Research Paper

Exploratory Research on Smart Cities

Research Paper

Exploratory
Research
on Smart Cities
Theory, Policy and Practice

National Institute of Urban Affairs

June 2015

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 Research Paper

Exploratory Research
on
Smart Cities
Theory, Policy and Practice
 Foreword
The idea of a smart city has caught the imagination of the urban sector in India. There is excitement
about the application of new technologies and the deployment of development models that can deliver
social and economic outcomes that can ensure the sustainability of urban interventions.

The smart cities mission of the Government of India applies the concept of ‘area improvement’ of
existing Indian cities, bringing the best practices related to the new urbanism movement into the
purview of development activities that can stimulate the local economy, harness the economic identity
of a place and its people and improve the quality of life for all citizens. These are not trivial pursuits.
In order to achieve the expected outcomes, the mission will have to build capacity in city managers
and functionaries to support integrated and evidence-based planning, and will have to leverage the
potentials in smart technologies and applications to bring about game-changing transformations in the
way we plan and manage our cities. Significantly, the mission will have to work with local
communities and stakeholders across the socio-economic spectrum to build a common vision and to
prepare the road-maps that will carry the city towards that vision. E-governance and the use of big
data and an open-data environment will ensure the kind of transparency that will restore the trust
that is a necessary ingredient of sustainable urban development.

It is necessary that we establish clarity about how the city comprises various systems, networks and
environments that lend themselves to transformation for achieving the objectives of the mission. This
study aims to assist its readers in establishing that clarity, through a discussion of various theories and
parameters that have been seen to govern the development of smart cities around the globe. While the
study does not directly address the guidelines of the new mission – it has been prepared before the
mission was launched – it anticipates some of the needs of smart cities in India, attempts to explain
the rationale behind global examples that address similar needs, and presents the various definitions
and scenarios that are likely to be encountered by city managers in India and the urban sector at large.

This study is essentially a survey of literature and theories about smart cities. It is not a compendium
of solutions or an illustration of the smart cities mission of the Government of India. As the title
suggests, it is essentially a navigation tool that might be useful for those who wish to understand the
context in which smart cities in India are being envisaged. The area-based approach of the Ministry of
Urban Development, which is directed towards revitalising existing cities through a systematic
improvement of entire living environments, is likely to be a unique contribution to the history of smart
city development. As such, it is a story that needs to be documented and analysed in a different
publication. NIUA intends to follow up this study with an intensive analysis of the aims and outcomes
of the mission.

The Cities Alliance has been a timely and most valuable source of support to NIUA at a time when the
institute is called upon to assist the Ministry of Urban Development in a larger capacity building
program. We are thankful for their collaboration.

The study has been authored by A.N. Nanda Kishore and Zoya Sodhi, with assistance from Pranay
Dave, Mohit Kapoor and Sridipta Ghatak for compilation of Smart Cities partnerships in India. Deep
Pahwa and Kavita Rawat designed and formatted the report. As the Coordinator of the PEARL (Peer
Experience and Reflective Learning) program at NIUA, Dr. Debjani Ghosh has provided the necessary
encouragement and support. We trust that their collective efforts will enable an informed engagement
with smart cities in India.

JAGAN SHAH
 Contents
Table of Figures ........................................................................................................................................................ 5

CHAPTER I: SMART CITIES

1.1 Background ..................................................................................................................................................... 7
1.2 Introduction ................................................................................................................................................... 8
1.3 Evolution of Smart Cities ............................................................................................................................... 8
1.4 Smart Cities Definition Analysis .................................................................................................................... 9
1.4.1 Why Smart Cities? .................................................................................................................................. 9
1.4.2 What are the components of a Smart City? ........................................................................................... 9
1.4.3 Who are the key stakeholders in a Smart City?................................................................................... 10
1.4.4 How to create a Smart City? ................................................................................................................ 11
1.4.5 When and Where to create Smart City?............................................................................................... 11
1.4.6 Summary ............................................................................................................................................... 11

CHAPTER II: Theory of Smart Cities

2.1 Introduction ................................................................................................................................................. 13
2.2 Theory of Strategic Priority Areas ............................................................................................................... 13
2.2.1 Political ................................................................................................................................................. 13
2.2.2 Economics ............................................................................................................................................. 14
2.2.3 Technological ........................................................................................................................................ 15
2.2.4 Environmental ...................................................................................................................................... 16
2.2.5 Summary ............................................................................................................................................... 17
2.3 Theory of Organizing Knowledge ................................................................................................................ 17
2.3.1 Typology Analysis ................................................................................................................................. 17
2.3.2 Geographic Analysis ............................................................................................................................. 18
2.3.3 Summary ............................................................................................................................................... 18
2.4 Theory of Hexagonal Dimensions ................................................................................................................ 18
2.4.1 Introduction .......................................................................................................................................... 18
2.4.2 Case Study 01: “Smart Cities ─ Ranking of European medium-sized cities” ..................................... 19
2.4.3 Case Study 02: Boyd Cohen's “Smart Cities Wheel” ............................................................................ 20
2.5 Theory of the Triple Helix Model ................................................................................................................ 21
2.5.1 Introduction .......................................................................................................................................... 21
2.5.2 First version of Triple Helix Model ..................................................................................................... 22
2.5.3 Second version of Triple Helix Model .................................................................................................. 22
2.5.4 Theory of the Multi-Criteria Decision Framework ............................................................................. 22
2.5.5 Integrated Helix Model ........................................................................................................................ 23
2.5.6 Summary ............................................................................................................................................... 23

CHAPTER III: Layers of Smart Cities

3.1 Introduction ................................................................................................................................................. 24
3.2 Layers based on Information and Communication Technology................................................................ 24
3.2.1 User Requirements Layer ..................................................................................................................... 24
3.2.2 Network Layer ...................................................................................................................................... 24
3.2.3 Transmission Layer .............................................................................................................................. 25
3.2.4 Infrastructure Layer ............................................................................................................................. 25
3.2.5 Summary ............................................................................................................................................... 25

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 3.3 Layers Based on Urban Planning Framework ........................................................................................... 25
3.3.1 User Layer ............................................................................................................................................. 25
3.3.2 Service Layer ........................................................................................................................................ 25
3.3.3 Infrastructure Layer ............................................................................................................................. 25
3.3.4 Data Layer ............................................................................................................................................. 25
3.3.5 Summary ............................................................................................................................................... 27
3.4 CISCO Smart City Framework Layers ......................................................................................................... 27
3.4.1 City Objectives Layer ............................................................................................................................ 28
3.4.2 City Indicators Layer ............................................................................................................................ 28
3.4.3 City Components Layer ........................................................................................................................ 28
3.4.4 City Content Layer ................................................................................................................................ 28
3.4.5 Summary ............................................................................................................................................... 28
3.5 Layers Based on Future Internet Technologies .......................................................................................... 29
3.5.1 Introduction .......................................................................................................................................... 29
3.5.2 Two Dimensional Mapping .................................................................................................................. 29
3.5.3 Summary ............................................................................................................................................... 30
3.6 Layers Based on Intelligent Transport Systems (ITS) ................................................................................. 30
3.6.1 Introduction .......................................................................................................................................... 30
3.6.2 Technical Architecture model for ITS based Smart City .................................................................... 30
3.6.3 Summary ............................................................................................................................................... 31
3.7 Layers based on Data ................................................................................................................................... 31
3.7.1 Introduction .......................................................................................................................................... 31
3.7.2 Layers of Simplified Smart Solution Framework ................................................................................ 31
3.7.3 Summary ............................................................................................................................................... 33
3.8 Layers based on an Integrated Approach .................................................................................................... 33
3.8.1 Introduction .......................................................................................................................................... 33
3.8.2 Smart Cities Initiatives Framework .................................................................................................... 33
3.8.3 Summary ............................................................................................................................................... 34
3.9 Layers Based on Integrated Solutions Framework ..................................................................................... 34
3.9.1 Introduction .......................................................................................................................................... 34
3.9.2 Four Layers for Common Integration Themes .................................................................................... 34
3.10 Layers Based on Development Growth Model .......................................................................................... 35
3.10.1 Introduction ........................................................................................................................................ 35
3.10.2 Stages of Development and Layers .................................................................................................... 35
3.10.3 Summary ............................................................................................................................................. 35

CHAPTER IV - Practice of Smart Cities

4.1 Introduction ................................................................................................................................................. 36
4.2 Smart Cities Development Models .............................................................................................................. 36
4.2.1 Greenfield Development ....................................................................................................................... 36
4.2.2 Brownfield Development...................................................................................................................... 37
4.3. Smart City Case Studies .............................................................................................................................. 38
4.3.1 The London suburb of Hackbridge (UK) .............................................................................................. 38
4.3.2 Hafencity in Hamburg (Germany) ........................................................................................................ 39
4.3.3 Nordhavn in Copenhagen (Denmark) ................................................................................................... 39
4.3.4 Stockholm Royal Seaport (Sweden) ...................................................................................................... 40
4.3.5 Oulu Arctic City (Finland)..................................................................................................................... 42
4.3.6 Lyon Smart Community (France) ......................................................................................................... 43

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 4.3.7 Aspern in Vienna (Austria) ................................................................................................................... 44
4.3.8 Tianjin Eco-city (China) ........................................................................................................................ 44
4.3.9 New Songdo City, Incheon (South Korea) ............................................................................................ 46
4.3.10 Sino-Singapore Guangzhou Knowledge City (China) ......................................................................... 47
4.3.11 Masdar City (UAE) .............................................................................................................................. 49
4.3.12 Boston Innovation District, Boston (USA).......................................................................................... 51
4.3.13 Smart City Malta (Malta) .................................................................................................................... 53
4.3.14 Smart City Kochi (India) ..................................................................................................................... 55
4.3.15 Barcelona's 22@ Barcelona (Spain) .................................................................................................... 55
4.3.16 Climate Smart Hyllie, Malmo (Sweden) ............................................................................................. 57
4.4 Smart Initiatives .......................................................................................................................................... 58
4.4.1 Fix my street (UK) ................................................................................................................................. 58
4.4.2 Low2No, Helsinki (Finland) ................................................................................................................. 59
4.4.3 Barangaroo, Sydney (Australia) ............................................................................................................ 60
4.4.4 Urban EcoMap, Amsterdam (Netherlands) and San Francisco (USA) ................................................. 61
4.4.5 WalkFirst, San Francisco (USA) ........................................................................................................... 62
4.4.6 Driverless Vehicles, Las Vegas (USA) ................................................................................................... 63
4.4.7 NYC Hyper-local Smart Screens, New York (USA) .............................................................................. 64
4.4.8 ‘Oyster’ smart ticketing Cards and London Data Store, London (UK) ................................................ 65
4.4.9 Go ON, Manchester (UK)....................................................................................................................... 65
4.4.10 Solar-Powered Supertrees (Singapore) ............................................................................................... 66
4.4.11 Sustainable City Management, Curitiba (Brazil) ............................................................................... 67
4.4.12 Yokohama Smart City Project, Yokohama (Japan) ............................................................................ 68
4.4.13 Bicing, Barcelona (Spain) .................................................................................................................... 68
4.4.14 San Francisco SFpark Pilot (USA) ....................................................................................................... 69
4.4.15 Big Data and Da Nang (Vietnam)........................................................................................................ 71
4.4.16 Rio Operations Centre, Rio De Janeiro (Brazil) ................................................................................. 71

CHAPTER V - India's Smart Cities Mission

5.1 Introduction ................................................................................................................................................. 73
5.2 Definition Analysis ....................................................................................................................................... 73
5.3 Approach ....................................................................................................................................................... 74
5.4 Financing of the Smart Cities ...................................................................................................................... 74
5.4.1 Introduction .......................................................................................................................................... 74
5.4.2 Financial Mechanisms .......................................................................................................................... 75
5.4.3 Categories of Investments .................................................................................................................... 75
5.4.4 Financing Models.................................................................................................................................. 75
5.4.5 Opportunities for Financing Smart Cities in India .............................................................................. 75
5.5 Challenges ..................................................................................................................................................... 76
5.6 Summary ...................................................................................................................................................... 77

Chapter VI - Seven Point Agenda

6.1 Introduction ................................................................................................................................................. 78

Annexure 1 - Smart Cities partnerships in India

Annexure 2 - India Smart Cities Mission guidelines
Annexure 3 - Map showing the location of Smart City case studies and initiatives

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 Table of Figures
Figure 1: Cities with a projected 2030 population of more than 10 million .......................................................... 7
Figure 2: Evolution of Smart City Approaches ........................................................................................................ 9
Figure 3: Typology Analysis - Theoretical versus Empirical Studies ................................................................... 17
Figure 4: Smart and Digital Cities Geo-location .................................................................................................... 18
Figure 5: Six Dimensional Model ........................................................................................................................... 19
Figure 7: Characteristics and Factors of Six Dimensional Model ......................................................................... 19
Figure 6: Profile of Luxembourg ............................................................................................................................ 19
Figure 8: Boyd Cohen Smart Cities Wheel ............................................................................................................. 20
Figure 9: Hierarchy and Network Models of Decision Making ............................................................................ 22
Figure 10: ICT Requirements Model ...................................................................................................................... 24
Figure 11: Multi-Tier Architecture of a Digital City ............................................................................................. 26
Figure 12: Smart City Layers align to Urban Planning Dimensions ..................................................................... 27
Figure 13: CISCO Smart City Framework Layers .................................................................................................. 28
Figure 14: An Innovation Roadmap to Smart Cities (Part I) ................................................................................. 29
Figure 15: An Innovation Roadmap to Smart Cities (Part II) ................................................................................ 30
Figure 16: Technical Architecture for ITS and Smart City ................................................................................... 30
Figure 17: A Simple Smart Solution Network ....................................................................................................... 33
Figure 18: Smart City Initiatives Framework ....................................................................................................... 33
Figure 19: Integrated Solutions Framework ......................................................................................................... 34
Figure 20: Layers Based on City Development Needs ........................................................................................... 35
Figure 21: Number of Smart Cities Worldwide, as per IHS Technology's Definition of a 'Smart City' .............. 36
Figure 22: Beddington Zero (fossil) Energy Development (BedZED)..................................................................... 38
Figure 23: Hafen City ............................................................................................................................................. 39
Figure 24: The Six Visions for the Nordhavn District ........................................................................................... 40
Figure 25: Stockholm Royal Seaport Vision 2030 ................................................................................................. 41
Figure 26: Hiukkavaara - Arctic Smart City .......................................................................................................... 42
Figure 27: Lyon Smart Community........................................................................................................................ 43
Figure 28: Aspern - Urban Lakeside Project .......................................................................................................... 44
Figure 29: Tianjin Development Timeframe ......................................................................................................... 45
Figure 30: Tianjin Ecocity (2013) ........................................................................................................................... 46
Figure 31: Public Utilities Operations & Maintenance Centre commences operation ........................................ 46
Figure 32: The Waste Collection System ............................................................................................................... 47
Figure 33: Location of Sino-Singapore Guangzhou Knowledge City – at the Heart of Pearl River Delta .......... 48
Figure 34: Sino-Singapore Guangzhou Knowledge City – Strategic Collaboration ............................................. 49
Figure 35: Masdar City Project .............................................................................................................................. 49
Figure 36: Masdar Personal Rapid Transit (PRT) Station ..................................................................................... 50
Figure 37: Masdar PST Pod Car Running Underground ..................................................................................... 511
Figure 38: Location of Boston Innovation District ................................................................................................ 52
Figure 39: A Growing Mix of Innovation Business ............................................................................................... 53
Figure 40: Schematic 3D Model of Malta Smart City ............................................................................................ 53
Figure 41: Malta Smart City Master Plan (Residential Units highlighted) ........................................................... 54
Figure 42: Smart City Kochi Master Plan .............................................................................................................. 55
Figure 43: Location of 22@Barcelona in Barcelona Metropolitan Area............................................................... 56
Figure 44: 22@Barcelona Metamodel.................................................................................................................... 57
Figure 45: Malmo and Hyllie Region ..................................................................................................................... 57

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Figure 46: Development Timeframe of Hyllie ....................................................................................................... 58
Figure 47: Fix My Street ......................................................................................................................................... 59
Figure 48: Low2No Sustainability Framework ..................................................................................................... 60
Figure 49: Barangaroo Outline Design Plan .......................................................................................................... 61
Figure 50: Waag Society Urban EcoMap ............................................................................................................... 62
Figure 51: Learning's from Pedestrian Safety Data............................................................................................... 63
Figure 52: A Google Rendering of What a Self-driving Car “sees.” ....................................................................... 63
Figure 53: City 24/7 Smart Screen Solutions ......................................................................................................... 64
Figure 54: TFL Oyster Smart Card ......................................................................................................................... 65
Figure 55: Go ON UK Campaign Cover for Digital Champ 2015 ........................................................................... 65
Figure 56: Solar Powered Supertrees ..................................................................................................................... 66
Figure 57: Curitiba Transit System ........................................................................................................................ 67
Figure 58: Community Energy Management System (CEMS)............................................................................... 68
Figure 59: Bicing Map with Stations ..................................................................................................................... 69
Figure 60: SFpark Pilot Areas................................................................................................................................. 70
Figure 61: Da Nang City ......................................................................................................................................... 71
Figure 62: Rio De Janeiro Operations Centre ........................................................................................................ 72
Figure 63: Strategic Priority Areas of the Mission ................................................................................................ 73

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 CHAPTER I: SMART CITIES
1.1 Background

According to the United Nations population division (UN 2004), world population was around 1.65 billion at
the end of the 19th century and it crossed the 6 billion mark by the end of the 20th century. Major areas wise
contribution to world population indicates Asia as the top contributor with 57.4 percent in year 1900 to 60.8
percent in year 1999 followed by Europe. At the beginning of 2014, the world’s population was estimated at
7.2 billion, with approximately 82 million added every year thereafter (UN 2014). With the current rate of
urbanisation at 32 percent, new Jakarta (with population of 30.53 million) is expected to pop-up every year
(Demographia 2015). The population of Africa is expected to be three times the population of Europe by 2050;
increasing levels of urban versus rural population are signs of the changing landscape of population
distribution across the world (UN 2014).

