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Smart Cities Public Policy Keys toBuild up New Cities and ReinventExisting Ones Olga Gil and Carmen Navarro9th Transatlantic Dialog: Rebuilding Capacities for UrbanGovernance. Baltimore 12-15 June 2013Image: FIFTYMM69 EN FLICKRImage Olimpic Stadium Beijin by Flash Parker: http://www.flickr.com/photos/shawnparkerphoto

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Authors available for sponsorship of research, furtherinformation, conferences, analysis and findingsFollow our community on Google PlusSmart Cities: Spain, Europe, WorldCorresponding authorDr. Olga Gil. Universidad Autónoma de Madrid and TicWisdomolgagil@olgagil.es@olgagDr. Carmen Navarro. Universidad Autónoma de MadridHead of Department. Political Science and International Relations 1

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings6. Annex2

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings3

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• 70% of the world population will be living incities by 2050 United Nations World Urbanization Report• 9.400 new cities by 2050• What are the challenges for smart cities in thisnew scenario?4Introduction

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings5

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• Quality of life, productivity, growth effects ofhuman capital (Jesse Shapiro, 2006)• Metropolitan area with a large share ofpopulation with university degrees (Winters2011)• European tradition: Digitally inclusive andregeneration (Deaking and Allwinkle, 2007)2. Definition: What makes a city smart?6

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Tradition departing from a smart conceptconstrained to the world of devices:• Undergird the social capital to embed ICTfeatures of smart cities (Hollands 2008)• Includes two forms of intelligence: humanand collective, from skills to social andpolitical institutions articulating cooperation(Komninos 2009).• Emphasizes people and interactions (Allwinkleand Cruicksanks 2001)2. Definition: What makes a city smart?7

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Smart concept wider than the world of devices:“The most important things about informationtechnology: the possibility to empower andeducate citizens… to engage them in a debateabout environment and aspirations”“How citizens interact are key to any successfulcommunity, enterprise or venture”2. Definition: What makes a city smart?8

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Smart places• Combine the best of physical and virtualworlds. Physical spaces retain relevance(Deaking, Al Waer 2011)• Presence of a creative class (Andrea Caragliuet al 2011, Richard Florida 2002, 2005)• The “three layers”: Physical space, withaglomeration of people, innovative clusters 2)institutional innovation mechanisms andpolicies for technology transfer 3)collaborative spaces (Komninos 2009)2. Definition: What makes a city smart?9

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Combining e-government, information science,urban studies and public administrationChourabi et al (2012) identify eight critical factorsallowing us to compare:• Management and organization• Technology• Governance• Policy context• People and communities• Economy• Built infrastructure• Natural environment2. Definition: What makes a city smart?10

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2. Definition: Framework for analysisAllows:• Explanatory attempt at evaluating factors and success of projects• Different visions of smart design and implementation 11

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2. Definition: Hypothesis and casesHypothesis: Factors to advance smart plans are key todifferentiate models of urban governanceChoice of cases: Driven by interest (China, Japan,Iskandar (Malaysia), New York, Tarragona (Spain).• To learn from innovation practices in different worldinstitutional settings• Different innovation rates (R&D in China + 17 %, USA 5,2 %,Europe 3,8 %)• Attempt to tackle differences and similarities in both OCDEand non OCDE countries• Interested in variations in the universe of cases12

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings13

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3. Context: Smart cities in the worldagendaAn interest in China in city development far from thegrowth model (Lin 2002)OCDE and European Union link the concept ofsustainable environment, competition and cohesionwith smart cities (2005)City initiatives: Amsterdam, Southamton, Edimburgh,Malta, Philadelphia, Seattle, Quebec, Mexico city…Business initiatives: IBM, Siemens, OracleEuropean Union research and policy projects:Intelcities, INTERREG 14

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings15

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4. Cases for analysisUnit of observation is each smart city initiative However,cities and smart initiatives vary widely in demographics, economy, location,population growth and levels of urban development. Some countries choosemetropolitan regions (Japan)16

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis: China5. Analysis and findings17

