5UP workbook: A practical guide for planning meaningful and consistent climate action and implementation in cities

BUDAPEST Urban Planning and Design ready for 2030 WORKBOOK 2 This workbook is the result of three years of collaboration within a consortium of 47 partners, working together to address the socio-technical transitions that cities must navigate on the path to climate neutrality, resilience, and social justice. In this context, socio-technical transitions refer to the broad and complex systemic changes required for cities to achieve climate neutrality. It’s not just about implementing new technologies to address specific issues—such as introducing e-buses to reduce carbon emissions—but also about understanding the many interconnected layers that shape and transform urban systems. These include policies, cultural aspects, stakeholders, governance processes, and social dynamics, all of which influence or are influenced by the adoption of new technologies. This WORKBOOK will be useful for you and your city if: Climate action is on the agenda. You have a problem statement / challenge you would like to explore solutions for You have project ideas ready for implementation. You want to assess how your city functions and explore alternative approaches. You want to ensure that no one is left behind in the transition to climate neutrality and resilience. You aim to shift from a project-based approach to a strategy-driven model that provides a broader perspective on specific actions. You aim to upscale your project ideas. About the 5UP Workbook 3 big picture analysis UPDATE identification of local status UPSKILL analyze the capacities to drive change and maintain it UPTAKE capitalize on learnings and spread the word UPSCALE understand what needs to be adjusted UPGRADE test in a smaller, controlled scale The 5UPs are a series of interlinked actions: 4 The 5UP Approach In this workbook, we will use the 5UP Approach. A framework designed to guide cities and urban practitioners in the process of driving the sociotechnical transitions necessary for achieving climate neutrality, resilience, and social justice. Designed for the UP2030 project, the 5UP Approach aims for operationalization of actions across five interlinked categories, ensuring a holistic view towards systemic change. Drifting away from a project-by-project approach and instead shifting towards a process focused, strategy-based model anchored to support processes, policies, and stakeholders. In UP2030, the 5UP approach has guided 11 cities in navigating the development of pathways towards a vision that will trigger the transition step-by-step. In this workbook, and in the extended tool available for download on the official website, specific examples of how each UP was contextualised and made meaningful towards realising this pathway have been captured. One last remark… Along the assessment with the 5UPs you will analyse your city’s pathway from different angles. Besides the building blocks and guiding questions you will find at each stage, always consider that there is: Cross-departmental collaboration at every step (breaking silos). Diverse and inclusive stakeholder engagement extending beyond the usual suspects. Engagement beyond city staff and knowledge exchange between partners and local communities. Documentation aligned with project objectives and expected impacts. What is the challenge your city wants to work on? Who are the actors involved? Where do we start? 5 UPDATING: Understanding needs and thereafter reviewing and revising planning and design approaches, standards, codes, and policies to better align with the urban transformation vision, particularly those related to climate action. This is achieved through extensive engagement of diverse stakeholders Prerequisites  The challenge  Knowledge on policies that influence the challenge Key Questions • Which planning and design approaches, standards, codes, and policies need updating? • What needs have been identified that are not yet captured within currently in place strategy and policies? • What are the barriers identified to achieve the neutrality and resilience goals? • What are already defined processes, standards, codes and design approaches that are working well and why? • Which stakeholders, partners, and alliances need to be made to ensure engagement throughout the process? Building Blocks  Mapping of the stakeholders that need to be engaged in the co-creation process.  Policy analysis to understand influences, interdependencies, and opportunities to be leveraged.  Comprehensive assessment of needs, barriers and priorities captured from diverse groups.  Identification of planning process that need rethinking through the climate action lens.  Alignment of planning processes with climate neutrality and adaptation goals.  Identification of best practices within the city How can I apply this UP to my projects? How is Rotterdam Updating? Rotterdam’s primary goal was to upscale learnings from its innovative Resilient BoTu 2028 program and institutionalise its successful methodologies in the everyday practice of the municipality. The city started its UPDATE process by carrying out an extensive policy analysis to identify active processes withing its robust district governance framework where learnings can be embedded. A variety of codes, processes and projects were identified through interviews with diverse departments within the municipality. During a needs assessment workshop with key municipal programs stakeholders, a need to create essential and accessible learning instruments that can be used to train civil servants in the social resilience approach of Resilient BoTu 2028 was identified. The city is hence now designing a Resilient District Toolkit consisting of learning frameworks, best practices and trainings that can become an essential module of the municipality’s planning standards. Outcomes of this phase  Mapping of the city department stakeholders  Mapping of wider city stakeholders  Policy analysis  Needs assessment  Vision 6 UPSKILLING: Strengthening the capabilities of city stakeholders through training and collaborative exercises to co-develop planning and design strategies that enable transformation and address current socio-technical challenges Prerequisites  Needs assessment  Vision Key Questions • Which capacities and resources are needed within your municipal organisation to enhance capabilities to plan and achieve climate neutrality and resilience goals? • What state-of-the-art tools and services can enhance data and evidence-based decision making in cities? • What learning and training programmes can be developed and implemented at the city level? • What resources and skills can be transferred back to local communities to build capacity and ownership of the transition? Building Blocks  Presence of dedicated departments or teams responsible for climate action within the city administration.  Experimentation with new tools for stakeholder mobilization, data collection and analysis, climate services, data-driven decision-making, among others.  Capacity building and skill development for municipal staff, partner organizations, and local communities.  