Figure 1: Cities with a projected 2030 population of more than 10 million

Source: UN World Urbanization Prospects (Tribou 2014)

Historically migration from rural to urban areas and, therefore the process of redefining the boundaries of the
rural-urban fringe for expanding city regions played a key role in defining a city's population. In today's
world, natural increase is expected to make a larger contribution to urban population growth than internal
migration in many regions. This transformation of cities has been a major aspect, if not a driver, of economic
development and they present the case of cities as focal points of economic growth. On an average, urban
residents have better access to education and health-care as well as other basic services such as clean water,
sanitation and transportation than rural populations do. Cities are also the major centres of consumption of
resources (UN 2011). Currently, urban areas roughly occupy 3 percent of the planet's surface and, consume 75
percent of the global primary energy; they emit between 50 and 60 percent of the world's total greenhouse
gases (Editors 2014; UN 2015).

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For urbanisation to continue to offer important opportunities for economic and social development, it needs
to be well managed. However, the speed and scale of urbanisation in developing regions challenge the
capacity of governments to adequately plan and meet the needs of the growing number of urban dwellers. As
cities grow, managing them becomes more complex and their populations become more diverse. Developing
countries will need to adjust to this process much faster than developed countries did in the past (UN 2011).
This, along with increasing levels of aspiration of the urban communities for a better quality of life and
services, has forced city stakeholders to consider change in the management models of resources and
infrastructure for cities and respond with innovative practices and scalable solutions (Laartz & Lulf 2014).
These are some of the main drivers for Smart Cities development.

1.2 Introduction

‘Smart Cities’ aim to decrease the challenges that cities face, such as scarcity of energy resources, healthcare,
housing, water, and deteriorating infrastructure (roads, schools and transportation).They also suffer from
price instability, climate change, and the demand for better economic opportunities and social benefits
(Washburn et al. 2010).

Recent advancements in Information and Communication Technologies (ICT), aligned with technology cost
reduction, such as cheap mobile apps, free social media, cloud computing, and cost-effective ways to handle
high volume data, provides cities with better opportunities and tools to understand, communicate, and
predict urban functions (Susanne Dirks and Mary Keeling 2009; Berst et al. 2013).

In this context, Smart Cities and Smart City projects are being seen as a holistic approach to city planning
(Roberto Requena et.al., 2014). Shah (2015) on the Government of India's 100 Smart Cities Programme says it
is about making cities better and he emphasises the need to leapfrog towards bringing cities to a level where
they deliver a quality of life that people are demanding, youth are expecting and which is everybody's right.
Himmel et al. (2014) conclude with the need for understanding today's urban challenges by the youth ─ who
constitute 25 percent of today's world population and 28 percent (UNFPA 2015) in the case of India ─ and
actively participating in civic engagement.

1.3 Evolution of smart cities

In Anthopoulos & Fitsilis (2013) a roadmap for Smart Cities was presented. Based on this research it is evident
that Smart Cities have emerged over the last 20 years from their initial web forms to their modern ubiquitous
and eco-friendly status and are considered favourable e-Government environments. The timeline presented
below indicates the existence of various alternative approaches to the Smart City. The roadmap in this case
was depicted via technology road mapping methods to understand recent trends in the evolution of Smart
Cities and to justify alternate approaches. This roadmap was structured according to the e-service sets that
Smart Cities offer and could be a useful tool for urban local bodies (ULBs). From this analysis of various
approaches to Smart Cities, it is understood that technological factors are key determinants to the viability of
Smart Cities. It has also raises the issue of viability indices in measuring the sustainability of Smart Cities.

8
 Figure 2: Evolution of Smart City Approaches

Source: (Anthopoulos & Fitsilis 2013)

1.4 Smart Cities Definition Analysis

Exploratory research focuses on multi-dimensional keyword analysis for definitions of Smart City (Caragliu et
al. 2009; Kogan 2014; Cavada et al. 2014); a conceptual framework (Mosannenzadeh & Vettorato 2014);
definition of a sustainable Smart City (Sekhar N. Kondepudi 2014) highlighting the importance of existing
literature and empirical evidence in redefining the context specific framework for Smart Cities.

The keyword analysis also facilitates the process of defining Smart Cities, while providing a framework to
define each sub-system. City governments while planning for transforming their existing cities into Smart
Cities or planning for new can ones can apply this framework in order to recognise their goals, components,
and key stakeholders. One such case of a conceptual framework by (Mosannenzadeh & Vettorato (2014) will
set the context for the subsequent sections of this study. The key guiding principle of this framework is
Kipling's method of 5W1H (Why, What, Who, How, When and Where), which is considered the most basic
approach in information gathering and understanding of literature (Zaidi et al. 2006) relating to the Smart
Cities movement.

1.4.1 Why Smart Cities?

The keyword analysis of Smart Cities’ main goals and drivers is divided based on literature in three main
domains (academic, governmental, industry). It shows that academic literature has a holistic approach and
covers a wide range of issues. It is mostly concentrated on improvement in three main aspects: governance,
community/social development, and Environment. From the industrial point of view, Smart Cities emerge
mainly due to the interaction between competition and sustainable urban development. In addition,
efficiency and sustainable environment are amongst Smart Cities’ main objectives. Finally, governmental
literature is more concerned with overall challenges including quality of life, economic growth, environment,
energy, sustainability, health and safety, and mobility. The top five in the combined list included economic
growth; sustainable environment; sustainability; quality of life; and improved governance.

1.4.2 What are the components of a Smart City?

The components of a Smart City are its most important urban domains. These are the main targets for
stakeholders to invest in. Giffinger et al. (2007) lists Smart Cities’ different domains as economy, people,
environment, governance, mobility, and buildings. Susanne Dirks and Mary Keeling (2009) have a more

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practice-oriented division. They define the Smart Cities’ main components (systems) as people, business,
transport, communication, water, and energy. Berst et al. (2013) consider a different set of domains ─ built
environment, energy, telecommunication, transportation, water and waste water, public health services,
public safety, and payments.

Academic literature have a more holistic but general view about the main Smart Cities’ components, while
industrial and governmental literature has a more practical and short-term approach. The latter mainly
concentrates on urban sectors that can be directly affected by urban authorities, such as transportation,
energy, and buildings.

Combining the keywords for all three domains results in several common components: services,
transportation, people, governance, energy, and buildings. There are other important keywords not so
common to all, such as health, safety, mobility, environment, education, economy, infrastructure, and water.
However, further analysis is required to sub-divide the main components of Smart Cities. For example,
transportation is a sub-sector of mobility, and energy could be a sub-sector of the natural environment. These
inter-relationships can lead us to choose the following areas as the main components of Smart Cities:
Government, Mobility, Services, Community, Economy, Natural Environment, and Built Environment.

1.4.3 Who are the key stakeholders in a Smart City?

The engagement of stakeholders is key to the creation of Smart Cities. Although the perspective of each of the
three domains is different they are complementary to each other. Leydesdorff & Deakin (2011) introduce the
university, industry and government as the three main actors of Smart Cities whose functions are
subsequently organised into knowledge production, economic wealth creation, and reflexive control.
Lombardi et al. (2012) revised triple-helix (concept of university-industry-government relationships) by
introducing civil society as the fourth main actor. C Aoun (2013) states that Smart Cities involve business and
local stakeholders, with city leadership. It introduces governments, private investors, industry suppliers,
NGOs and associations, utilities, and planners and developers as different stakeholders who should
collaborate to achieve Smart Cities.

CONCERTO a research project in European commission, suggests that in order to create Smart Cities, policy
makers should bring all stakeholders together, including investors, local authorities, material suppliers,
designers, urban planners, developers, energy utilities, contractors, engineers, tenants, and owners (Bahr
2013).

The keyword analysis of different notions of main stakeholders shows that academic literature presents a
holistic and general point of view with four main groups: people, companies/industries, government, and
university, while industrial literature has a more detailed and practical approach by adding NGOs, investors,
planners and developers, contractors, etc. Governmental institutions suggest a more practical point of view.
Alessi & Saritas (2013) for example, considers mayors/politicians, city administration, utilities, energy service
companies, network operators, developers, architects, planners, communities, construction companies,
industries, component manufacturers, renewable energy industry, ICT companies, financial institutions, R&D
institutes and universities.

Based on all these analyses it is finally understood that four main groups of stakeholders are involved in the
creation of Smart Cities: People, Government, Industry and Universities. In addition, some lateral groups of
planners, developers, financing organisations and NGOs are also involved. Each of these groups consists of
many stakeholders. For example, government includes local /regional policy makers and authorities,
municipal and other authorities.

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1.4.4 How to create a Smart City?

Creation of Smart Cities is the most important part of conceptualising the framework. All literature presents
the role of ICT (Lee et al. 2013; Odendaal 2003) unanimously in this endeavour, with the emphasis on
technology as an enabling component (Hollands 2008) of the framework in governmental, social, economic,
and environmental areas (Komninos et al. 2011; Pol et al. 2012; Giffinger et al. 2007). Industrial literature has
a more instrument-based approach (Susanne Dirks and Mary Keeling 2009) and governmental institutions
emphasise pro-activity and the necessity of creating metrics in order to measure the function of urban
systems (Kanter & Litow 2009).

The suggestive framework for creation of a Smart City includes ICT combined with other strategies like
investment in social capital, collaboration of different stakeholders, and integration of different components
of the city (Mosannenzadeh & Vettorato 2014). This requires gathering data (Batty 2013) and knowledge in all
domains and of all stakeholders, and communicating this data through a comprehensive and interconnected
urban network in order to have an integrated-collaborative urban development (Tranos et al. 2012; Neal n.d.).

1.4.5 When and Where to create Smart City?

The most common time reference is the ‘future’ (Hall et al. 2000; Canton 2011; Komninos et al. 2011), which
means there is no time limit for creation of Smart Cities. This could be due to their continuous nature of
evolution (Aoun 2013).

Since getting smart implies a continuous improvement of the urban situation (Aoun 2013) , each city can be
‘smarter’ (Electric n.d.). Obviously, many factors can accelerate or hinder this ’continuous improvement‘. For
example, existing policy frameworks, recent practices in integration of technology in urban infrastructure
(Neal n.d.) , and high level of technology advancement in a city can lead to better success in ‘smart’
development. However, there is no absolute limitation to the implementation of Smart Cities.

1.4.6 Summary

The following are some of the Smart City definitions with focus on some specific aspects which will set the
context for the subsequent sections of the report.

An extensive definitions analysis by the ITU-T Focus Group on Smart Sustainable Cities to understand the
‘smart’ sustainable cities definition included 116 existing definitions of ‘smart’ sustainable cities, resulting in
establishing eight categories and 30 indicators (Sekhar N. Kondepudi 2014) . This facilitated the ITU-T FG-SSC
to derive the following standardised definition:

"A smart sustainable city is an innovative city that uses information and communication technologies (ICTs)
and other means to improve quality of life, efficiency of urban operation and services, and competitiveness,
while ensuring that it meets the needs of present and future generations with respect to economic, social and
environmental aspects."

Emphasising the cities governance aspect, Ghani (2012) says the concept of says the concept of “Smart Cities"
is “really about good governance. It’s about giving basic services to our citizens. It’s about livability. It’s about
how we are using our resources. It is how a city functions on a day-to-day basis. I think smartness is about
doing more with less.”

The importance of reforms is stated by Correa (2014) “The promise of the new government to build 100 Smart
Cities will require not only new technology but also drastic reforms in the political and institutional
environment in which our cities function, with a focus on connectivity, integrated land use and transport
planning, and environmental sustainability.”

11
Referring to urbanisation and trends suggesting India as an urban majority country by 2040 Sanyal (2014)
says, “India's 100 Smart Cities plan should be seen as an attempt to create urban infrastructure in
anticipation of the deluge.”

Ashwin Mahesh says “A Smart City is one in which citizens are co-managers of the city along with public
officials” thus highlighting the importance of citizen engagement (NIUA 2015).

Tim Campbell advocates that “Smart Cities need to go beyond technological innovations for improved service
delivery” (NIUA 2015) and as part of his blog (Campbell 2014) defines the smartness of cities in three flavours:
“1) cities are learning to learn, 2) cities are learning how to use ICT to make city systems more efficient,
equitable and resilient, 3) cities are gaining new awareness about the important role they can play on global
issues like climate change.”

According to the Manchester Digital Development Agency (MDDA n.d.) , “a ‘Smart City’ means ‘smart citizens’
– where citizens have all the information they need to make informed choices about their lifestyle, work and
travel options.”

12
 CHAPTER II: Theory of Smart Cities
2.1 Introduction

The definitions put forward in the earlier section draw attention to governance and in some cases
participatory governance as a tool to manage the growth of the Smart Cities, thereby enhancing the
quality of life and optimum management of natural resources. Quite a few Smart City theories and
models, including models which are an amalgamation of simple frameworks and hybrid in design and
new ideas, are emerging. This section sheds light on the grouping of these models based on their
theoretical framework using various research methodologies.

2.2 Theory of Strategic Priority Areas

A Smart City framework is based on priority areas which are specific to the city's context. Any model
can focus on one or more of these priority areas depending upon the agenda of the programme under
which it is proposed or initiated. Broadly, the priority areas can be categorised into Political,
Economic, Technology, and Environment based on an abridged version of PESTLE analysis which is
widely used as a tool to understand the new project business landscape by industries, specifically
marketing industries. Although there are other focus areas (Allwinkle & Cruickshank 2011) , the
categories mentioned are most common and comprehensive. The approach adopted in this case is
theoretical in nature using some empirical case studies in order to understand and analyse the models
that are referred to in current literature.

2.2.1 Political

Smart City model frameworks which are based on this priority area are more inclined towards
participatory democracy, building social capital and focusing on ways and means of social interaction
between communities and city administrators. Participation of communities will largely depend on
democratisation of information and re-establishing traditional information flows. Open-source
platforms across the globe have set the agenda to re-establish the link between citizens and the
planning process. Heller (2013) argues that getting a right balance of market, the state and civil society
will facilitate inclusive and democratic forms of development. It is substantiated with analysis of the
role of transnational activism and how social movements and civil society have shaped different
developmental trajectories in Brazil, India and South Africa.

It is believed that technology and democracy can create revolutionary solutions from the bottom up
(English 2014). As mentioned in Caragliu et al. (2011) Smart City models are increasingly addressing
political aspects. This priority area model builds on the principle that communities that are
empowered with evidence based knowledge, which is considered as the guide to the development of
social policies and practices (Mullen 2014) , will work toward creating Smart Cities.

These models emphasise the tools which empower citizens with knowledge, and the process of
engaging citizens in Smart City planning, as well as the platform for these citizens to share their ideas
and achieve the goals of Smart Cities. Tools, process and platforms can be technology driven but the
design of these systems needs to be citizen centric to motivate the common public in order to access
them with minimum or no difficulty.

13
The citizen engagement process in the case of Bengaluru, India in city planning (Tender Sure, lake
improvement projects across city), designing of physical built environment (redevelopment of market
areas), and public systems (bus systems, public spaces) are classic examples of focusing on the political
arena and on industry and technology.

2.2.2 Economics

Installation of new infrastructure and augmentation of existing physical and social infrastructure, its
operation and maintenance in cities includes high capital investments and recurring costs. Urban
growth management techniques are part of the planning approaches to this challenge (Patricia 2012)
and address the economic aspects of the city making them business/industry friendly with not just any
infrastructure but intelligent infrastructure. This is the Smart City model approach (Clark 2014; Thite
2011).

Since the time trading began, cities have been seen as the hub of economic activities or as financial
centres (Moir & Clark 2014). Research shows (Olubukunola et al. 2014) that only local governments can
generate revenue internally and leverage the external resources available to fulfil most of the
requirements of the citizenry.

In today's world cities are the preferred destination for global investors, and are in competition with
each other locally, regionally and globally. A study of business climates by (Moir & Clark 2014) for six
European cities at three different levels ─ national, regional and local ─ indicates that the top ranking
nation need not be the one which has the most business friendly cities. Although policy environment at
state and national levels sets the agenda for industry investments, a lot depends upon the branding of
a city. Cities using tools like the livability ranking index and credit rating to attract investments in
their projects but factors like availability of qualified workforce, real estate and human resources
costs, and most importantly, business infrastructure are the deciding components.

Globally, cities are being branded on their uniqueness and assets. For example, the capital city of the
Republic of Korea has been branded as 'Design Seoul', showcasing how the concept of design plays a
role in policy formation in the city of Seoul, namely ─ urban design, service design and system design
─ by integrating technologies, art, architecture, and business in creating a global Smart City (SMG
2009). Advanced and rapidly developing countries have examples of Smart City models which focus on
industry as their base.

Efficiency is one of the key aspects for the economic priority area of the Smart City model framework.
Cities need to develop an institutional mechanism framework for coordination and collaboration
between various agencies involved in city governments. The collaboration model can be between
technology focused cities and business focused cities.

