Weaknesses: endogenous factors that describe the deficiencies of the system and the obstacles to the development processes. These
characteristics refer to the internal limits of the system which make the achievement of the objectives more difficult.
External (attributes of the
environment)
Opportunities: circumstances that are exogenous to the system and that can be enhanced by proper politics in order to increase the strengths or reduce the negative effects of the weaknesses. The
Threats: circumstances that are exogenous to the system, as for instance socio-cultural trends of the local system, which could weaken the strengths of the system, exacerbate the weaknesses, prevent the system from catching the opportunities and increase the risk of the
opportunities are situations belonging to the external context that are favourable to the system and that can activate or support development processes.
development processes.
The threats are situations belonging to the external context that are unfavourable to the system and that can frustrate its short-term, medium or long-term strategy.
Source. Comino & Ferretti, 2016
The SWOT analysis can be used as input to the creative generation of possible strategies, by repeatedly asking and answering the following four questions:
How can we capitalize on each strength?
How can we ameliorate each weakness?
How can we take advantage of each opportunity?
How can we defend against each threat?
When used properly, the SWOT analysis can provide a good basis for strategy
formulation (McDonald, 1993). A potential shortcoming is that SWOT analysis lacks the possibility of comprehensively appraising the strategic decision-making situation. The analysis often remains at the level of merely pinpointing factors. In addition, the expression of individual factors is often of a very general nature and brief (Hill and Westbrook, 1997).
The objective of the SWOT analysis in the present context is to develop
recommendations for improvement in the local planning practices towards achieving energy efficiency in planning for social infrastructures. The analysis emphasizes both spatial dimension of social infrastructure planning and their impact on energy efficiency, as well as the electronic service delivery dimension and their potential impact on energy consumption. The analysis is carried out in three dimensions:
Planning and design measures (technical dimensions)
Actors and their integration in the process (organizational dimension)
Instruments and enforcement measures (regulatory dimension)
Categories Strength Weakness Opportunities Threats
Planning and design measures (Technical dimension) Existence of an environmental design checklist by the UDEC in district 22 - focused on building scale
High energy consumption (both in building and transport sector) resulted from inefficient planning of social infrastructure
Lack of classified list of criteria, measures or guideline regarding energy and environmental issues in current local planning practices.
The possibility of achieving considerable energy efficiency by application of new planning measures in the process of spatial development (especially in an urban growth area with massive physical development potential)
Existence of few number of criteria in the statutory planning process (i.e.
detailed plan) with impacts on environment and energy consumption
Lack of know how about spatial planning & design measures and their impact on energy efficiency (sole attention in the area of energy efficiency has been appointed to technological solutions as well as appliances efficiency) however, there is a considerable efficiency potential through planning and design of built environment
Lack of energy efficiency planning support measures/tools (i.e. regulations or guidelines)
Planning Actors and stakeholders (Organizational dimension)
Establishment of the Urban Design and Environment Commission in district 22 municipality.
Top down and centralized steering modalities with limited flexibility for integrating new planning and design measures
Limited awareness of local authorities about the dimensions, criteria and possibilities to enhance energy performance of cities through
application of spatial planning and design measures
Inefficient management structure and lack of skilled human resources in the local context
Capacity of District 22 urban managers to work on new innovative ideas and approaches (i.e. recent activities to establish the Urban Design and Environment Commission )
Unstable and rapid changes in the management and organizations structure of city and therefore lack of a clear vision and strategies ahead.
Lack of commitment to integrate energy efficiency and environmental consideration in all dimensions of urban development
Limited multi-layer and multi-scale cooperation and communication. i.e. existence of sectoral policy and strategy instruments with no link to operational plans and actions in the local scale
Planning instruments and enforcement measures (Regulatory dimension)
Mandatory integration of few environmental considerations in the process of building permit issuance in District 22 by establishing the Urban Design and
Environment Commission in district municipality (However, the existing obligations are incomplete and limited to building scale)
Old fashioned master planning approaches without flexibility and consideration of economic framework complexities (city as an ever evolving context- dynamicity and the need for flexible solutions)
Rigid top-down planning approaches with limited possibilities for integrating new approaches
Complexity of multi-dimensional planning and regulatory instruments (especially the legally binding plans)
Lack of integrated set of planning instruments and measures (i.e. regulations, maps, criteria, strategies) on the topic of energy efficiency in current urban spatial planning practices.
Except building code Nr. 19, which provide few measures on energy performance in building scale, no other standards covers energy and environmental topics for spatial development.
Tendencies to test new planning approaches such as strategic planning approaches (i.e. CDS Plan) in District 22.
Potentials for improving the UDEC guidelines
Possibilities for streamlining the UDEC approach and achievements to other managing authorities in District 22 and Tehran.