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4. Cases for analysis: China4.1. Management, economy and built infrastructure• Based on an investment led model: 12th Master Plan allocates substantialresources to the Internet of Things and sustainability sectors• “Embed sensors in all corners of the city through power grids, railways,bridges, pipelines” (Liu, Peng 2013)4.2. Technology and Energy• Keys to smart developments in China• Technical standards lacking or imperfect in the field (Liu, Peng 2013)• Built in attempt to leap forward the model of energy production anddistribution through a smart grid• Projects include adding inteligence in location sensing, identification,security, networking, processing, control, agriculture, industrial processesand health sector18

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4. Cases for analysis: China4.3. Organization and governance• Participation of local governments and universities, both lead by officialsform the communist party. Cooperation is open to local governments,universities and foreign firms. Japanese firms and IBM have developedstrong win-win alliances.• Examples of smart cities: Beijin, Tianjin, Shanghai, Guanzhou, Nanjing,Shenyang, Wuhan, Dongying, Hangzhou, Wuxi, and Chengdu (Liu, Peng2013).• Shanghai, Chongqing city and Beijing University (participating with otheruniversities around the world) have ambitious smart plans• Banks are also important actors, supporting smart city projects around thecountry (China Development Bank…)19

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4. Cases for analysis: China4.4. Economy and the policy context• Go hand in hand. Looking forward the development of an industry wothmore than 500 billion yuan in a decade.• Investment led models may lead to widespread construction wherequantity and quality are not satisfactory. Danger of waste of funds,constructions becoming information islands –over 700 operation systemsin Beijing face difficulties of integration- plus lack of regulation andtechnical standards (Liu, Peng 2013)4.5. People and communities• Incorporated through the political party• Lius and Peng (2013) suggest the importance of talented persons,professionals, education and training, they suggest to build a high-endtalent platform with university and scientific institutes, cooperation withcolleges, local industries, vocational training schools…4.6. Natural environment• Focus on the smart grid to transport energy to coastal cities in the east 20

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis: Iskandar5. Analysis and findings21

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4. Cases for analysis: Iskandar4.1. Management, organization and governance• Based on a designed developmental model (top-down), derived fromstrategic location --within minutes of Singapore, East-West trade routesand growing air and sea Pacific hubs• Iskandar development Plan designed by the government in 2006 and anIskandar Regional Development Authority later appointed to advancesmart goals4.2. Technology• Mentioned as a pillar: attempting “an strategic use of IT for integration ofevery aspect of life”. However, further details are nor addressed.22

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4. Cases for analysis: Iskandar4.3. Policy context and economy• Iskandar Regional Development Authority (IRDA) established by a FederalAct of Parliament (2007) “provide a livable and sustainable conurbation.”• Iskandar is placed as a development area where a main focus is attractinginternational capital ($30 bn plan expecting 1/3 from abroad)4.4. People and communities• Addressed from the point of view of education and top-down.• Ellis Rubinstein, president of New York Academy of Sciences appointed towork on Iskandar university campus area with the mandate to make it areference and to accommodate necessities of fast rising populations.• Support from the cultural industry brings Pinewood Studios to Iskandarand Legoland has placed a theme park there23

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4. Cases for analysis: Iskandar4.5. Built infraestructure and environment• Focused on new residential and business developments, educational andrecreational areas• Not found strategies of master planning for design codes, rootedparticipatory democracy or electronic media as tool to extent thedemocratic debate.Pillars of smart Iskandar according to Development Authority• Incentives for developers and investors for using green technology andinfrastructure.• Introduction of carbon credits –However, policies to reduce C02 have notbeen contemplated in Iskandar or Malaysia.• Public transit system rather than more roads to improve easier movement.• Shared responsibility between business, police, and the public for safetyand security.24

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis: Japan5. Analysis and findings25