Operating efficiency has been one of the challenges for Smart City model frameworks based on
economic priority areas, while promoting at the same time a culturally rich and diverse city life (Kuk &
Janssen 2011). City administrators and managers in the process of increasing efficiency and thereby
revenue in city systems across the sectors may neglect or comprise on the networks of relationships
among the people and communities they live in (Caragliu et al. 2009). Active civic engagement means
investing time to motivate the communities and empower them with knowledge about how to be
involved in the process of city development. A classical example of neglecting citizenry in the
augmentation of city services and thereby enhancing efficiency is Detroit. Differences of opinion or
different value systems among different communities of people can be taken as an advantage in spite
of time delays as this is believed to bring in the long term collaboration among these communities and
in the long run it facilitates the city’s development towards creating a more productive and efficient
society (Potter et al. 2011). Social equity, with business as the focus group, is one of the key factors in

14
addressing the Smart City’s goal of achieving efficiency, as the varying levels of unemployment among
poor residents is a challenge to the operational efficiency of Smart Cities (Silva 2015).

2.2.3 Technological

Some frameworks suggest technology aided innovations as the key to the phenomenon of Smart Cities
and citizen engagement in active management of these cities. Tools like internet revolution which
includes access to internet in public places, information kiosks, digital information centres, citizen
services centres, etc., have played the role of catalyst. Availability of information through various web-
based platforms that solicit each citizen’s perspectives and feedback promote various forms of virtual
civic engagement in city management (Allwinkle & Cruickshank 2011; Hollands 2008).

One of the city’s functions that can definitely take leverage of the advancements in technology is
transportation. In this world of auto-dependent cities, several Smart City models deal with
technological innovations to redefine and advance transportation. Academic institutions and the
automobile industry have been involved in research studies to develop a smart highway system in
order to address traffic jams and auto-related accidents (Cepolina & Farina 2012). Other advancements
result from multi-disciplinary collaboration between car makers, city officials, and urban planners. As
mentioned in the case of Vienna by Charbel Aoun (2013), the challenge for mobility in Vienna is to shift
commuter travel on to more sustainable modes. However, the capacity of the mass transit network is
already under pressure, so Vienna needs new innovative collaborative solutions to address this
challenge. One such collaboration is to develop a smart system through coordinating vehicular
technologies, traffic signals, and sensors embedded in street pavement, to reduce fatalities at street
intersections that are prone to accidents (Ianuale et al. 2015). Moreover, given the fact that the elderly
population is one of contemporary society’s fastest growing groups (Pavel et al. 2009), it might be
necessary for scientists and engineers to investigate how technologies can make our cities and
transportation systems work in a smart way to create a physical environment that promotes the
health, safety, and welfare of elderly people (Johnson et al. 1994; Commission 1998; Box et al. 2010).

An example of a Smart City initiative in which technology has an overarching impact on other priority
areas such as the economics as part of the its outcomes is the case of the call for innovative
technologies to improve wayfinding and navigation by the Institute for Sustainability and the Mayor of
London's Office. In this case it is seen as a tool for economic growth in areas undergoing
redevelopment (Institute for Sustainability 2015). Signage systems, environmental graphics,
augmented reality (AR) technologies, smart phone technologies, and the Internet, can help residents
and visitors navigate and experience the physical environment of cities in a more intelligent,
convenient, and enjoyable manner.

Another area where technology can play an important role is to manage the city’s regions with various
government agencies working together more effectively, not just locally but regionally. Technology can
reduce overlapping tasks and bureaucracies and promote the concept of co-creation. They can
streamline review and approval processes, and they can promote more effective community outreach
and communication. Moreover, technology can help municipal employees generate fresh and
innovative ideas on matters that concern citizens; technology can encourage citizens to be more
engaged in city management, or to volunteer for civic activities. All of these benefits can help promote
a Smart City by making citizens more informed, active, and responsive. Smart City models of Asia
especially Singapore, Japan, Korea, China and Taiwan, etc., have considered technology as the top
priority area as part of the roll-out strategies.

Digital divide is one of the key challenges for this priority area and technological innovations alone
cannot reverse the phenomenon (Chourabi et al. 2011). To scale up the solutions the factors like

15
affordability, lack of technical skills and behavioral factors why communities are on other side of
digital divide needs to be addressed (Bolt & Crawford 2000; Ponting & McAdam 2013; Fung et al. 2015).
Another challenge is how to promote an ideal integration of virtual and actual engagement that
encourages citizens to visit their city to enjoy its physical beauty and interact with other people, not
just virtually, and but also physically in public places (Sikiaridi & Vogelaar 2000; Mitchell et al. 2004;
Wang & Huang 2014).

2.2.4 Environmental

Two key concerns for the future survival of cities and regions are climate change and energy
resources. Smart City models with environment as the priority area need to explore innovative
solutions in making use of limited resources in order to ensure that future cities are sustainable. In
Phdungsilp (2011) citing the case of Göteborg (2050), the participatory process of developing action
plans for achieving urban sustainability are presented with back casting as the tool for understanding
the relationship between current scenarios and long-term future scenarios. Kourtit et al. (2012)
highlights the importance of mobilising all the resources and emphasises creativity and knowledge as
the key factors in maximising innovation potential of a Smart City.

Advocates of this priority area of emphasise land as an important resource in managing present growth
and planning for a sustainable future. American Planning Association (2012) has developed smart
codes which are model planning and zoning regulations with various options for statutory reform,
instead of the one-size-fits all model. It elaborates on the model of smart growth as that which
supports choice and opportunity by promoting efficient and sustainable land development,
incorporating redevelopment patterns that optimise prior infrastructure investments, and consumes
less land that is otherwise available for agriculture, open space, natural systems, and rural lifestyles.
Land preservation is seen as one of the key ingredients in planning for smart growth models suggested
by APA (Daniels 2005). Placemaking is one of the tool for addressing the public safety, health and
physiological aspects of this focus group and is evident from the cases of Philadelphia, Soldotna and
Orlando as mentioned in Ryan (2014). The city of Pickering, Ontario, Canada’s approach to sustainable
placemaking is based on ten principles which lay emphasis on mapping the assets of a community,
horizontal and vertical collaboration of stakeholders, minimising the ecological footprint, people
centric design of public spaces and public infrastructure (Khiyavi 2014). Key elements of the smart
growth model are transit oriented development, mixed-use developments and walkable communities.

Even though smart growth and new urbanism are synonymous there are some principal differences
like the origin of these concepts. Smart growth was an initiative of public policy experts and
environmentalists whereas new urbanism was driven by physical planners and architects. The new
urbanism approach towards sustainable urban environment is to reintroduce a traditional
neighbourhood development model based on planning theories of the early 1900s. The approach
focuses on physical form and argues for its importancein urban ecological, social and economic change.
Based on the approach and principles adopted it can be concluded that both the smart growth model
and new urbanism promote compact city development and redevelopment of inner city regions in
comparison to suburban development, thus moving towards a sustainable Smart City and region. Cities
in North America and Western Europe are some of the examples of cities based on environment as the
priority area for their Smart City models (Calthorpe 1993; Knaap 2005; Silver 2006; Sokol 2012).

Challenges for Smart City model frameworks based on this priority area will be to balance between the
built environment and natural environment in a city or region. Smart and innovative practices on how
to integrate city planning functional frameworks with learning from two movements in the theory and
practice of planning in the early 1900s will be crucial.

16
2.2.5 Summary

The priority areas presented in this analysis are broad and can be sub-categorised depending upon the
scale of the Smart City model framework. Priority areas for the Smart City model framework need to
be identified based on the public participatory platform as in the case of Hamburg (Weninger et al.
2010) and should take into account global challenges at the planning stage in order to be robust and
scalable.

The two key aspects common across strategic areas in this analysis are engagement of communities
and collaboration between various city stakeholders. These processes should be initiated when
envisioning the model for a city in a) defining the priority areas; b) in the process of implementation; c)
when identifying and assigning the role of interest groups in implementation.

2.3 Theory Of Organizing Knowledge

As mentioned in Facloner (2012), taxonomy enables cities to benchmark content based on the hierarchy
of physical city components, and facilitates a Smart City Framework to view how cities function.
Based on Cooper (1988) taxonomy of literature review, the study by Cocchia (2014) was to understand
the relationship between the Smart City and digital city. It included an understanding of the synthesis
of a representative subset of papers and followed five specific taxonomy analyses, namely time,
terminology, definitions, typology, and geographic analysis. This study draws the common element
(Kogan 2014) between the Smart City approach and alternative approach of a digital city and relates to
section (1.3 Evolution of smart cities) in which alternative approaches are discussed. The outcome of
typology and geographic analyses reveals two key aspects in understanding the approach adopted and
location of the cases studies, respectively, and is presented as part of this section.

2.3.1 Typology analysis

This approach refers to the nature of the studies, which is theoretical and top-down or empirical and
bottom-up. The example, in the case of Cocchia (2014) included nearly 64 percent theoretical studies
and 36 percent empirical cases. The case of theoretical versus empirical studies is presented below
with the number of instances year wise for almost the last two decades.

Figure 3: Typology analysis - Theoretical versus Empirical studies

Source: (Cocchia 2014)

17
In the case of Amsterdam Smart and Digital City the typology analysis shows a case of conflict in the
nature of approach adopted within the context of the same city. Amsterdam Smart City emerged as a
top-down project with the Municipality of Amsterdam in a leading role whereas the Amsterdam Digital
City emerged as a bottom-up phenomenon with citizens as the key to the process.

2.3.2 Geographic Analysis

A geographic analysis of the 162 empirical case studies by Cocchia (2014) presented the location of the
smart or digital project across the globe. The Asia region is followed by Europe in second place for the
highest number of empirical cases with cities from China in the top position.

Figure 4: Smart and Digital Cities Geo-location

Source: (Cocchia 2014)

2.3.3 Summary

The study by Cocchia (2014) with a literature database of 705 papers highlights the fact that both the
Smart City approach and digital city approach when initiated were empirical and bottom-up in nature.
This can be substantiated with the fact that most of the initiatives were not part of a defined strategy
and were individual applications especially ICT based. These initiatives supported the city systems in
achieving better performance and improving the quality of life. As mentioned in the case of
Amsterdam (in section 2.3.1 Typology analysis), current Smart City movements are top-down with
either municipalities, the state or federal government taking the lead in introducing the programme
and implementation is expected to be bottom-up with extensive civic, industry, academia and civil
society engagements.

2.4 Theory of Hexagonal Dimensions

2.4.1 Introduction

Smart City frameworks based on various dimensions have been published. In this section two studies
which have presented the case of the six-dimensional model are analysed. The rationale for selecting
these studies is the common element of ranking Smart Cities based on these hexagonal models.
Understanding these models will enhance the knowledge about the relationship between dimensions
associated with Smart Cities, what are the indicators of these dimensions and how Smart Cities are
being ranked or assessed based on these models.

18
2.4.2 Case Study 01: “Smart Cities ─ Ranking of European medium-sized cities”

Giffinger et al. (2007) through the study titled “Smart Cities ─ Ranking of European medium-sized
cities” evaluated the smartness of 70 medium-sized cities. The study defined a Smart City as “A city
well performing in a forward-looking way in these six characteristics, built on the ‘smart’ combination
of endowments (local conditions) and activities (application) of self-decisive, independent and aware
citizens.” The study proposed following six dimensions of a Smart City.

Figure 5: Six Dimensional Model

Source: (Giffinger et al. 2007)

This study is accredited as the first attempt to understand the level of smartness in a city. The concept
of Smart City based on these six dimensions relates to the neo-classical theory of regional and urban
development and is considered as a theoretical base for definitions that followed (Deakin n.d.; Dawkins
2003; Todaro & Smith 2003). The systematic methodology adopted by this study identified the key
factors based on consultation workshops and derived indicators for each of the factors. Finally the
study analysis concluded with 31 major factors excluding two for non-availability of data and 75
indicators. This study also suggested that in cases where data is available these factors can be further
derived to establish the framework as a robust model.

Figure 6: Profile of Luxembourg Figure 7: Characteristics and Factors of Six Dimensional Model

SMART ECONOMY SMART PEOPLE

(Competitiveness) (Social and Human Capital)
Innovative spirit Level of qualification
Entrepreneurship Affinity to life long learning
Economic image & trademarks Social and ethnic plurality
Productivity Flexibility
Flexibility of labour market Creativity
International embeddedness Cosmopolitanism/Openmindedness
Ability to transform Participation in public life
SMART GOVERNANCE SMART MOBILITY
(Participation) (Transport and ICT)
Participation in decision-making Local accessibility
Public and social services (Inter-)national accessibility
Transparent governance Availability of ICT-infrastructure
Political strategies & perspectives Sustainable, innovative and safe transport systems
SMART ENVIRONMENT SMART LIVING
(Natural resources) (Quality of life)
Attractivity of natural conditions Cultural facilities
Pollution Health conditions
Environmental protection Individual safety
Sustainable resource management Housing quality
Education facilities
Touristic attractivity
Social cohesion

Source: (Giffinger et al. 2007)

Source: (Giffinger et al. 2007)

19
Figure 7 presents the city profile of the top ranking city, Luxembourg, and indicates its performance
across 31 indicators. As concluded in this study, the dimensions, factors and indicators will be a
valuable resource to understand the process of Smart City development. One of the limitations of this
model was that nearly 35 percent of the indicators identified were at national level. Primary
component analysis of four dimensions, excluding environment through correlation of the indicators
further revealed that, they were related to the dimension of economy (Santis et al. 2012; Giovannella
2013). More than the ranking of cities, further research needs to be aligned towards introducing the
time-series data analysis which might indicate the progress of Smart Cities in each of the indicators.
Setting a benchmark for progress across the indicators and then ranking the cities would be an
informative comparative analysis of the sample cities selected.

2.4.3 Case Study 02: Boyd Cohen's “Smart Cities Wheel”

This model has the base six dimensions similar to Giffinger et al. (2007) but the number and type of
factors for each dimension were different and limited to three. The objective of developing this tool by
(Cohen 2011) was to support the development of holistic Smart City strategies, to develop baselines,
and to transparently track the progress. As mentioned in the earlier section (2.2.4 Environment),
Smart Cities are not ‘one size fits all’.

Figure 8: Boyd Cohen Smart Cities Wheel

Source: Cohen 2011

Based on the Smart Cities wheel tool, Cohen has published ranking for the following categories:

a) Smart Cities in North America: The ranking of the top ten North American cities was based on
the earlier ranking methodologies with the introduction of the Smart City wheel as the guiding
tool. Publicly available data in combination with primary data shared by cities was used to
rank cities in this case (Cohen 2013a).

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 b) Smart Cities in Asia/Pacific region: The methodology adopted was similar to North American
cities but in this case none of the cites submitted primary data for the 28 indicators and the
exercise was based on publicly available secondary data and ten cities were ranked
accordingly (Cohen 2013c).
c) Smart Cities in Latin America: Similar to ranking of the Asia-Pacific region, Latin American
cities did not provide primary data to supplement the publicly available data. Eight cities were
ranked with Santiago on top with its complex institutional set-up of 34 independent
communities with a separate mayor for each (Cohen 2013b).
d) Smart Cities in European region: Copenhagen led the ranking of Smart Cities in this region,
which can be validated with the fact that it is the European Green Capital for 2014 and leading
city in Siemens Green City Index (Cohen 2014a).
e) Smartest Cities in the World: The last in the series of Smart City Wheel Rankings, the world’s
smartest cities list was an advanced version toward bringing the comprehensive set of
indicators into the evaluation. A global advisory panel was set up to develop a comprehensive
list of indicators for ranking of cities. To an extent the attempt was successful in deriving
around 400 indicators but to incorporate them in the evaluation was unsuccessful. Considering
400 indicators as huge for any city to share the data sets within the defined timeline the
number was reduced to 62 indicators (Cohen 2014b). Taking into account the standardisation
aspect, 25 percent of indicators were directly mapped to the International Organisation for
Standardisation ISO37120. Out of the sample 120 eligible cities, only 11 were able to share the
primary data within the given timeline.

An assumption in the Smart City Wheel is that all Smart Cities are on the journey towards becoming
smarter, including the cities in the ranking list. Highlighting the importance of strategic priority
analysis as mentioned in section (Challenges for Smart City model frameworks based on this priority
area will be to balance between the built environment and natural environment in a city or region.
Smart and innovative practices on how to integrate city planning functional frameworks with
learnings from two movements in the theory and practice of planning in the early 1900s will be
crucial. As mentioned in the earlier section (2.2.5 Summary), this model also suggests that cities should
prioritise the six dimensions and a strategic plan should focus on achieving it.

2.5 Theory of the Triple Helix Model

2.5.1 Introduction

The hypothesis of the Triple Helix started around 1995 with the urge to bring together academia and
industry for action research on innovative solutions for communities by policy makers. The hypothesis
became articulated as a confluence between Henry Etzkowitz’s long-term interest in the study of
university-industry relations and Loet Leydesdorff’s interest in an evolutionary model in which there
is an overlay of communications between different and independent spheres of activity (Lawton &
Leydesdorff 2012). The first published research was in Etzkowitz & Leydesdorff (1995) an outcome of
the workshop; follow-up workshops to understand the concept were attempted during 1996. This
model is seen as a shift from the industrial society model of Lowe (1982); Sábato and Mackenzi (1982
towards the knowledge society model.

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2.5.2 First version of Triple Helix Model

(Etzkowitz & Leydesdorff 2000) structured the concept into a model for studying both knowledge
based and developing economies. The productive competitiveness of industries and their permanence
in terms of policy based decision making relating to areas such as the transfer of knowledge and
technology have been included within this framework. Since then, the model has been in the process of
refinement and facilitating the basic framework to boost regional innovation systems (Tuunainen
2002; Shinn 2002; Cooke & Leydesdorff 2006; Lawton Smith & Ho 2006; Etzkowitz & Dzisah 2008;
Smith & Bagchi-Sen 2010; Carayannis & Campbell 2012; Rosenlund et al. 2014; Cai 2015).