Dominance of the traditional comprehensive and physical planning approaches, with limited environmental and qualitative emphasis
Existence of the rigid regulatory measures (mostly quantitative) in urban planning and difficulties to promote/integrate new approaches in the current traditional planning procedures/frameworks.
Lack of incentives and promotional measures (i.e.
certificates) for developers/consultancies to improve the energy performance in their planning and development activities.
Regulatory complexities for comprehensive integration of energy efficiency planning and design measures in the current statutory planning system
Source. Khodabakhsh, 2017
Categories Strength Weakness Opportunities Threats
Infrastructure, services and systems dimension (Technical dimension)
Rapid uptake of high-speed mobile broadband as well as ICT application and services
Limitations and weaknesses in broadband infrastructure, access and application of latest technology advances
Limited digital content and the tendency to stick on conventional paper-based procedures among local authorities.
Credibility and provision of up-to-date information (lack of effective maintenance of existing platforms)
Lack of full provision of services: for example many existing e-services by local authorities (i.e. municipalities) are limited to permit gathering procedures, payments, tax accounts and some general geographical information system applications. Most of these services are also outsourced and transferred to the city s electronic office.
Poor platform designs with limited attention to the target group s demands
Establishment of the municipality portals as a step forward, containing basic information (i.e.
the location of urban services in District 22).
Application of online GIS tools on the current online platform of District 22 municipality as well as other platforms hosted by the Tehran municipality
New transactional possibilities for several administrative and financial services (i.e. tax payment, building permit)
Limited cooperation and coordination among local authorities and different public service providers responsible for planning and provision of social infrastructure
High upfront investments for telecommunications infrastructure improvement projects
Planning Actors and stakeholders (Organizational dimension)
Distribution of promotional materials (i.e. concerning the municipality website and available online services) at the municipality and municipal public buildings to enhance the publicity of District 22 ICT activities
Complexity of involved actors and overlapping roles
Inefficient and complex management structure together with limited digital skills and competences (among involved local authorities and service providers)
Lack of an operational plan in developing single point of information (i.e. for basic urban services)- especially in the local/urban context
Citizens limited digital skills together with lack of trust on e-services and online procedures
Inefficient bureaucratic procedures and preferences to keep the obsolete procedures and structures with limited transparency
Lack of coordination and cooperation among responsible organizations, public services providers and decision makers (i.e. a coordination department) in efficient planning and provision of e-services
Lack of awareness among managers and decision makers about the potentials/benefits of e-services (i.e. cost and energy efficiencies)
District 22 strategic priorities in developing innovative approaches, such as establishing the municipality portal and continues development of e-services
Tehran municipality vision for stimulating the electronic service delivery in all municipality districts of Tehran
Existence of few awareness raising and training programs for enhancing digital competencies of the citizens by the municipality District 22 (i.e.
internet training sessions and workshops)
Lack of strategic training and awareness raising programmes
Sectoral and top down decision making system with limited cooperation and coordination in different levels (fragmented strategies and actions in planning and development of electronic services)
Short management period, rapid changes of management structure and therefore prioritizing/focusing on short term projects and changes
Instruments and enforcement (Regulatory dimension)
New ICT plans and initiatives by Tehran municipality towards making Tehran a smart city
ICT enabled obligatory procedures for several administrative procedures of municipalities
National bylaws mandating the development of e-services by all executive bodies
Preparation of the ICT strategy of district 22 municipality
Complexity of the existing regulatory system as a barrier to rapid development of electronic services.
Difficulties in creating a single pint of information
Limited financial instruments and deficiencies in budgets being allocated for ICT and e-services improvements accompanied by difficulties to attract private investments
Weaknesses in developing incentives and introducing promotional measures. i.e. by showing how cost, energy and time efficiencies can be gained by the new generation of services
Absence of harmonized and cross sectoral initiatives and roadmaps by local authorities (especially local municipalities) for
developing/enhancing the e-services.
Electronic coordination activities of the Municipality of District 22 with some of the local service providers (such as water, electricity, gas and other service providers).
Establishment and operation of the Tehran Electronic Services Offices in all districts (as well as District 22) as a transition towards full application of e-services.
Workshops and conferences managed by Tehran municipality focused on the regulatory dimensions of e-services
Obligations for boosting the provision of e-services by the executive bodies as well as municipalities (i.e. fifth and sixth national development plans and presidential decrees).
Limited operational initiatives for integrated planning and provision of e-services by local authorities and different service providers
Deficiencies in regulatory frameworks in planning and provision of electronic services
Limited resources dedicated to studies for planning and provision of electronic public services
Source. Khodabakhsh, 2017