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4. Cases for analysis: Japan4.1. Management, organization and governance• Based on four on-going location experiments (2010-2014 in four city widecorridors)• “social infrastructures, involving electricity -energy-, water, buildings,transportation, communications, administrative services and otherelements, are “indispensable factors for ensuring that the lifestyles of thepeople and businesses can be supported.”4.2. Technology and economic model• Aimed at a “next generation energy society”: focus on technologies todevelop the smart grid, smart cities• Aimed at business models for the global market.• Projects to make power use visible, control home electronic devices, hotwater systems, demand response, the linking electric vehicles and homes,the optimal design of energy storage systems, electric vehicles chargingsystems, and transport systems. 26

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4. Cases for analysis: Japan4.3. Governance• Includes evaluation of the projects as part of the process towards smart goals: sub-projects carried within the selected cities are later supervised by the CommunityEnergy Management System (CEMS), in charge of verification and evaluation.• The Yokohama project: demand response on six large commercial buildings.Testing the effects of drawing power from storage batteries and energy efficiencymeasures.• Toyota City: power demand increases as multiple electric vehicles are charged,battery storage and an energy management system.• The Keihanna project: use of parked electric vehicles as storage batteriesandrecycled storage batteries to reduce power demand from factories.• Kitakyushu project, conducts a dynamic pricing trial with residents, settingincentives to lower consumption and to share data with power firms.27

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4. Cases for analysis: Japan4.4. People and communitiesExperiments include residents as active parts (mentioning residentsespecifically):“Smart cities are not something that should be tackled by just governments andcorporations and presented to residents. The general public must also be activelyinvolved in sharing their own ideas and helping to formulate the cities by throwingtheir own wisdom into the pot. “4.5. Natural environment• Natural environment as key driver. The origin of the smart city projects inJapan is the aftermath of the Great East Japan Earthquake on March 11,2011, and the subsequent nuclear power plant accident.• Facing urbanization is an enormous issue for Japan, with agricultural landbeing converted into urbanized areas at the same pace as the rapidgrowth of developing nations.28

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis: New York5. Analysis and findings29

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4. Cases for analysis: USA4.1. Management, organization and governance• Project on smart cities. Dr. Steven E. Koonin, former under secretary forscience in the Department of Energy in the Obama administration headsthe research agenda in New York University’s Center for Urban Scienceand Progress on smart cities.• A second smart project is developed from the city hall, focusing on smartdata.4.2. Technology• The approach to technology defined at NYU “from sensors to sociologists, andscience with a social dimension”.• For the local government technology goes hand in hand with the use of data toguide operations. In 2010, the city set up a team of data scientists for specialprojects in the Mayor’s office.• The city government has committed to giving the N.Y.U. center access to all itspublic data.30

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4. Cases for analysis: USA4.3. Built infrastructure• N.Y.U. center’s partners include technology companies like IBM, Cisco Systems andXerox, as well as universities and the New York City government.• There are also partnerships with government laboratories to tap their expertise inbuilding complex computer simulations, like climate models for weather prediction4.4. Policy context• Shows a digital strategy focused on access to technology, open government,engagement and industry in New York City.• Local government CIO Rachel Haot: “open government is important for the localgovernment because if the data and the internal structure and priorities aren’tcompletely open “we’re not going to be able to enable increased [open] services,“we need to be constantly gathering feedback from the public, informing andserving. And access is the foundation because everyone needs access to thesetechnologies.” (Howard 2011).31

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4. Cases for analysis: USA4.5. People and communities• Experiments with data driven approaches in governance include: citizensourcingsmarter government, aimed at creating platforms for citizens to collaboratearound information to improve outcomes, participatory budgeting and “broaderfuture as a data platform.”• New York City government data repository, the NYC DataMine. And moves towardmaking more useful public data available (geocoding, performance and regulatorydata. Recently, online 311 service request map…)• The local government working to grow the community of civic entrepreneurs anddevelopers fostering a Big Apps program and an contests known as NYC Big Apps4.6. Natural environment• Joint porgramms with the university regarding water consumption, electricity,computer simulations and climate models for weather prediction.32

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis: Tarragona5. Analysis and findings33