The Triple Helix model of smart cities was introduced by (Leydesdorff & Deakin 2011). This model was
based on the hypothetical framework that cities are considered as densities in networks within three
significant activities - academia with its intellectual capital, industries with its capacity to create
assets and government to manage the society.

2.5.3 Second version of Triple Helix Model

A modified version of the traditional Triple Helix model was presented by (Lombardi 2011). This
version included civil society as the fourth crucial element in today's city management context. In
Lombardi’s words: “This advanced model presupposes that the four helices operate in a complex urban
environment, where civic involvement, along with cultural and social capital endowments, shape the
relationships between the traditional helices of university, industry and government. The interplay
between these actors and forces determines the success of a city in moving on a smart development
path.”

2.5.4 Theory of the multi-criteria decision framework

The Analytic Hierarchy Process (AHP) theory developed by Saaty in 1970 is extensively applied in
group decision making. It structures a decision problem into a hierarchy or a set of three integrated
levels: goal, criteria and alternatives. The challenges of linear structures in traditional multi-criteria
decision making approaches were addressed with the introduction of Analytic Network Process (ANP)
in 1996. It facilitates decision making across the areas of information by synthesising priorities of all
the factors and interests that influence the outcome of a decision. ANP assumes that a decision is only
as good as the framework we use to represent its clusters, their elements and the connections we
identify among them that depict the influences we perceive (Saaty 1996; Saaty 1999; Saaty & Vargas
2006).

Figure 9: Hierarchy and Network Models of Decision Making

Source: Sadeghi et al. 2012

22
2.5.5 Integrated Helix Model

Smart city performance assessment for 'four EU policy visions of the Smart Cities by 2050'was based
on ANP (Lombardi 2011). This comprehensive assessment included a selection of indicators from
literature across the projects within the region and classification according to the dimensions of Smart
Cities and by structuring the hexagonal dimensions within the revised Triple Helix model. The results
indicated four helices prioritising the entrepreneurial city policy vision. This assumes maximising
innovation and creative potential and gaining access to emerging markets outside its region as this will
facilitate the survival of European cities in today's globalisation context and also provide an
opportunity for cities to understand the alternative options practised to improve their performances.

2.5.6 Summary

There is need for an increased level of trust between the city government and communities and need
for commitment between academia (through its research), industry (with viable financing models and
innovative solutions), and government (by creating investor friendly cities). Civil society can facilitate
the process with its inclusive planning and bridge urban inequity through empowerment of
communities (for active engagement in envisioning, planning, execution and evaluation of the city
development). Hypothesis of the revised Triple Helix model theory focuses on the interrelationships
between the various dimensions of Smart Cities as defined in (2.4 Theory of Hexagonal Dimensions). It
presumes that four key actors manage the complex urban environment and the dynamics between
them determines the success of cities in moving on a smart development path. Analytic Network
Process as a decision making tool for Smart City planning will facilitate in defining hierarchies,
priorities and consistency. It also has the capability of conducting sensitivity analysis and doesn't
require consensus as it synthesises a representative outcome from various judgments.

Integrating the helical model with multi-criteria methods like ANP can result in robust performance
assessment or evaluation tools for Smart City solutions and visions of a region. Especially with
increasing use of network information and communication technologies in a large-scale global urban
phenomenon like Smart Cities, the analytic network hierarchy theory's interdependency and process
repetition methodologies will improve the judgment and understanding of city administrators.

23
 CHAPTER III: Layers of Smart Cities
3.1 Introduction

This section is structured around the question mentioned in 1.4.2 What are the components of a Smart
City?. The layers of a Smart City are ordered based on the nature of the proponent of the Smart City
project, research study or policy programme.. Broadly these are designed around the city systems and
act as decision making platforms. As part of this chapter various such models of layers are presented to
understand the wide range of components that make a Smart City.

3.2 Layers based on Information and Communication Technology

The Smart City implementation model presented by (Goff 2013) highlights information and
communication technology (ICT) as a key component and further subdivides it into four layers
according to the lifecycle timeline. The bottom-up ICT requirement model approach focusing on spatial
planning for physical infrastructure, network design for data communications, open protocols for
control and supervisory platforms and development of city operating systems to facilitate system
aggregation and integration considering the lifecycle of technology in the public realm is presented as
layers of Smart Cities.

Figure 10: ICT Requirements Model

Source: (Goff 2013)

3.2.1 User requirements layer

This typically consists of software, user interfaces and functional technology. Applications will have
short lifecycles typically in the region of 3─5 years and will be highly dependent upon the specific
requirements of the city.

3.2.2 Network layer

This refers to the data communication technologies required to deliver the city's user applications. This
layer may represent Ethernet transmissions, leased 'point to point' services and fibre to the premise
(FTTP). Services at this layer tend to have lifecycles in the region of 5─10 years.

24
3.2.3 Transmission layer

Here the physical or wireless medium is utilised by the technology in question, e.g. copper, optical
fibre or radio waves. This layer will be expected to provide 10─15 years service, particularly cabled
infrastructure which should support several generations of application and transmission equipment.

3.2.4 Infrastructure layer

This encompasses above and below ground space and the infrastructure required to support the media
layer, for example, underground ducts and interconnecting chambers, building entry points,
equipment space, etc. This element of the overall solution should be designed to provide the city with
at least 30 years service with minimal requirement for maintenance or further invasive civil
engineering works.

3.2.5 Summary

Smart City infrastructures are assumed to be increasingly intelligent within the complex urban
environment and will traverse dedicated infrastructure and converging systems thus increasing
functionality provided by existing platforms. They will simultaneously provide opportunities for
reduction in capital and operating expenditure. This is one of the key learnings from this model.

3.3 Layers Based on Urban Planning Framework

With the Campbell (1996) triangle of conflicting goals for planning as the framework and alternative
Smart City approaches as the methodology Anthopoulos & Vakali (2012) presented the following four
layer generic architecture. This encompasses all types of attributes related to Smart City planning as
mentioned in (1.3 Evolution of smart cities) section on alternative approaches.

3.3.1 User layer

This concerns all e-service end-users and the stakeholders of a Smart City. This layer appears both at
the top and at the bottom of the generic architecture because it concerns both the local stakeholders –
who supervise, design and offer e-services in a Smart City and ─an d the en d-users, who “consume” the
Smart City’s services and participate in decision making.

3.3.2 Service layer

This incorporates all the particular e-services being offered by the Smart City.

3.3.3 Infrastructure layer

This contains network, information systems and other facilities which contribute to e-Service
deployment.

3.3.4 Data layer

This presents all the information which is required, produced and collected in the Smart City.

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 Figure 11: Multi-Tier Architecture of a Digital City

Source: Anthopoulos & Vakali 2012

An alternative approach based on the Smart City layer analysis highlights the importance of data
layering. A layer-wise analysis is presented below:

 The User layer contributes significantly in all approaches except in Broadband and Mobile cities,
where users mostly consume telecommunication services, and the networks extend to most
populated areas.
 The Infrastructure layer does not contribute in Virtual and in Knowledge based cities, while
Smart, Digital and Eco-Cities can mostly focus on e-services that can be deployed via alternative
infrastructure providers.
 The Service layer makes a significant contribution to the approaches beyond the Smart City
approach, while only a few services are offered in the other approaches. In the Virtual City the
existence of various ICT infrastructures is not necessary, while data and user layers are crucial for
city virtualisation.
 Finally, the Data layer is the basis for service delivery and thus contributes significantly to all the
approaches except in the Broadband and the Mobile Cities, which offer telecommunication
services.

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 Figure 12: Smart City layers align to Urban Planning Dimensions

Source: (Anthopoulos & Vakali 2012)

3.3.5 Summary

Alternative approaches to the Smart City were evaluated based on the above generic architecture. The
methodology presented in this study will facilitate the selection of the most appropriate approach for
any city and also identify the meeting points via which Smart City layers and planning dimensions
interact. More specifically, the Smart City’s service layer aligns and contributes to all the urban
planning dimensions and various e-Services support sustainable local growth. On the other hand,
planning dimensions can be affected by Smart City stakeholders via participatory policy making, while
the infrastructure of Smart Cities has to be recognised and maximised.

3.4 CISCO Smart City Framework Layers

The CISCO Smart City Framework is presented as a decision methodology that facilitates the
implementation process of Smart City initiatives in an effective manner for both public and private
stakeholders. To make possible efficient city infrastructure systems and bring transparency in how
cities operate, a structured approach is suggested. The circular flow of information within the four
layers of the CISCO framework (Falconer 2012) with city objectives as base results in a feedback loop
for city stakeholders. The components of each layer are further detailed for better understanding of the
framework.

27
 Figure 13: CISCO Smart City Framework Layers

Source: Falconer 2012

3.4.1 City Objectives Layer

This layer emphasises the need for links between the social, environmental, and economic objectives of
a city and its projects, policies and initiatives to understand how a city operates.

3.4.2 City Indicators Layer

Considering that city objectives are transient in nature with changing leadership, in this layer of the
Smart City framework importance is given to linking city objectives with the existing published city
indicators based on a city's priority areas, and more importantly its vision and existing resources. An
illustrative case of matching indicators to city objectives is in a city with the sustainability objective,
where indicators of the Green City Index might be appropriate.

3.4.3 City Components Layer

This layer details a city’s assets like utilities, transportation, real estate and services which are then
linked to city objectives, indicators and content.

3.4.4 City Content Layer

The focus of this layer is to map objectives to best practices and policies and facilitate the city's
learning process of how Smart City solutions are implemented. Considering replication of innovative
solutions and ideas as important phenomena, it highlights the need for a structure, consistency and
clarity in reporting successful Smart City solutions and is directly linked to the city component’s layer
and city objectives.

3.4.5 Summary

The framework presented as part of this model provides two distinct outcomes: how cities function,
and the taxonomy for cities to benchmark based on a city’s assets. This will enable city stakeholders in
developing a Smart City blueprint and documenting innovate initiatives for replication.

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3.5 Layers Based on Future Internet Technologies

3.5.1 Introduction

The innovation roadmap presented by Komninos et al. (2011) highlights a series of themes at the
intersection of future internet technologies and Smart Cities. It focuses in particular on developments
and the impact of three main Internet-based technologies: cloud computing; real-world user interfaces
of sensors, tags and RFIDs; and the semantic web. The aim is to assess the expected effects of these
technologies on Smart City solutions and operations, and the resulting changes on informational and
cognitive processes of information collection and processing, real-time alert, learning, collective
intelligence and problem solving, which characterise Smart Cities.

3.5.2 Two dimensional mapping

This includes layers and time periods. The vertical dimension considers the following layers:
technological change, business change, policy change and social change. The time dimension includes
the short-term, mid-term and longer term developments. At multiple sections of the roadmap
transition to the cloud, Smart City pilots, and city-wide open platforms of embedded systems recur.
These areas are of primary importance for city authorities all over the world that are deploying
strategies for Smart Cities, e-infrastructure and e-services to address the contemporary challenges of
competitiveness and sustainable development.

The policy relevance of this approach was enhanced with a focus on the systemic character of
innovations related to Smart Cities, which require concurrent processes of socio-economic and
technological change. To provide guidelines to this process, the road mapping approach draws from
systemic change literature, taking into account several characteristics of systemic change, e.g. regimes,
barriers, transitions, and niches of novel solutions.

Figure 14: An Innovation Roadmap to Smart Cities (Part I)

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 Figure 15: An Innovation Roadmap to Smart Cities (Part II)

Source: Komninos et al. 2011

Summary

It is believed that a common roadmap for urban innovation and economic development will facilitate
in finding consensus on common longer term objectives. Innovation policies and strategies based on
this roadmap can concentrate primarily on the management of fundamental layers for achieving a
spatial intelligence of cities.

3.6 Layers Based on Intelligent Transport Systems (ITS)

3.6.1 Introduction

This model is an outcome of the study titled “ICT concepts for optimisation of mobility in Smart Cities”
conducted for the European Commission by Böhm et al. (2012).
A basic assumption of this model is that Smart Cities are Figure 16: Technical Architecture for
ITS and Smart City
enabled by ICT for sensing, analysing and integrating
information systems. The conceptual framework of this model
is based on the methodology of how digital infrastructure will
enhance and optimise the use of physical infrastructure in the
case of emerging Smart Cities in the European region. This
model is expected to support the decision making process by
providing an assessment of the most important systems that
address the challenges related to smart, efficient, safe and
clean mobility in cities. Source: (Böhm et al. 2012)

3.6.2 Technical Architecture model for ITS based Smart City

To understand the impact of ICT technology trends on the development and deployment of emerging
ICT services for urban mobility a detailed inventory of ICT technology trends was carried out and
analysed based on descriptions provided for individual services. The common technical architecture
proposed for ITS and Smart City includes the following four layers:

30
 Perception layer: obtains information of all components of the infrastructure with sensors,
actuators, tags and readers
 Network layer: enables data transmission between sensors and actuators and the application
support layer by using either wired or increasingly often wireless connections
 Application support layer: provides massive data processing capabilities by using cloud computing
 Application layer: analyses and processes data related to environmental monitoring and intelligent
transportation

3.6.3 Summary

Security and privacy have been the overarching layer in this model. From the mobility point of view,
the most important aspect is the location of both humans and vehicles; accordingly sensors with
positioning technologies were considered for detailed analysis as part of this study.

3.7 Layers based on Data

3.7.1 Introduction

This model by Hawkins (2014) is based on fundamental elements and presents the underlying
components of the smart solution. The framework in based on the concept of, ‘measuring, moving and
managing’ data. This simple smart solution framework broadly consists of the following elements:
hardware and smart software with supporting common elements like end-to-end security, power
provision, local communication paths, and data quality and veracity.

3.7.2 Layers of simplified smart solution framework

3.7.2. (a) Hardware

Working in concert with infrastructure, a combination of devices, sensors, microprocessors and

communications technology allow the elements to become aware of their environment:

 Infrastructure: This is the foundation of the smart solution and includes things like water and
wastewater treatment facilities, energy infrastructure, transportation systems, street lighting
and waste management systems, to name a few.
 Devices and Sensors: These units are responsible for measuring key performance parameters
relating to infrastructure. Measurements can range from a few to many hundreds or
thousands of parameters. Examples include measurements of temperature, power, volume,
vibration, fluid flow, light levels, proximity and stress. The sensors may be part of the
deployed infrastructure or retrofitted in the case of upgrading existing infrastructure.
 Embedded Processing: With the processing power available today from relatively simple
modem chipsets, data processing and even analytics can be undertaken at the edge. This data
processing might consist of data aggregation, data parsing, local process control, etc. The
advantage of undertaking edge processing is that it optimises data and control flows by
ensuring only the required information is passed to the central core.
 Wide Area Connectivity: This describes the often complex web of connectivity path(s) required
to transport data between the infrastructure under consideration to the central place(s) where
it will be stored, processed and acted upon. These connective paths may include wired and
wireless technologies including, but not limited to, fiber, mesh networks, local area networks
and cellular networks. In many ways you can think of communications, or more generally ICT

31
 (Information and Communications Technology), as the glue that holds the smart solution
together.

3.7.2 (b) Smart Software

Smart Software complements and leverages the data coming from physical hardware and acts as the
heart of any smart solution.

 Data Management: Data must be aggregated and stored to be available for further processing
into valuable information. Although utilities have traditionally favoured firewalled and
isolated standalone data storage located within their own network, cloud-sponsored
capabilities are quickly growing. The degree of data in the cloud is often dependent on the size
of the IT organisation. In fact, the capabilities of the cloud allow smaller utilities or businesses
to take advantage of the same tools that their bigger brethren use, further increasing the reach
of the technology revolution.
 Analytics: Analytics applications are the brains of the smart solution and involve the
discovery and communication of meaningful patterns in data to drive improved performance
and identify future opportunities and risks. Analytics include the application of statistics, first-
principle models, simulation and data aggregation techniques using data from a wide array of
system-based or cloud-based sources. In addition to directing control functions, analytics are
used to perform complex assessments of things like maintenance, operations or compliance
strategies. Although centralised analytics are important for complex, multi-system challenges,
the sheer volume of data is also driving some analytics to move closer to where the data is
produced to enable faster action and require less processing.
 Optimisation and Control: The final, critical step in this end-to-end model is to take
appropriate actions. Realising the value from data and analytics requires taking actions that
positively impact performance. Analytics help control and manage “local” optimisation systems
by evaluating performance against system or “global” goals and helping to find the right recipe
for improvements. Optimisation and control closes the loop within the smart solution.

3.7.2 (c) Supporting Elements

End-to-end security: Security is a major consideration within any smart solution. This is particularly
true for critical infrastructure such as electricity or water systems and for processes that require the
transport of personal and financial information.

Power provision: Smart systems cannot function without power. At the device/sensor level typically
only low power is required but deployments can be in the hundreds or thousands of units and making
power available at all locations can be a challenge. For centrally-based elements, like cloud-based
analytics and control systems, there are just a few physical installations but their power requirements
are more onerous. Where new infrastructure is being deployed, power provisioning through the local
utility is often required.

Local communication paths: In addition to wide area connectivity, the majority of smart solutions
will incorporate many localised connectivity paths. These paths make use of a variety of wired and
wireless communications technologies. With so many and such diverse potential for communication
paths, it is important to manage how data is routed and which end-users it reaches. Further, different
data types require differing levels of Quality of Service (QoS), often entailing the prioritisation of
different traffic flows.

Data Quality and Veracity. It is critical that data quality and veracity is adequate for the job at hand;
it is often necessary to employ specialised analytics to cleanse and/or augment the raw data streams.