Engagement beyond city staff and knowledge exchange between partners and local communities How can I apply this UP to my projects? How is Milan Upskilling? Milan is building capacity within its municipal team for more effective assessment and planning of green spaces and regeneration areas within its urban planning processes. The city is currently developing tools and methodologies for upskilling the evaluation of co-benefits and the resilience of climate adaptation measures. On the one hand, the city aims to maximize the environmental, social and economic co-benefits provided by green spaces. On the other hand, it is testing the City Resilience Framework to ensure that holistic resilience principles are integrated into municipal design and planning processes. Outcomes of this phase  Identification of skill and tool gaps  Engagement plan  Training programmes for municipal and community audiences  Capacity building plans across thematic focal points 7 UPGRADING: Based on the vision, identifying and implementing built and natural environment pathways, as well as supportive models and tools, to enhance our neighbourhoods. This involves tangible interventions in urban spaces that serve as examples of sustainable and just development and empowers the city to achieve its vision Prerequisites  Vision  Stakeholder groups already engaged in the process Key Questions • What are some possible routes and options that can be identifies to achieve the transformation? • What are the built and natural environment pathways, supportive models, and tools for planning and design that help put the vision into action? • What policies, solutions, or initiatives need to be tested to gather evidence and insights prior to it being scaled up to neighbourhood level? • Which stakeholders, partners, and alliances need to come together to co-create these new pathways? Building Blocks  Establishing collaboration and alliances to test and reflect ideas and solutions with.  Existence of pilot projects and demonstration sites showcasing climate-neutral technologies and practices.  Prototyping of solutions & technical collaboration to create concrete action plans.  Development of guides and resources to steer city planning processes  Monitoring transformation & impact of tested solutions How can I apply this UP to my projects? How is Istanbul Upgrading Istanbul is conducting a comprehensive analysis of its existing building stock as part of its goal to achieve carbon neutrality in the face of climate change to assess (i) energy consumption, (ii) solar energy potential, and (iii) the effects of various retrofit strategiessuch as enhancing building insulation and integrating new technologies like photovoltaics, heat pumps, and batterieson energy supply and demand. The city is also developing an optimization model for e-charging stations to increase the adoption of e-mobility. An artificial intelligence-powered decision-making tool is being established, enabling data from these assessments to directly inform policy as strategic measures and support the city’s carbon neutrality efforts, considering the return on investment for each strategy. In parallel, the city aims to generate interest and build awareness among citizens regarding the potential of retrofit technologies to reduce energy consumption, lower carbon emissions, and harness solar energy to power everyday life. Istanbul is implementing solar energy-integrated urban furniture at a local urban square to demonstrate this potential. Outcomes of this phase  Identification of the pathway  Identification of stakeholder environment  Data collection/validation  Scenario assessment 8 How can I apply this UP to my projects? How is Budapest Upscaling? Budapest aims to upscale the “Healthy Streets” planning approach to all municipalities operating within its jurisdiction. To support this goal the city is establishing a “Healthy Streets Knowledge Centre”, a platform that consolidates guidance, tools, resources, and methodologies, empowering urban practitioners to effectively implement this approach effectively. To promote local ownership and advocacy, Budapest is forming a steering committee for the Knowledge Center, with representation from key stakeholders with expertise in urban planning and design, sustainability and community involvement. The steering committee, along with a dedicated secretariat (a role held by the municipality of Budapest), will oversee the Center’s operations and will undertake efforts to secure future funding for its operations and partnerships to ensure its integration into local planning and practice through continuous knowledge sharing, training programs, consultancy, and practical support tailored to urban planners and district municipalities. All steering committee members, except for one nonprofit partner (Járókeló), are subsidiaries of the city of Budapest. This ownership structure ensures that their resources and efforts are aligned with the Knowledge Center’s mission and are expected to be secured through their formal ties to municipal governance. UPSCALING: Establishing and refining governance arrangements, financial mechanisms, policy development, and decisionmaking processes to foster city-wide impacts and align urban planning efforts with broader sustainability and justice goals Prerequisites  Identification of the pathway  Identification of stakeholder environment  Scenario assessment Key Questions • What are the governance arrangements, integrative policies, and financial mechanisms that will enable the environment for city-wide upscale? • What policies can support or inhibit the uptake of proposed solutions? How to resolve them? • How to create a step-by-step plan for the upscale of proposed solutions at city level? Building Blocks  Establishment of replication frameworks or guidelines for scaling up successful climate interventions.  Scaling up the lessons to stakeholder groups that can upscale the findings beyond the existing scope.  Financial sustainability and investment needs  Updates to governance, coordination, and capacities for Upscaling  Identify other funds and synergies to maintain project momentum and continuation Outcomes of this phase  Governance and finance enablers  Opportunities for knowledge transfer & dissemination  Upscaling stakeholder mapping  Step-by-step plan for upscaling findings and results 9 How can I apply this UP to my projects? How is Thessaloniki Uptaking? Thessaloniki seeks to develop a District Climate Action Plan guiding both policy makers and citizens with concrete strategies on achieving the city’s climate neutrality goals. A key aim within this agenda is to create more awareness and knowledge among citizens on the topic and create platforms to interact and exchange with each other. The city is hence setting up a Climate Story map which uses narratives and storytelling techniques, inviting citizens on place-based stories about their neighbourhood. This platform is also used to collect feedback, needs and aspirations on how they would like to shape their living environments. UPTAKING: Conducting activities to raise awareness and facilitate the exchange of knowledge and experiences across cities creating a ripple effect. Effective dissemination of findings to a broad range of groups so it is embedded in all processes and the insights are not lost Prerequisites  Results from each UP  Vision  Needs assessment  Pathway Key Questions • What are creative ways of communicating, disseminating, and interacting with audiences? • What actions will transfer knowledge for replication across cities to maximise impact? Building Blocks  Knowledge sharing and dissemination events  Community and stakeholder engagement through communication tools  Organization of events and celebration of milestones  Inviting continuous feedback and interaction to ensure the momentum is maintained Outcomes of this phase  Engaged community  Broader stakeholder collaboration  Ownership and local champions created  Established and strong communication channels