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4. Cases for analysis: Tarragona4.1. Management, organization• A Foundation has been set up to follow up the smart city plan.• The smart city projects presented in April 2013 are influenced by RichardFlorida´s concepts of thriving cities: based on talent, technology andtolerance. It also brings in the ideas of entrepreneurial spirit andcollaborative organizations. The values underlying the projects areconsensus and intelligence in the application of technologies –anintelligence “that would be defined by universities, firms, publicadministration, and citizenship.” Values are aimed at citizen´s welfare,wellbeing, and social cohesion.4.2. Technology focus aims at enhancing city management anddecision making, pilots to curve energy consumption in public localbuildings, transport and reducing CO2 emissions.• Partners in the projects: Tarragona Council, Repsol, Universitat Rovira IVirgili, Agbar, IREC Energy Catalonia, BDigital, Digivision, Telefonica,Aqualogy, CWP Water Catalonia, and Innoget Open Innovation. 34

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4. Cases for analysis: Tarragona4.3. Governance and policy context• Tarragona is part of a national network of smart cities created in 2011 andcomprising 41 other Spanish cities. The network aims at theautomatization of urban services and infrastructures, to increase thequality of services and curb public expenditure. This network is beingactive exchanging information on energy, social innovation, urbanmobility, governance and the environment.• Plans under the umbrella of a Foundation, include the participation thepublic university and firms in the energy, water, health, mobility, digitalcontents and tourism industries.• The Tarragona smart city project is designed with the policy context of theMediterranean Sports Games in mind. The games will be held in 2017 andthis international gathering is the landmark for the plans drafted.Tarragona focuses on the Mediterranean region as and space withemerging opportunities, linked to the development of the northern Africaregion and the importance of the sea port, the fourth in importance inSpain. 35

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4. Cases for analysis: Tarragona4.4. People and community are addressed in Tarragona• Favoring the creation of a market for open innovation in software, withthe partnership of Innoget, a project based on advertising as a businessmodel.• Educative project “smart phones for smart people” to teach how to usesmart phones in the civic centers in order to target the digital divide• Plans to install Video Wii games in nine civic centers to engage citizens onphysical exercise and community entertainment.4.5. Economy context• Against the backdrop of the economic downturn, so the smart city projectis conceived as a seedbed to seek new opportunities for economicactivation, jobs, and new productive possibilities within the great cityarea.• Looking at internationalization and branding the city globally to favortourism in historical heritage Roman buildings. 36

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4. Cases for analysis: Tarragona4.6. Built infrastructure and natural environment• Thermal isolation pilot in school with BASF technology Termabead tomeasure the resulting energy savings.• Environmental impact of public transportation, to be carried out by theChemical and Tech Center of Catalonia, funded by Repsol.• Pilot on the use of biofuels produced by seaweed, a research projectapplication from Repsol laboratories.• Smart metering for water in neighborhoods and public swimming pools,with AGBAR, EMATSA and AQUALOGY –expecting the results of acompetitive project from the European Union on telemetry.• New asphalt installed in zones of intensive use by heavy industrialvehicles. The properties allow capturing contaminated diesel particles,better water absorption, and fissure self repair.• Water quality control of beaches in Tarragona accessible through mobilephone and tablets apps.37

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings6. Annex38

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1. Introduction2. Definition3. The context: setting the agenda forsmart cities worldwide4. Cases for analysis5. Analysis and findings6. Annex: The variables in detail39

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Authors available for sponsorship of research, furtherinformation, conferences, analysis and findingsFollow our community on Google PlusSmart Cities: Spain, Europe, WorldCorresponding authorDr. Olga Gil. Universidad Autónoma de Madrid and TicWisdomolgagil@olgagil.es@olgagDr. Carmen Navarro. Universidad Autónoma de MadridHead of Department . Political Science and International Relations 40

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Recommended quotation:Gil, Olga and Navarro, Carmen. 2013. Smart Cities Public Policy Keys to Build up NewCities and Reinvent Existing Ones. Paper presented at the 9th Transatlantic Dialog:Rebuilding Capacities for Urban Governance. Baltimore 12-15 JuneImage Olimpic Stadium Beijin by Flash Parker: http://www.flickr.com/photos/shawnparkerphotoFollow our community on Google PlusSmart Cities: Spain, Europe, World