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 Figure 17: A Simple Smart Solution Network

Source: Hawkins 2014

3.7.3 Summary

Infrastructure is the base layer for a Smart City framework and ICT is the binding element for various
components of the system while analytics is the processor for this framework. Smart Analytics provide
context to problems and enable a much clearer view into what is an increasingly complex urban
environment. To address large, complex and dynamic optimisation challenges an integrated enterprise
data management and analytics approach is recommended.

3.8 Layers based on an Integrated Approach

3.8.1 Introduction

This model focuses on the integrated framework and is proposed by Chourabi et al. (2011) based on
literature from various disciplinary areas. The following eight critical factors of Smart City initiatives
were identified to develop this model: management and organisation, technology, governance, policy,
context, people and communities, economy, built infrastructure, and natural environment. These
factors form the basis of an integrative framework that can be used to examine how local governments
are envisioning Smart City initiatives.

3.8.2 Smart Cities Initiatives Framework

Figure 18: Smart City Initiatives Framework

Source: Chourabi et al. 2011

The diagram explains the relationships and influences between the listed factors and initiatives.

33
3.8.3 Summary

This integrated framework could facilitate the relative success of an analysis of Smart City initiatives,
and also assess the actual impact on types of variables (organisational, technical, contextual) on the
success of Smart City initiatives.

3.9 Layers Based on Integrated Solutions Framework

3.9.1 Introduction

This model is based on the Kessides (2013) Future Cities Demonstrator Programme call for projects that
integrate city systems at a large scale. The aim of the programme was to fund one city to enable it to
make its vision a reality. The proposals included real challenges that cities are facing and the solutions.
The model evolved from the evaluation methodology of the proposals received from various cities for a
feasibility assessment as part of the grouping stage.

3.9.2 Four Layers for Common Integration Themes

The following are the four layers that were derived from the proposals for analysis:

i. Organisation with the stakeholders (e.g. citizens, local authorities, private sector).
ii. Infrastructure with the support infrastructures such as wi-fi and broadband communication
networks as well as sensors such as smart meters.
iii. Platform dealing with data integration, visualisation and in-home interfaces.
iv. Systems applications showing the city infrastructures (e.g. energy, transport, education).

Figure 19: Integrated Solutions Framework

Source: Kessides (2013)

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3.10 Layers Based on Development Growth Model

3.10.1 Introduction

The (NEC n.d.) model argues to help cities flexibly respond to challenges that arise during each stage of
development with Smart City solutions designed to enable high-quality urban living. The
implementation strategy of this model as mentioned in its brief, is an alternative to rigid solutions
optimised to projected needs by providing flexible infrastructure solutions in response to the ever-
changing needs of needs.

3.10.2 Stages of Development and Layers

City development is a continuous process with incremental evolution at each stage. (NEC n.d.) defines
city evolution as a three-stage process consisting of growth, maturation and reconstruction. During the
Growth stage, a city’s infrastructure develops rapidly in response to industrial growth and a rising
population. To a large degree, quantity is prioritised over quality. In the Maturation stage, growth
stabilises and residents seek a higher standard of living by purchasing higher quality goods and
services, moving to the suburbs, etc. Quality is prioritised over quantity during this phase. During the
Reconstruction stage, mature cities undergo renewal to maintain services and enable further
development. These cities collaborate with other cities to meet new challenges. They also redevelop to
satisfy the changing expectations of residents, who may otherwise relocate.

3.10.3 Summary

The model suggests that by collecting and sharing information more effectively and linking the
network layers that support urban life, state-of-the-art ICT can bring people closer together,
strengthen the fabric of society. Information in each network layer is monitored in real time and
transmitted where necessary based on everyday demands and special needs that arise during disasters
and other emergencies.

Figure 20: Layers Based on City Development Needs

Source: NEC (n.d.)

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 CHAPTER IV - Practice of Smart Cities
4.1 Introduction

This chapter is structured around the key questions stated in Chapter 1. Smart Cities development
models are presented in the first part followed by empirical case studies of how Smart Cities, Smart
City Projects and Smart City initiatives around the globe have been successful in implementing
innovative solutions, and the spectrum of tools in a Smart City toolkit, enablers and barriers.

The number of Smart Cities worldwide is expected to quadruple within the 12-year period from 2013
based on the analysis by Arrowsmith (2014). There will be at least 88 Smart Cities all over the world by
2025, up from 21 in 2013 as shown in the graph below, based on the IHS definition of a Smart City.
While the combined Europe-Middle East-Africa (EMEA) region represented the largest number of
Smart Cities in 2013, Asia-Pacific is expected to take the lead in 2025. In all, Asia-Pacific will account
for 32 Smart Cities of the total in nine years’ time; Europe will have 31, and the Americas will
contribute 25.

Figure 21: Number of Smart Cities Worldwide,

as per IHS Technology's Definition of a 'Smart City'

Source: IHS Technology, July 2014 (Arrowsmith 2014)

4.2 Smart Cities Development Models

The development of Smart cities usually differs between various urban contexts in relation to the
driving forces, the investment requirements and the stakeholders involved. The process of
development of a Smart City can be based on two different development models called Greenfield and
Brownfield. The ICT solutions implemented in the creation of a Smart City can change significantly in
different urban contexts (Amitrano et al. 2014). The choice of technological patterns is linked to each
project’s requirements: a Greenfield city requires larger ICT investments for the development of new
builds from scratch, while Brownfield cities require an evolution/transformation of existing ICT
capabilities.

4.2.1 Greenfield Development

These are also defined as the new build cities (Accenture et al. 2011) or simply new cities. They are
urban contexts created Smart starting from their construction. They are often purpose-built,
strategically placed and designed to attract businesses and communities with a master plan that
incorporates ICT infrastructure and world class services such as renewable energy, green buildings,

36
seamless broadband connectivity, intelligent transportation systems and other intelligent city systems
(Bélissent 2010).

These projects have long-term plans that range between 10 and 25 years. Because of their extensive
time span, these projects can also focus on revenue realisation and returns on investment. As their
“turn-key” dealings, these projects have strong budgets for long-term execution.

Examples of these cities are increasing around the world, especially in emerging markets: Masdar in
Abu Dhabi, Lusail in Qatar, Songdo in Korea, Caofeidian and Meixi Lake in China, Lavasa in India,
Ganthoot Green City in Emirates, King Abdullah Economic City in Saudi Arabia, Skolkovo in Russia.
These initiatives can help to build momentum and accelerate the move to a broader intelligent
infrastructure by demonstrating success through offering case studies that can be transferred to other
urban environments (Accenture et al. 2011). This model also includes projects involving the
development of new smart neighbourhoods or new Smart Cities in suburban areas, a kind of 'city
within a city'. Examples of this typology are Fujisawa in Japan, Plan IT Valley in Portugal, and Najing
Green City and Tianjin Eco City in China.

4.2.2 Brownfield Development

Smart Cities often related to smart interventions in the existing context are referred to as Brownfield
cities (The European House -Ambrosetti 2014) or 'existing cities' (Bélissent 2010). In this case Smart
City development process allows one to proceed by incremental steps, focusing on priority issues and
drivers.

Brownfield projects are much smaller sized projects focused on a limited number of implementation
areas. These projects have a shorter term of 3 to 6 years for project execution. Because of their fast
implementation process, investors prefer these projects as they bring project revenue and investment
return. Implementation of Brownfield projects is challenging and restricted as these are connected to
existing infrastructure and are located within the existing urban contexts.

For example, in cities placed in developed market countries, the main smart experiences are inspired
to achieve energy efficiency and sustainable mobility, while in developing countries, cities face the
primary challenges of over-congestion, both in population density and traffic volume (Accenture et al.
2011). Some researchers have pointed out that these interventions are so essential to cities that they
“arguably need to become smart in order to remain cities at all” (Bélissent 2010). Brownfield
Development often includes various approaches like redevelopment, regeneration, and retrofitting. The
scale and extent of development is defined by the approach adopted.

Effective management of urban land use is central to global strategies to achieve sustainable
development. An important component of the land management is the increase in and persistence of
Brownfield areas and difficulties in regenerating these areas. For example, in Europe, land use changes
over the last fifty years have resulted in swift and wide scale dereliction in some areas and slow
decline elsewhere, leading to a significant legacy of Brownfield areas in these regions. During this time
of land use change, rather than addressing the problem, cases of poor land management practices have
led to urban decay, deprivation and social conflicts. Brownfields can have a negative impact on the
surrounding area and community, and hinder effective regeneration. Regenerating Brownfields can
stimulate opportunities at numerous levels, improving urban quality of life enhancing urban
competitiveness, and reducing urban sprawl. Although there are numerous urban challenges, such as
identifying solutions for transportation pressures, etc, the beneficial re-use of Brownfields is
significant, pervading and impacting on so many other urban issues, that it warrants a high level of
both technical and political attention. Finding solutions for Brownfield sites is an increasingly

37
important part of the search for effective policies that are aimed at ensuring a sustainable future for
land, and Smart Cities in particular (Ferber et al. 2006).

Some of the examples of Smart City Initiatives across the Brownfield development approaches are
Porto Maraviliha in Brazil, Dockside Green in Victoria (Canada), HafenCity in Hamburg (Germany),
Fujisawa in Japan, Christchurch in New Zealand, Guangzhou Intelligent City in China, Amsterdam in
Netherlands, HammarbySjöstad in Stockholm's Urban Regeneration Project, Copenhagen in Denmark,
Newcastle in Australia, and New York in the United States.

4.3. Smart City Case Studies

4.3.1 The London suburb of Hackbridge (UK)

Hackbridge is a largely residential suburb located within the London Borough of Sutton, South West
London. Having first experienced significant development in the 1890’s, Hackbridge today has a
population of approximately 8,000 people, living in a diverse range of house types ranging from early
Victorian terraces to the internationally renowned ‘eco-village’ that is BedZED. In 2005, Sutton Council
announced their commitment to sustainability in adopting the concept of ‘One Planet Living’, a series
of environmental principles developed by specialist consultants BioRegional, in an innovative
partnership known as One Planet Sutton. The 10 One Planet Living principles promoted by BioRegional
are intended to underpin the transformation of Hackbridge as a pilot area within the borough, with the
aim of creating the UK’s first zero-carbon sustainable suburb by 2025. In order to meet such
objectives, Sutton Council have announced plans to mass-retrofit hundreds of homes across
Hackbridge to improve energy performance (Mark n.d.). The London Borough of Sutton has an
ambitious vision to make the Hackbridge suburb the UK’s most sustainable place to live in, and a zero-

Figure 22: Beddington Zero (fossil) Energy Development (BedZED)

Source: (Twinn 2003)

38
carbon area based on the principles of One Planet Living. Sustainable travel comprises part of an
integrated approach which also includes decentralised energy systems, energy-efficient homes, green
businesses (featuring workplace travel plans) and local food schemes, which will cut CO2 emissions and
reduce our impact on the environment. The council is working with the Hackbridge community and
enjoys an overwhelming level of support – over 90 percent of Hackbridge respondents confirmed that
they were supportive of the proposed vision (Forrest 2009).

4.3.2 Hafencity in Hamburg (Germany)

HafenCity is currently Europe's largest inner-city development project. Here, city leaders planned pilot
projects including an integrated e-mobility solution to help reduce and optimize traffic by offering
alternative ways of transportation using cars/electric cars, bicycles/electric bicycles in a car-sharing
model. Further on, a smart building solution will be tested (Sinko n.d.).

Figure 23: Hafen City

Source: Bruns-Berentelg (n.d.)

HafenCity – currently Europe’s largest inner-city development project – is a blueprint for the
development of a European city on the waterfront. Almost 1,500 living spaces have been completed;
more than 450 companies have moved into HafenCity.

4.3.3 Nordhavn in Copenhagen (Denmark)

Nordhavn, the second big project in Europe, covers 200 hectares. This former industrial area is being
transformed into an entirely new, sustainable district. Creating a sustainable city is not just about
environmental responsibility. It is also about value creation and social diversity, and Nordhavn
overcomes some of Orestad’s negatives, like outdoor living space. It is expected to have a denser, lower
structure, with homes, offices and retailing units 'on a traditional Copenhagen scale'.

39
 Figure 24: The Six Visions for the Nordhavn District

Source: Danish Architecture Centre (n.d.)

Nordhavn’s master plan includes two large - public spaces, alongside smaller parks that will give
residents play and exercise areas, drawing on Copenhagen's wider interest in so-called pocket parks:
attractive, well-lit green spaces of fewer than 5,000 square meters, often created on irregular plots,
where friends can meet or take a lunch break and children can play safely. Nordhavn is essentially an
urban regeneration plan, on and around former shipping docks with provision of space for 40,000
residents and 40,000 jobs.

Contributing to realising the vision of becoming the world’s first carbon neutral capital, the City of
Copenhagen has launched one of the most extensive and most ambitious urban development projects
in Scandinavia -Nordhavn. The project spearheads efforts to improve climate conditions and shows
how cities can help reverse climate change without losing out on quality of life, welfare and
democracy. Renewable energy and new types of energy, optimal use of resources, recycling of
resources and sustainable transport will help make Nordhavn a model for sustainable development
and design. The development of Nordhavn is based on close dialogue with residents, future users of the
area and other stakeholders to ensure that people in Copenhagen take joint ownership of the new
sustainable city district (CPH City 2009).

4.3.4 Stockholm Royal Seaport (Sweden)

Stockholm is already a world leader in many areas of the world in creating climate-adapted society.
Like other big cities, Stockholm is contending with the challenge of reconciling a rapidly growing city
with a high level of environmental ambition. In its environmental programme 2008‹2011, Stockholm
City Council decided that Stockholm Royal Seaport should be given a distinctive environmental profile,
drawing on experiences gained from HammarbySjostad. Stockholm Royal Seaport environment profile
should:

40
  Consolidate Stockholm's position as a leading capital city in climate work
 Support the marketing of Swedish Environmental Technology
 Contribute to the development of new technology, benefitting all housing construction in
Sweden

The vision for the Stockholm Royal Seaport has three generic targets for 'a world-class urban district':

1. By 2020 carbon dioxide emission should be less than 1.5 tonnes per person. This can be
compared with the current average of approximately 4.5 tonnes per person.
2. To adapt to future climate change, for example increased precipitation, neighbourhood
development design should be adapted according to the prognosis for future sea-level rise.
3. By 2030 the Stockholm Royal Seaport should be fossil fuel-free. This ambition is higher than
for the city as a whole, where the same target has been set for 2050.

In order to achieve these targets, efforts will focus on five areas: energy use, environmentally efficient
transport, adaptation to a changed climate, cycles and cyclic models at system level, and lifestyle
issues.

The urban district spread over 236 hectares when completed in 2030, is expected to provide 10,000
apartments and 30,000 workspaces. The Stockholm Royal Seaport aims to be a diverse neighbourhood
combining offices and climate-adapted housing with a green inner-city character. To meet
environmental targets, the neighbourhood will provide public transport in the form of subways,
biogas-powered buses, tram and boat buses. It includes a closed-loop integrated waste management
system and LEED-certified buildings. The area is prepared for a future smart grid electrical system
(Stockholm stad 2010).

Figure 25: Stockholm Royal Seaport Vision 2030

Source: Stockholm stad (2010)

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4.3.5 Oulu Arctic City (Finland)

The City of Oulu, the capital of Northern Scandinavia, plans to build a city district that will serve as a
model for environmental design in the northern hemisphere. Hiukkavaara, the Arctic Smart City, will
be the largest city district to be built in Northern Finland and the most important future construction
and investment area in Oulu. The total investment of the Hiukkavaara district amounts to 1.8 billion
euros. The new Hiukkavaara district is a model for sustainable, building and living in the Arctic
region. By the year 2035 Hiukkavaara will be a modern urban district with 20,000 people, 10,000
housing units, 1,800 workplaces and smart services for 40,000 consumers.

Development themes of Hiukkavaara include energy efficient city living with smart grids, alternative
and renewable forms of energy, ecological water system, and centralized waste management.
Additionally, ICT services for a Smart City, functional public transportation, and safe wintertime
cycling are also being researched. The district will also include facilities for a creative sector (City of
Oulu 2013).

Figure 26: Hiukkavaara - Arctic Smart City

Source: Congress (2012)

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4.3.5.1 Hiukkavaara Living Lab

Building in sub Arctic and Arctic areas requires special solutions and knowhow: skill and technology to
build climate friendly, energy efficient and user oriented winter cities with innovative services and
logistic processes. Building cities is a long-term activity in which a 10―20 year period is a relatively
short time. Finnish real estate and building clusters must immediately in their global strategy take into
consideration the rising significance of the northern hemisphere. Located in the capital of northern
Scandinavia, Hiukkavaara Living Lab with its research, development, testing facilities offers a
excellent possibility and test bed in such activities. One such facility is its Arctic Smart City Living Lab
which focuses on:

 Landuse: Integrating city development, participatory planning throughout the lifespan of a city
 Building solutions: Arctic smart buildings, energy efficient and durable buildings in extreme
conditions
 ICT: Smart city solutions, Smart grids, ICT platform, solutions, services

4.3.6 Lyon Smart Community (France)

Figure 27: Lyon Smart Community

Source: Toshibha (n.d.)

An urban redevelopment project is underway in the Confluence district of Lyon, France. The district is
a sandbank nestled between rivers, and to coincide with the redevelopment, smart devices will be
introduced to the urban infrastructure being newly built. The project, which includes homes, buildings
and transportation in an area of roughly 150 hectares, will involve the active adoption of solutions
such as solar power generation, and establish management technologies for its effective use under the
theme of “a sustainable city through renewable energy utilization and management systems.”

The project will aim to change the way residents behave with respect to energy by visualising in-home
electricity, gas and water energy, and providing recommendations on energy usage. On the
transportation front, a car sharing project using electric vehicles which use solar power generation as
their energy source will be launched to create a traffic system producing zero-emission that will also
help ease traffic congestion (Toshibha n.d.).

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4.3.7 Aspern in Vienna (Austria)

Aspern Vienna’s Urban Lakeside is a project of new dimensions. The 240-hectare project area makes it
one of Europe’s largest urban developments; it is a city within the city. Quality of life and cooperation
rank at the top of the agenda. Aspern Vienna’s Urban Lakeside will be built in the northeast of the city
by 2028. In the future, 8,500 housing units will accommodate 20,000 people. Furthermore, 20,000 jobs
will be created in the fields of service, trade and industry, science, research and education.

Figure 28: Aspern - Urban Lakeside Project

Source: SES (2013)

The project has a prime location at the centre of the economic growth region CENTROPE, right on the
Vienna-Bratislava axis: Bratislava’s central station can be reached within 28 minutes and Vienna
airport within 15 minutes. Construction works have started to connect the Urban Lakeside to Vienna’s
underground system, which will reduce journey time from the city centre to 25 minutes. Aspern will
become a new centre for Vienna’s 22nd municipal district, providing new stimuli for the region’s
economic development by creating new jobs. This project represents an opportunity to develop a long-
term integrated concept for an energy-optimised city district using appropriate technologies, products,
and solutions in a real-world infrastructure.

The following are some of the key principles on which Aspern is based:
 Urban density and generous leisure areas (50 % space)
 Quality of public space (manual of public space, quality assurance)
 City of short distances (mixed-use quarters, public transport first)
 Eco-friendly mobility first
 Sustainability as a principle (buildings, energy, public space, mobility)

4.3.8 Tianjin Eco-city (China)

Located just two hours west of Beijing by car and 30 minutes by high-speed rail, Tianjin is among the
fastest-growing cities in China in terms of population and economy. It has a population of 12.9 million
and is expected to grow by 500,000 a year. The city’s GDP per capita surpasses many countries such as

44
Russia and Brazil. In 2011, Tianjin’s GDP was 1,119 billion CNY (US$ 177 billion) with a year-over-
year increase of 16 percent.

The Chinese government set two criteria for the location of the Eco-city site. Firstly, it should be
developed on non-arable land; secondly, it should be located in an area facing water shortage. Four
possible locations for the project were identified – in Baotou (Inner Mongolia), Tangshan (Hebei
province), Tianjin municipality, and Urumqi (Xinjiang). The Tianjin site was eventually selected after a
thorough study of both sides, taking into account considerations such as the state of development of
the surrounding infrastructure, ease of accessibility and commercial viability.

Tianjin Eco-city has a total land area of 30 sq. km. The Eco-city is planned for a population of 350,000.
The goal is to develop the Eco-city over 10─15 years. The start-up area is scheduled for completion by
end-2013. Prior to the development of the Eco-city, the site comprised mainly saltpans, barren land
and polluted water-bodies, including a 2.6 sq. km large wastewater pond.

Figure 29: Tianjin Development Timeframe

Source: Singapore (n.d.)

The Tianjin Eco-city's vision is to be "A thriving city which is socially harmonious, environmentally-
friendly and resource-efficient – a model for sustainable development." This vision is underpinned by
the concepts of "Three Harmonies" and "Three Abilities".

"Three Harmonies" refers to:

 People living in harmony with other people, i.e. social harmony
 People living in harmony with economic activities, i.e. economic vibrancy
 People living in harmony with the environment, i.e. environmental sustainability

"Three Abilities” refers to the Eco-city being:

 Practicable ─the technologies adopted in the Eco-city must be affordable and commercially
viable

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  Replicable ─the principles and models of the Eco-city could be applied to other cities in China
and even in other countries
 Scalable ─the principles and models could be adapted for another project or development of a
different scale

Figure 30: Tianjin Ecocity (2013)

Source: Singapore (n.d.)

Figure 31: Public Utilities Operations & Maintenance Centre commences operation

Source: Singapore (n.d.)

4.3.9 New Songdo City, Incheon (South Korea)

Songdo International Business District (IBD) is a $35 billon dollar venture of a new smart city, located
in South Korea. It was built from scratch on 1,500 acres (610 ha) of reclaimed land along Incheon’s
waterfront in South Korea, 65 km from the capital, Seoul. Songdo IBD aspires to become a business
hub in northeast Asia. The main developers are Gale International, Posco and Morgan Stanley Real
Estate. The city is master planned according to LEED-ND principles (a globally accredited rating
system for green neighbourhoods) that call for a synergistic mix of uses. Open spaces account for 40
percent of the area and walking is encouraged. On its completion the district will contain 80,000
apartments, 50,000,000 square feet (4,600,000 m2) of office space and 10,000,000 square feet (930,000
m2) of retail space. In this newly-built city, CISCO showcases their Smart+Connected Communities

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programme. The technology vendor employed state-of-the-art technology in buildings, forging a
network that connects all the components of the city, including residences, offices and schools.
Residents are able to control the functions of their homes remotely and everyone is able to interact
through video from anywhere through CISCO’s Telepresence System. The first phase of Songdo opened
in August 2009. However, the construction of the city has been progressing slower than anticipated
ever since. According to Shwayri (2013), for now Songdo is more of a wealthy suburb of Incheon city,
mostly populated by locals.

On the technological front, a brand new city offers the chance to build some futuristic hardware.
Songdo has been designed with sensors to monitor temperature, energy use and traffic flow. These
sensors can ─in theory ─alert you, personally, when your bus is due; or let the local authority know
about any problems.

A lot of these innovations are designed with the environment in mind ─charging stations for electric
cars, for example, or a water-recycling system that prevents clean drinking water being used to flush
office toilets.

The waste disposal system has no rubbish trucks trawling the streets or vast bins dotted around blocks
of flats. Instead, all household waste is sucked directly from individual kitchens through a vast
underground network of tunnels to waste processing centres where it's automatically sorted,
deodorised and treated to be kinder to the environment. Once fully operational the household waste
will be used to produce renewable energy .

Figure 32: The Waste Collection System

Source: Williamson (2013)

4.3.10 Sino-Singapore Guangzhou Knowledge City (China)

The Sino-Singapore Guangzhou Knowledge City (SSGKC) project continues as the next iconic project of
Sino-Singapore cooperation after the Suzhou Industrial Park and Tianjin Eco-city. The vision of SSGKC
is to be a unique, vibrant and sustainable city that is highly attractive to both talents and knowledge-
based industries, and to serve as a model and catalyst for Guangdong’s economic transformation.

SSGKC is located in the northeast of Guangzhou City, between the second and third ring roads. It sits
35 km, or merely a half-hour drive, from the Guangzhou city centre and 25 km from Guangzhou
Baiyun International Airport. SSGKC itself has a total site area of 123 sq km, half of which will be

47
preserved as forest; the remaining 60 sq km of land is being developed in phases over the next 15 to 20
years. The Metro, regional high speed rail and expressways are also being constructed to serve the site
in tandem with its development phasing. When fully completed, SSGKC is expected to house a live-in
population of more than 500,000 people, serving more than two million people in the immediate
vicinity.

Figure 33: Location of Sino-Singapore Guangzhou Knowledge City –

at the Heart of Pearl River Delta

Source: SSGKC (n.d.)

Six pillar industries have been identified for development, namely: Next Generation Information &
Communication Technology (ICT); Biotechnology & Pharmaceuticals; Clean Technology; Next
Generation Materials; Culture & Creative Industries; and Science & Education services.

The goal is to build a home for all to live, work and play through the strategic initiatives of Smart City,
Eco City and Learning City, complemented by Software Collaboration projects and programmes where
Singapore’s experience can be adapted. These three major elements underlie and permeate every
aspect of SSGKC’s development, making it a hub for innovative knowledge-based industries and an
ideal habitat for living.

SSGKC will be a Smart City, integrating urban management systems, powered by leading information
and telecommunication technologies which will drive sustainable economic growth, a high quality of
life, and wise management of natural resources.

SSGKC will be an Eco City, integrating urban planning with energy efficiency, water efficiency and
other sustainability solutions. All buildings in SSGKC will comply with green building standards, and
the transportation system will comprise of green vehicles that use renewable energy.

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SSGKC will be a Learning City, to enable the city’s government, residents and enterprises to interact
and to provide the foundation for transformation into a knowledge economy. In the Learning City, all
residents will have access to information resources and quality educational opportunities.

Figure 34: Sino-Singapore Guangzhou

Knowledge City – Strategic Collaboration

Source: SSGKC (n.d.)

4.3.11 Masdar City (UAE)

Masdar City combines state-of-the-art technologies with the planning principles of traditional Arab
settlements to create a desert community that aims to be carbon neutral and zero waste. The 640-
hectare project is a key component of the Masdar Initiative, established by the government of Abu
Dhabi to advance the development of renewable energy and clean-technology solutions for a life
beyond oil. The city will become a centre for the advancement of new ideas for energy production,
with the ambition of attracting the highest levels of expertise. Knowledge gained here has already
aided the development of Abu Dhabi's 'Estidama' rating system for sustainable building.

Figure 35: Masdar City Project

Source: Foster+Partners (2008)

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A mixed-use, low-rise, high-density development, Masdar City includes the headquarters for the
International Renewable Energy Agency and the Masdar Institute. Strategically located for Abu
Dhabi's transport infrastructure, Masdar is linked to neighbouring communities and the international
airport by existing road and rail routes. The city itself will be the first modern community in the world
to operate without fossil-fuelled vehicles at street level. With a maximum distance of 200 metres to
the nearest rapid transport links and amenities, the city is designed to encourage walking, while its
shaded streets and courtyards offer an attractive pedestrian environment, sheltered from climatic
extremes. The land surrounding the city will contain wind and photovoltaic farms, research fields and
plantations, allowing the community to be entirely energy self-sufficient.

The development is divided into two sectors, bridged by a linear park, and is being constructed in
phases, beginning with the larger sector. The master plan is designed to be highly flexible, to allow it
to benefit from emergent technologies and to respond to lessons learnt during the implementation of
the initial phases. Expansion has been anticipated from the outset, allowing for growth while avoiding
the sprawl that besets so many cities. While Masdar's design represents a specific response to its
location and climate, the underlying principles are applicable anywhere the world. In that sense it
offers a blueprint for the sustainable city of the future (Foster+Partners 2008).

Masdar City covers an area of 6 sq. km. By 2020 it is hoped that the new town will have 50,000
inhabitants, plus 40,000 non-resident workers. It is certainly one of the most radical Smart City
projects. With its ambitious energy policy, meticulous architecture and high quality research and
innovation centre, Masdar could become a model for future town planning from scratch, although it
might not be feasible to apply all aspects of the project to the re-development of traditional cities
(Villemandy n.d.).

Figure 36: Masdar Personal Rapid Transit (PRT) Station

Source: Seifert (n.d.)

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 Figure 37: Masdar PST Pod Car Running Underground

Source: Seifert (n.d.)

4.3.12 Boston Innovation District, Boston, (USA)

The Innovation District is the City of Boston’s initiative to transform 1,000 acres (405 ha) of the South
Boston waterfront into an urban environment that fosters innovation, collaboration, and
entrepreneurship. It is located on the South Boston waterfront, and includes the Fort Point
neighbourhood, Seaport Square, Fan Pier, as well as the Marine Industrial Park. It is adjacent to Logan
International Airport, and at the nexus of two major interstate highways.

It also contains the largest tract of underdeveloped land in the city of Boston, and is an area with
opportunity for growth, a strong existing knowledge base, and the ideal location for producing new
ideas, new services and new products. In a short span of time it added over 5,000 new jobs in over 200
new companies (Boston University n.d.).

The Innovation District emphasises three core principles:

1. Urban Lab: Opportunities for testing groundbreaking technologies

 New chances to experiment with clean energy, citizen participation, transportation, and social
infrastructure
 It is a testing ground for collaborative efforts between the city and its partners
 Successes can be scaled and translated to benefit all neighbourhoods

2. Sustainable Leadership: Breaking new ground for sustainable growth

 The development of 1,000 acres (405 ha) of iconic waterfront property will change the way
residents, workers, and visitors interact with the environment
 The district can maximise this waterfront land in the present while ensuring sufficient resources
and enjoyment for future generations

3. Shared Innovation: All Bostonians can benefit from the shared idea economy

 The establishment of a hub for emerging ideas and a development space to create new best
practices will benefit citizens throughout the city
 New creative policy strategies can position Boston at the forefront of urban economic development

In addition to core principles, three key strategies guide the development of the Innovation District:

1. Promote Collaboration: Create clusters of innovative people

 People in close proximity innovate faster and share technologies and knowledge more easily
 Ideas need a supportive and close-knit ecosystem to foster creative growth

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 Small firms can generate ideas and intermingle with larger firms that provide access to capital

2. Provide Public Space + Programming: Support social infrastructure to foster an innovative

ecosystem

 An abundance of collaborative venues and open space is critical for fostering the creative process
 District Hall, now open, is the world’s first free-standing public innovation centre.

3. Develop a 24-Hour Neighbourhood: Provide amenities for flexible lifestyles

 Innovation housing, like the apartments found at Factory 63, provide a residential-work spaces for
innovators to collaborate
 The City of Boston is working to introduce more housing options to fit the range of lifestyles and
needs of the innovation workforce
 The Innovation District is filled with world-class restaurants, an active nightlife, and cultural
institutions
 Transit options are readily available, as the Innovation District has easy access to South Station,
Logan Airport, and the MBTA Red and Silver lines

Figure 38: Location of Boston Innovation District


Source: Boston Innovation District (n.d.)

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 Figure 39: A Growing Mix of Innovation Business

Source: Boston University (n.d.)

4.3.13 Smart City Malta

Malta is situated at strategic crossroads of the established European market, the rapidly growing
North African market and the Middle Eastern market. The island is logistically well placed with its
modern port and efficient distribution facilities and has considerable experience in serving some of the
world’s most demanding markets.

Located in the heart of the Mediterranean and known for its stable economy and pro-business
government, Malta is the ideal setting for companies looking to serve the Europe and North Africa
region.

Figure 40: Schematic 3D Model of Malta Smart City

Source: (Smart City n.d.)

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 Figure 41: Malta Smart City Master Plan (Residential Units highlighted)

Source: Smart City (n.d.)

Smart City Malta claims the most advanced and reliable ICT infrastructure available in Malta today. In
2007, the World Economic Forum ranked the Government of Malta as the second most successful in
the world in terms of promoting ICT. Through a progressive integration of technology and services,
Smart City Malta has developed its proprietary ICT Infrastructure concept to meet the technical
demands of mission critical digital operations.

Key features include:

 Access to the Metro ethernet network, which enables a high bandwidth of up to 1GB and a secure
remote connection.

 High-speed internet connections for all homes and businesses

 A propriety network distribution centre and a fully digital telecommunications network with high-
capacity undersea fibre-optic cables linking Malta to mainland Europe

 A fully redundancy power system, with a large scale power distribution centre that is fed with
33kV power from two sources via a dedicated protected tunnel – assuring business continuity

Within its modern campus, Smart City Malta provides ready-to-operate, modern, fully serviced
commercial spaces that cater to the needs of knowledge-based enterprises for a range of companies.
From development through to execution, Smart City Malta has consulted with construction specialists
to ensure that the environmental impact of the campus remains at a minimum and benefits of
practices result in transferrable cost savings for the business partner.

Harmonious in design, Smart City Malta has been created as a self-sustaining township, balancing
office spaces with unique lifestyle elements that foster job creation, encourage job retention and
employee satisfaction.

Open green spaces and thoughtful outdoor areas create a community that enriches quality of life.
Spacious homes will be available for employees, while visitors are welcomed with an array of hotel
choices. Convenient retail outlets, restaurants and cafés enliven each day, while educational and

54
health-care institutions are all well within reach, promoting individual well-being, development and
peace of mind.

4.3.14 Smart City Kochi (India)

Smart City Kochi (SCK), a joint venture between Smart City Dubai and the Kerala government, has
approved the concept master plan of the project. The project will enjoy a single special economic zone
(SEZ) status as per guidelines for SEZs being initiated by the Government of India.

The project will be considered single even though there is a water-body separating the land into two
parts. The project, sprawling over 246 acres (100 acres) at Edachira, Kakkanad is expected to generate
90,000 direct jobs when fully complete in 2019.

The first IT building of Smart City Kochi is being constructed on 11acres (4.45 ha) and is expected to
become operational sometime in mid 2015.

Figure 42: Smart City Kochi Master Plan

Source: Smart City (n.d.)

4.3.15 Barcelona's 22@ Barcelona (Spain)

22@Barcelona project transforms two hundred hectares of industrial land of Poblenou into an
innovative district offering modern spaces for the strategic concentration of intensive knowledge-
based activities. This initiative is also a project of urban refurbishment and a new model of city
providing a response to the challenges posed by the knowledge-based society.

It is the most important project of urban transformation in Barcelona city in the last few years and one
of the most ambitious in Europe, with a high real estate potential and a 180 million euros public
investment infrastructure plan. The transformation of the old industrial areas of Poblenou into a high-
quality environment for working, living and learning as part of the 22@Barcelona project is seen as an
urban, economic and social refurbishment achievement (Barcelona City Council n.d.).

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 Figure 43: Location of 22@Barcelona in Barcelona Metropolitan Area

Source: Barcelona City Council (n.d.)

As a project of urban refurbishment it to recover the social and economic dynamism of Poblenou and
creates a diverse and balanced environment where the different facilities coexist with subsidised
buildings, equipment and green spaces that improve life and working quality.

As a project of economic refurbishment, it constitutes a unique opportunity to turn Poblenou into an

important scientific, technological and cultural platform, transforming Barcelona into one of the most
dynamic and innovative cities in the world.

As a project of social refurbishment, it facilitates interrelationships between different professionals

who work in the area and encourages participation of the district's neighbours in the opportunities
information technologies offer.

The 22@ district of Barcelona will become a region where companies, knowledge centres and
entrepreneurial institutions converge to create a new cluster of innovation that will educate, research
and develop solutions for Smart Cities and the City Protocol (CISCO 2011).

In the 22@ district, Barcelona has consolidated a diverse, balanced, sustainable environment, in which
the most innovative companies and universities coexist with housing, facilities and green zones. On
one hand, the area features the Smart City Campus-22@, which will be home to companies,
universities, entrepreneurs and research centres in ICT, ecology and urban planning, with the aim of
becoming a benchmark technology for Smart Cities. On the other, the UPC and administrations are
promoting the Diagonal Besòs -22@ Campus (b_TEC) in order to create an area of excellence in
internationally renowned research in the energy, sustainable mobility, materials technology and
biomedical engineering sectors.

22@Barcelona is a case that shows the creation of an innovation ecology in a city from a public policy.
The project layering in Hard Factors, Soft Factors, Business and Talent, vertically integrated by
Governance is establishing a model exportable to other cities.

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 Figure 44: 22@Barcelona Metamodel

Source: Pique (2013)

The communication process has been a key project. From the constitution of the trademark (22@) to
media appearances, it has responded to the communication strategies to position itself both locally and
globally. From an international perspective, 22@ has been a landmark project visited by hundreds of
delegations. 22@ is a model of inspiration. But the challenge of every city is find their own 22@, one
that maximises its assets and articulates a smart strategy to create the best economic and social
development (Pique 2013).

4.3.16 Climate Smart Hyllie, Malmo (Sweden)

Hyllie is an unrealised housing project in the 1970s which left a gap in the city's outer rim. A 3000km2
undeveloped land, mostly owned by the City of Malmo and its potential has been realised by the City
Tunnel connection. Hyllie can be reached in six minutes from Malmo Central, 13 minutes from
Kastrup International Airport and 27 minutes from Copenhagen Central. It is being planned for 9,000
apartments and 9,000 work places in a dense city-structure.

According to a contractual agreement between the city of Malmö and the main energy and waste and
water providers, Hyllie, a new district made up of 8,000 homes, will become the most climate-smart
area in the entire Öresund region. By 2020 its energy provision will be 100 percent renewable (WWF
Earth Hour Challenge n.d.).

Figure 45: Malmo and Hyllie Region

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 Source: Nordqvist (2014)

Hyllie, Malmö´s largest development area, will lead the way towards Malmö becoming a sustainable
city. It is at the forefront of the development of a sustainable energy system. By as early as 2020,
Hyllie will be 100 percent sustained by renewable or recycled energy. To reach this high sustainability
goal, the City of Malmö, VA SYD and E.ON, in 2011, signed a climate contract for Hyllie. Under this
contract, the City of Malmö, VA SYD and E.ON, jointly undertake to lay the foundation for it to become
the most climate-Smart City district in the Öresund region and a global benchmark for sustainable
urban development. The area will integrate, for both electricity, heating and cooling, the smart grids
and other intelligent energy solutions that will hallmark the future. A sustainable approach to
transportation, waste management and recycling are other key cornerstones in Hyllie.

Malmö is the first major city in Sweden to introduce mandatory sorting of food waste. This waste will
be used to make biogas for such purposes as fueling buses and garbage trucks. In Hyllie solutions that
will make recycling and waste sorting easy will be developed. For transportation the city aims to make
it easy to walk, bike or use public transportation instead of taking your car. If you still need a car,
there will be access to carpooling. It will also be easy to charge your electric car or fill up using biogas
(Malmo Stad 2014).

Figure 46: Development Timeframe of Hyllie

2013

Source: Nordqvist (2014)

4.4 Smart Initiatives

4.4.1 Fix my street (UK)

Launched in February 2007, Fix My Street is a web service to help people report, view, or discuss local
problems with their local council by simply locating them on a map. Built by MySociety, a not-for-

58
profit company, in conjunction with The Young Foundation, Fix My Street smartly routes reports of
things that are broken or dumped or need fixing, cleaning or clearing, direct to the relevant council in
the UK. Similar systems include CitySourced in the USA, which uses an iPhone ‘app’ as the primary
interface (Arup 2011).

Figure 47: Fix My Street

Source: Arup (2011)

4.4.2 Low2No, Helsinki (Finland)

Low2No is a design and construction project which seeks to deliver a more sustainable built
environment and lays a foundation for ecological urban living. Low2No is designed to engage the
existing city; balance economy, ecology and society through strategic investments and interventions,
and catalyse the long-term market transformation away from energy and material intensive urbanism.

The term “Low2No” originates from the belief that a gradual and iterative transition from low carbon
to no-carbon city building is a more viable and resilient approach to the sustainability challenge than
building new eco-cities on uncontested ground. The model, and its first iteration in a city block in
downtown Helsinki test the regulatory, financial and cultural barriers to low carbon building, and
work to overcome them through targeted projects, investments, events and partnerships. For instance,
one of the project’s early successes was to work with the authorities to make multi-story timber
construction legal in Finland, providing future projects with the possibility of using low carbon
building materials, whilst opening a new market to the Finnish forest industry.

By building a city block in partnership with private companies Low2No demonstrated that a broader
built environment will become more sustainable only through achieving social and environmental
objectives with economically viable solutions. In many of the world's cities, this means navigating an
often messy regulatory environment, overcoming the challenges and inertia of legacy and engaging an
expanded group of stakeholders to ensure that solutions are possible, impactful and lasting. “After all,
building sustainable cities is no longer a technological challenge - we have the technology in hand - it
is a cultural challenge.”

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Low2No approaches the city from the side, oblique, bottom and top. Policy, finance and culture are the
Low2No designer's central capacities.

Figure 48: Low2No Sustainability Framework

Source: Sitra (n.d.)

The Low2No development is intended to become an exemplar in terms of carbon neutral urban
development, including Smart City solutions.

4.4.3 Barangaroo, Sydney (Australia)

Barangaroo is one of the most ambitious smart urban renewal projects in the world today, embodying
world-class design excellence and sustainability. It is one of the world’s foremost waterfront renewal
projects and showcases Sydney as Australia’s gateway to the world. The 22 hectare, $6 billion
Barangaroo precinct will help redefine the western edge of Sydney Harbour and be a lasting legacy for
future generations. Barangaroo will provide space for over 24,000 permanent jobs, generate
approximately $2 billion per annum to the New South Wales (NSW) economy and provide over 11
hectares of newly accessible public domain.

The site is owned by the NSW government and managed by the Barangaroo Delivery Authority. The
renewal of Barangaroo will achieve outcomes for the environment field, as being water positive
(exporting more water than it uses), generating zero waste (eliminating more than generating) and
achieving carbon neutrality (generating more renewable energy than it uses). Barangaroo is divided
into three project areas: Barangaroo Point Reserve, Central Barangaroo and Barangaroo South (BDA
n.d.).

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 Figure 49: Barangaroo Outline Design Plan

Source: BDA (n.d.)

An informatics strategy for the Barangaroo project includes smart demand management techniques
through engaging public interfaces onto the state-of-the-art sustainable infrastructure. The
informatics services will address water use, energy use and other resource use. Yet the development
will also benefit from a pervasive approach to ICT that enables smart workplaces and co-working
spaces across the public domain. Responsive public interfaces will display sustainable infrastructure
patterns, real-time transit activity and community information, as well as enable a public art strategy
(Arup 2011).

4.4.4 Urban EcoMap, Amsterdam (Netherlands) and San Francisco (USA)

Urbanecomap.org is an interactive web service that displays environmental footprints for Amsterdam
and San Francisco (footprints comprises CO2 emissions, waste and transportation activity, broken
down by postal code). Created by CISCO with collaboration on the Urban EcoMap programme with
industry, government and academic leaders, such as Arup, CH2MHill, NASA, the Swiss Federal
Institute of Technology Zurich, the city and county of San Francisco, city of Amsterdam, Amsterdam
Innovation Motor (AIM) and Amsterdam Smart City (ASC), EcoMap attempts to raise awareness and
build community activity around reduction of GHG emissions.

Citizens can make decisions to help decrease the carbon footprint of their geographic regions, their
particular zip code, and their city. They can make these choices by gaining visibility into several key
factors, including the effort required to make the change, the associated cost or financial benefit, and
the environmental impact of the action. Citizens can then share their climate actions with others via
social networking.

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 Figure 50: Waag Society Urban EcoMap

Source: Kresin & Schuurkamp (2009)

4.4.5 WalkFirst, San Francisco (USA)

In April 2013, Mayor Lee issued the Pedestrian Strategy which directed city departments to implement
solutions that would reduce serious or fatal pedestrian injuries by 25 percent by 2016 and by 50
percent by 2021, increase the walkability of San Francisco and make all neighbourhoods safer for
pedestrians. As part of this effort, WalkFirst was initiated to prioritise capital improvements needed
over the next five years to make San Francisco a safer place to walk.

From November 2013 to February 2014, over 3,700 people visited the WalkFirst website and 400 more
provided direct feedback through focus groups and an online survey to share their thoughts about the
pedestrian improvements that they would like to see the city implement. Based on the crowd sourcing
of requirements for the WalkFirst the following elements were prioritised:

 Leading Pedestrian Intervals

 Pedestrian Countdown Signals
 Automated Speed Enforcement
 Locations with seniors, children, and people with disabilities to be prioritised for safety
improvements
 Solutions that recognise the diversity of neighbourhoods and have community support
 Complex intersections to be made safer and less confusing for people who walk

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 Figure 51: Learning's from pedestrian safety data

Source: SFMTA (2014a)

4.4.6 Driverless Vehicles, Las Vegas (USA)

Nevada has become the first state to approve driverless cars by accepting an application for the Google
car to drive on its roads. Bruce Breslow of the Nevada Department of Motor Vehicles also revealed a
special license plate for driverless cars. The plate will display an infinity symbol, which according to
Breslow is a symbol that best represents this futuristic technology. Nevada defines driverless cars as
using "artificial intelligence, sensors and global positioning system coordinates to drive itself without
the active intervention of a human operator" (Peckham 2012).

Figure 52: A Google Rendering of What a Self-driving Car “sees.”

63
 Source: Peckham (2012)

Owners of a Google car or similar driveless cars will need to obtain a special driver license and comply
with specific regulations. For example, the cars must be equipped with smart boxes and owners will
be responsible for how the car functions. California, Hawaii and Florida are also considering similar
legislation for driverless cars (Belaire 2012).

4.4.7 NYC Hyper-local Smart Screens, New York (USA)

This is an interactive platform that integrates information from open government programmes, local
businesses, and citizens to provide meaningful and powerful knowledge anytime, anywhere, on any
device. In short, City24/7 delivers the information people need to know, where and when it helps them
most. This information is displayed on durable, yet easy-to-use Smart Screens that replace unused and
often outdated public furniture such as pay phones located at bus stops, train stations, major
entryways, shopping malls, and sports facilities.

Figure 53: City 24/7 Smart Screen Solutions

Source: Frazier & Touchet (2012)

City24/7 Smart Screens incorporate touch, voice, and audio technology to deliver a wide array of
hyper-local (about two square city blocks) information, services, and offerings in real time. The Smart
Screens can also be accessed via Wi-Fi on nearby smartphones, tablets, and laptop computers. In
addition to supplying information about local events and merchants, City24/7 Smart Screens keep
people safe by providing security alerts for the immediate area. The City24/7 Smart Screens are also

64
designed to deliver “access for all” by offering information in a variety of languages and supporting
people with disabilities. According to Frazier & Touchet (2012) Smart Screens include:

 An induction loop and headphone jacks for the hearing-impaired

 A high-contrast screen mode for the sight-impaired
 Visual recognition for people with guide dogs and walking canes
 Way finder key-fob access and mobile applications for the blind
 A patent-pending flip screen for people in wheelchairs

4.4.8 ‘Oyster’ smart ticketing Cards and London Data Store, London (UK)

The capital is already considered a pioneer in the field of Figure 54: TFL Oyster Smart Card
smart mobility, mainly through the implementation of
congestion charging, ‘Oyster’ smart ticketing, and the
release of real time travel information for buses. To
develop this further, with the help of UCL, Transport
for London is using the data collected from Oyster cards
to understand congestion patterns and plan future
investment. Other initiatives include Talk London,
which is an interactive website aimed to involve
citizens in policy debates, and the London Data Store,
which gives citizens access to data from different
Source: GLA (2014)
public departments.

4.4.9 Go ON, Manchester (UK)

Go ON is a national campaign to promote digital inclusion. The key focus is to bring the benefits of the
Internet to every individual, organisation and community in the UK. Local partnerships are being
encouraged to plan local action including recruiting Digital Champions to support this.

Figure 55: Go ON UK Campaign Cover for Digital Champ 2015

Source: Go ON UK (2015)

Manchester City Council is working on the Manchester partnership with a range of organisations,
including Unionlearn, Manchester College, the Chamber of Commerce, the Manchester Digital trade
association, social housing organisations, local digital and creative networks, including the Manchester
Digital Lab (MadLab) and a wide range of voluntary and community organisations.

65
As part of their support for the partnership, leading local organisations are pledging to support Go ON
Manchester and are encouraging their staff and users to become Digital Champions.

The benefits of digital inclusion can be life transforming:

 Small businesses that go online grow twice as fast as their competitors

 Households save up to £560 per year shopping and paying bills online
 The estimated increased lifetime earnings of all children being online in Manchester is £78.5
million
 The estimated increased lifetime earnings of the unemployed going online in Manchester is £6.7
million
 Government services are going online. Residents and businesses can make a payment, report a
problem and request a service, anytime and anywhere they want, with all the convenience that
this brings
 Online transactions will keep Council costs down and improve efficiencies, so encouraging
customers to do it online will benefit the Council substantially and sustainably
 Customers will have a personalised, self-service web experience with a breadth of localised
services at their fingertips.

The Go ON Manchester Digital Champions campaign is aimed at everyone who feels they have
something to offer. It will help people to go online in the first place, help local businesses to improve
their online presence and enable people, businesses and community organisations to develop new skills
and capacities.

4.4.10 Solar-Powered Supertrees, Singapore

The Asian city-state of Singapore is abundant with vegetation. Tall trees form canopies along
roadways and their branches thread through narrow gaps between highway ramps and overpasses.
Palm trees cluster everywhere, and exotic ferns and flowering plants adorn the exteriors of office
complexes, government ministries and the ubiquitous public housing high-rises that are home to 80
percent of the citizenry. Median strips brim with lush green hues of carefully maintained flora. Rising
above the downtown jungle are still more trees, these of an otherworldly height. They’re 18 man-made
“supertrees,” some 50 meters tall, erected by the city as part of a new downtown development. The
metal-frame sculptures are hung with vertical gardens, mimicking the fronds and blooms below.
They’re futuristic and bold: a perfect encapsulation of the Singapore of the moment.

Figure 56: Solar Powered Supertrees

Source: Hatch (2013)

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Singapore teems with greenery, but it also pulsates with information ─streams of data run through
almost every part of the city’s physical geography. The supertrees aren’t merely aesthetic. They
operate as temperature moderators, absorbing and dispersing heat. They collect rainwater and act as
ventilation ducts for conservatories nearby. Several are outfitted with photovoltaic cells to generate
solar power. A Biodiversity Index, launched in 2008, mines data on 23 indicators ─ such as the
proportion of natural versus developed areas and the amount of carbon dioxide that trees convert to
oxygen ─to help balance development with green space (Hatch 2013).

4.4.11 Sustainable City Management, Curitiba (Brazil)

The south Brazilian city is regarded as an innovator in everything from bus-based rapid transit, used
by approximately 70 percent of residents, and its balanced, diverse economic development strategy.

With a population of 3.5 million, Curitiba demonstrates how to achieve the evolving Brazilian dream
without the mass violence, transportation dysfunction and ubiquitous grinding poverty that plague
many other Latin American metro areas. The bus system has been a key feature of Curitiba’s
development. The buses are long, split into three sections and stop at designated elevated tubes,
complete with disabled access. There is only one price, no matter how far you travel, and you pay at
the bus stop. It has been a model for other cities trying to achieve more sustainable movement of
people and is used by 85 percent people living in the city (Newint.org 2014).

Figure 57: Curitiba Transit System

Source: I4P (2014)

The city’s programme of building “lighthouses” – essentially electronic libraries – for poorer residents
– has become a model for developing cities worldwide (Kotkin 2009).

The city of Curitiba, in Brazil, started in the 1990s the "Lighthouses of Knowledge" project. Fifty of
them, brightly coloured, glassy lighthouse-shaped towers, are spotted through the neighbourhoods.
These Lighthouses are free educational centres which include libraries, Internet access, and other
cultural resources for citizens aged three to 80. This community libraries work with municipal schools,

67
have a collection of approximately 5,000 books, are a cultural reference and leisure centre for the
community, and are designed to diversify the opportunities of access to knowledge, expanding the area
of formal education (I4P 2014).

4.4.12 Yokohama Smart City Project, Yokohama (Japan)

The Yokohama Smart City Project (YSCP) is one of the largest Smart City demonstration projects in
Japan. The project targets three Yokohama-based areas, Minato Mirai, Kohoku New Town, and
Kanazawa Green Valley, with a combined area of around 60 sq.km and a population of more than
420,000 people in 170,000 households. The project will demonstrate energy management and demand
response (DR) across a wide area with the goal of “building social systems targeting a 30% reduction in
CO2.” Wide-area energy management will be conducted by linking CEMS for regional control, HEMS in
homes and BEMS in commercial-district buildings. HEMS will be introduced in 4,000 homes in a bid to
save electricity and reduce CO2 through power usage visualisation and support for demand response
(Toshiba 2013).

Figure 58: Community Energy Management System (CEMS)

Source: Toshiba (2013)

4.4.13 Bicing, Barcelona (Spain)

Bicing is the name of a community bicycle programme of the city of Barcelona created in March 2007.
It aims to make available to citizens bicycles for commuting within the city, with an economical and
sustainable transportation mode. Its purpose is to facilitate short daily trips but not for tourism or
recreational use.

Users must acquire a yearly membership. The system has a network of more than 400 stations to loan
and return the bicycles distributed throughout the city. Most stations are situated next to public
transport stops or public parking to facilitate and promote intermodality. Since the start, the service
has registered more than 50 million uses and has 120,000 registered users.

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A number of types of traffic separators for bicycle lanes have been tested in the 22@ district to find
out which of the pilot projects contributed to improved circulation and safety for cyclists while not
preventing traffic from running normally. One of the products tested and commercially developed is
ZEBRA, a traffic separator for cycle lanes with high reflecting painted strips for increased visibility,
and engineered curves and internal structure to ensure mechanical resistance. A ZEBRA separator is
100 percent recycled and recyclable made of the heavy fraction of the electrical wires plastic covers.

Figure 59: Bicing Map with Stations

Source: (Barcelona City Council 2014)

4.4.14 San Francisco SFpark Pilot (USA)

SFpark is a federally-funded demonstration of a new approach to managing parking. It used better

information, including real-time data where parking is available, and demand-responsive parking
pricing to help make parking easier to find. As a federally-funded demonstration of a new approach to
managing parking, the SFpark project collected an unprecedented data set to enable a thorough
evaluation of its effectiveness.

The San Francisco Municipal Transportation Agency (SFMTA) evaluated the SFpark pilot project to see
how effectively this approach to managing parking delivered the expected benefits. The evaluation
showed that after implementing SFpark, San Francisco saw:

 Average parking rates became lower

 Parking availability improved
 It is easier to find a parking space
 It is easier to pay and avoid parking citations
 Greenhouse gas emissions decreased
 Vehicle miles travelled decreased

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SFpark optimises the use of existing parking resources to benefit drivers and everyone else who spends
time in San Francisco. Public transit riders, bicyclists, pedestrians, business owners, residents and
visitors can all expect this innovative new parking management project to improve their quality of life
in the following ways.

 Easier parking: SFpark makes finding and paying for parking faster and easier. Demand-
responsive pricing information online, via text, and through smartphone apps helps drivers
find a space. Longer time limits and new meters that accept credit/debit cards, SFMTA parking
cards and coins make parking more convenient and result in fewer parking tickets.
 Faster public transit: Decreasing the number of drivers circling and double-parking will help
keep roads clear so Muni and emergency vehicles can get through streets faster and more
reliably.
 Safer bicyclists and pedestrians: Drivers looking for parking are frequently distracted and fail
to see bicyclists and pedestrians. Less double-parking and circling means fewer accidents and
safer roads.
 Better business neighbourhoods: With parking faster to find and pay for, it’s easier to enjoy
the city's commercial areas. Less congested, safer and more pleasant neighbourhoods mean
better business. Plus, with less smog and greenhouse gas, the air is cleaner.

SFpark tested wireless parking sensors, new meters and demand-responsive pricing in neighbourhoods
across the City from spring 2011 to spring 2013. The pilot areas include Civic Center/Hayes Valley, the
Financial District, SoMa/Mission Bay, the Mission, Fisherman’s Wharf, the Fillmore and the Marina.
SFpark publicly shares extensive information about the project.

Figure 60: SFpark Pilot Areas

Source: SFMTA (2014b)

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4.4.15 Big Data and Da Nang (Vietnam)

Vietnam’s fourth-largest city has one of the highest population growth rates in the country. It’s
challenging to keep its drinking water clean and its traffic moving.

During water treatment, samples used to be manually collected and analysed. But the city’s water
utility has automated the process by installing sensors throughout the system to measure salinity, pH
and chlorine levels in real time. The utility’s workers receive alerts and notifications when readings
stray from norms or when analysis indicates that water quality has changed.

Figure 61: Da Nang City

Source: Whitworth (2014)

Da Nang is reducing traffic congestion by installing a traffic-control centre that uses big-data
techniques and predictive analyses to better coordinate city responses to accidents and bad weather.
With its system, Da Nang’s transportation department also has real-time information on its buses,
including their location, speed, and predicted journey times. From a website, travellers can find
timetables and learn about estimated arrival times and changes to bus routes (Pretz 2014).

4.4.16 Rio Operations Centre, Rio De Janeiro, Brazil

Rio Operations Center employs a high resolution weather-forecasting and hydrological-modelling

system that can predict heavy rains up to 48 hours in advance. Forecasts are based on a unified
mathematical model of Rio that pulls data from the city’s river basin, topographic surveys, the
municipality’s historical rainfall logs, and radar feeds. Along with predicting rainfall, the system can
anticipate flash floods and mudslides, and the city has begun to evaluate the effects of weather on
traffic and on the supply of electric power.

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 Figure 62: Rio De Janeiro Operations Centre

Source: Tama (2014)

Residents can access daily information from the centre’s Facebook and Twitter feeds to get updates on
weather and traffic as well as recommendations for alternate routes during crowded special events
(Pretz 2014).

72
 CHAPTER V -
India's Smart Cities Mission
5.1 Introduction

This chapter is structured on the four key aspects - Definition analysis, Approach, Financing, and
Challenges of the India's Smart Cities Mission. The mission guidelines (annexure 02) include outline of
the roll out strategy and implementation mechanisms. Analysis of the relationship between the theory
(Chapter 1,2,3), practice (Chapter 4), and policy framework of India's mission is presented as part of
this chapter.

5.2 Definition Analysis

The mission guidelines explicitly agree to the fact that there is no universally accepted definition of a
Smart City. Definitional boundaries required to guide the cities under this mission are based on holistic
development of urban ecosystem. The strategic areas (as mentioned in section 2.2 Theory of Strategic
Priority Areas) of the mission are derived from the four pillars of comprehensive development -
institutional, physical, social and economic. It is envisaged that the cities will eventually achieve the
goal of comprehensive development incrementally, by adding on the layers of 'smartness'.

Figure 63: Strategic Priority Areas of the Mission

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The layers of smartness of the mission are:

1) 'Core' Infrastructure layer

2) 'Sustainable' Environment layer
3) 'Area based' Development layer
4) 'Smart' Technology layer

Based on the taxonomy analysis of the strategic priority areas, mission statement, literature in
guidelines document, a hexagonal model of Smart Cities dimensions is derived with the following as
the components:

1. Infrastructure
2. Governance
3. Inclusive
4. Sustainable
5. Citizen Centric
6. Safety
Although the model is not an adaptation of the existing framework, it is robust in nature considering
the relevance of components with the status quo of Indian cities and its potential to leapfrog the
challenges. In addition, cities have the flexibility of prioritizing these strategic areas based on the city
vision and aspirations of the communities.

5.3 Approach

The Smart Cities mission focus is on sustainable and inclusive development. The mission approach is
unique in concept with established methodologies for various levels such as visioning, planning,
implementation, and evaluation; and integrative model of smart city framework. The following are the
five key sub-systems of this framework:

i. Convergence approach for Comprehensive Development (Visioning)

ii. Compact area approach for city development (Planning)
iii. Strategic Planning approach for Smart City Proposals (Implementation)
iv. 'Smart Citizenry' approach for participatory planning (Implementation)
v. Incremental approach in selection of cities (Evaluation)

5.4 Financing of the Smart Cities

5.4.1 Introduction

Inadequate funding is a serious challenge facing local governments in developing countries for
financing the smart cities and to smarten up urban infrastructure, operation and maintenance
mechanism, and urban basic services delivery. These projects are capital intensive and expensive
because of their nature, size, technologies and materials they use, and area they cover. They are built
to last for a long time and hence require capital improvements on a periodical basis. To most municipal
governments, raising adequate revenues from own sources is a mammoth task and this requires
strategic urban planning with efficient and effective legal, regulatory frameworks. Mobilization of

74
adequate revenue by local governments from own sources is key to manoeuvring this locally driven
development process.

5.4.2 Financial Mechanisms

While there is a need for greater sharing of financial resources between the central and local
governments, the potential sources currently available to local authorities for generating revenue
should also be fully exploited. In addition, urban authorities should also explore the use of non-
conventional instruments for generating additional financial resources.

Government-led financing, development exactions and public-private partnerships are all groups of
financing tools in which public sector money plays a significant role. The challenge in recent years has
been attracting more private investment into the finance market for smart infrastructure projects.
Leveraging private sector funds, which are potentially larger pools of finance capital, can be useful for
financing projects that will improve liveability and have long-term impacts on a city’s economy. (BCC
& Habitat n.d.).

5.4.3 Categories of investments

The core infrastructure layer as mentioned in the mission guidelines is key to transform the Indian
cities into smart. Primarily three categories of investments in infrastructure are required for delivering
smart urban infrastructure, i.e., basic infrastructure, network level infrastructure-sensors installed to
monitor parameters related to service delivery, and, integrating infrastructure - Information and
communication technology (ICT) solutions. In terms of cost, the second category requires significantly
lower investments and usually accounts for only 8-10 percent of investments in basic infrastructure.
Given the significant time and investments required for new basic infrastructure, augmentation of the
existing infrastructure by installing network level sensors and integrating ICT solutions can transform
them into smart infrastructure. This intervention will increasing the operational efficiency and
thereby overall basic infrastructure gaps can be bridged (Guha 2015).

5.4.4 Financing Models

Implementing Smart City solutions is financially challenging. Urban services models can streamline
this transition by defining the city’s baseline capital projects, schedule during land use master
planning, and ICT needs upfront. In essence, Urban Services models allow the private sector to build a
roadmap for the public sector’s Smart City vision with realistic deliverables that are grounded with
tangible service level agreements and metrics over a multi-year operations contract. The right
financial environment is necessary to ensure sound risk return profiles and sustainable business
models (Guha et al. 2015). The following is an indicative list of some of the innovative financing
models for Smart Cities in India by Guha et al. (2015):

i. Municipal bonds / Sector Specific bonds

ii. Pooled finance development fund
iii. Public Private Partnership (PPP) models and performance contracts
iv. Land use financing
v. Securitization through structured finance

5.4.5 Opportunities for financing Smart Cities in India

Since the Government of India's proposal to develop 100 Smart Cities in May 2014 till May 2015,
prioritization of existing cities and proposals for new cities. The proponents include State government,

75
city government, industry, multilateral donor agencies, research communities and academia. This
included proposals for transformation of existing into Smart Cities and Greenfield Smart Cities across
India. The partnerships between city/state governments and national & global agencies marked the
beginning of this ambitious and necessary step. A cognitive mapping exercise was done as part of this
research study to understand the dynamics of the Smart Cities development in India and present the
status quo and funding opportunities available for cities. The analysis shows the other side of the
Smart Cities market in India. A detailed matrix as annexure 01 includes the details about the
partnership and stakeholders agencies.

The total anticipated outlay of budget proposed by various agencies (national and global) to build
Smart Cities in India, to support the existing innovative initiatives of cities for transforming
themselves into Smart cities is INR 3,59,555 lakh crore, a major 77 percent of the total plan
expenditure of the Union Government of India. The following are some of the countries the donor
agencies represent or are currently located in: United States, Switzerland, Singapore, California,
Germany, Dubai, Spain, China, Hong Kong, Japan, Korea, Qatar Sweden and Netherlands. Cities can
and should take leverage of the external funding sources while preparing the Smart City proposals.

Securing funding sources and establishing financial mechanisms prior to the selection of the Smart
City and non-participation of state-owned infrastructure financing companies are some of the
challenges in the roll out and implementation of Smart Cities (Roychoudhury 2015).

5.5 Challenges

The challenges of climate change, population growth, demographic change, urbanisation and resource
depletion is a common challenge for cities across the world. (Buscher et al. 2010). The following are
some of the specific challenges cities competing to be smart need to address:

 Business models for rolling out smart technologies are still underdeveloped. Even if money was
available for investment, most of the smart technologies are still in their pre-commercial stage of
development and the risk-sharing mechanisms and business models needed to take them forward
are yet to be tested and developed. These mechanisms need to be available before smart
technologies can be publicly procured, mainly because they represent a higher-risk investment for
the cash-strapped public sector. The lack of business models also restricts the availability of
private sector financing, since the uncertain financial returns and long payback periods of many
smart initiatives makes capital markets and traditional commercial financing rather inaccessible
(Hirst et al. 2012).
 Successful implementation of smart city solutions need effective horizontal and vertical
coordination between various institutions involving institutions providing various municipal
amenities as well as effective coordination between central government (MoUD), state government
as well as local government agencies on various issues related to financing, sharing of best
practices and sharing of service delivery processes (Guha et al. 2015).
 Cities find it difficult to work across departments and boundaries. Many of the smart cities
initiatives include integrating different policies and information systems such as linking cycling
with carbon reduction or integrating data relating to unemployed individuals from different
departments onto a single platform. This requires breaking down silos and joint working between

76
 departments and across boundaries. At present, budgets and strategies are rarely coordinated
across departments and data is rarely shared.
 Cities have limited influence over some basic services. Utilities such as gas, electricity, water as
well as bus services, are privatised which makes it challenging for cities to implement city-wide
smart strategies that need the commitment of private utility companies.
 Most ULBs have limited technical capacity to ensure timely and cost effective implementation and
subsequent operations & maintenance due to limited recruitment over a number of years along
with inability of the ULBs to attract best of talent at market competitive compensation rate (Guha
et al. 2015).
 Concerns about data privacy, security and value. Data needed for initiatives such as open data
platforms and the integration of health services is not always accessible. This is mainly due to
privacy and security issues or other difficulties such as the lack of technical knowledge to generate
or manipulate data (Williams 2013).
 Increasing citizen take up and participation is difficult. Currently, cities and the private sector are
finding it difficult to increase citizen participation in the smart agenda beyond the committed few.
This is due to some people having limited access to broadband or not having the skills and
confidence to use the internet – especially in low income communities and among older people.
With e-services and online consultations becoming more popular, this creates the risk of social and
political exclusion among these groups. Moreover, people might not have enough information on
how the technology (such as smart meters) can be used or see it as irrelevant to their daily lives.
Issues around what kind of data citizens value, whether they understand the privacy and security
implications of sharing their data and how smart technologies can benefit them are yet to be fully
explored and understood.

5.6 Summary

India's Smart Cities mission is a catalyst in defining the first roadmap of urban transformation of the
Indian cities and towns into 'Smart and Sustainable Urban Eco-systems'. The vision to build 100 smart
cities in the country has attracted huge investments in the past one year, cities need to develop
integrated strategies to comply with future challenges of urbanization and depleting land resources;
and take leverage of this opportunity. The synchronized launch of three urban missions reflects the
integrated approach of the government to urban development and the connecting elements in the
framework are complementary to enable urban transformation.

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 Chapter VI - Seven Point Agenda
6.1 Introduction

This section will briefly highlight some of the key areas which should be looked into to understand the
DNA of the Smart Cities through three lens - theory, practice and policy. This will enhance the
knowledge of cities and policy makers in spearheading the smart cities movement both globally and in
India.
1. Research studies to derive the smart city definition is an ongoing and iterative process. A
static definition is not the solution. Further research to arrive at the city specific definition
will be of great value to the city agencies in defining the smart city proposal and resulting in
high level of cohesion between the actual needs of the city and perception of proponents of
smart cities.
2. Models analysing the phenomenon of Smart City facilitate the capacity building and
knowledge management within Communities of Practice. With the increasing dynamics in the
stakeholder community, the role of existing actors within the dimensions of Smart City are
either changing or new functions are being added to their portfolio to bring in the robustness
to the implementation strategies. One such attempt is the revised triple helix model by
(Lombardi et al. 2012). In order to reap the benefits from the new data sources like mobile and
internet penetration, sensors on public systems, social media, crowd sourcing of ideas etc.,
Smart Cities require reliable models to estimate the impacts of new initiatives and also to
highlight any unfavourable emerging trends that require intervention. These are unparalleled
in their scope, scale and resolution, and can reveal deep insight into the complex micro-
interactions that drive urban systems. These new insights can be used effectively to improve
the efficiency, sustainability and resilience of cities. Agent based modelling coupled with social
insights from new 'big data' can be a useful resource tool for cities planning to be smart.
(Helbing 2011).
3. Strengthening of municipalities by institutionalizing the municipal cadre and emphasizing on
collaboration between the academia, industry and local government can synergize the local
government initiatives with scope for innovation.
4. Government of India's vision is a leapfrog movement in timeline of Indian cities with respect
economic, environmental and social impact. To operationalise the new urban agenda cities and
move towards Sustainable Development Goals (SDGs), cities needs to adopt the co-creation
approach. It is recommended that cities need to adopt a combination of horizontal and vertical
co-creation so as to increase the possibility of achieving integrative solutions which are need
of the hour.
Solutions derived out of co-creation process have broader impact and yet have potential
failure modes identified before they are implemented at scale. Apart from the solutions being
holistic and integrative, one of the key advantages to co-creation is the engagement of diverse
groups and the various stakeholders buying into the initiative with an increased level of
motivation and ownership.
In case of India's Smart Cities Mission a case of 'How to make use of co-creation tool?' in
presented. 'Horizontal' co-creation can be the capacity building especially peer-to-peer

78
 learning at both national and global level across the urban local bodies. 'Vertical' form of co-
creation can be increasing citizen engagement.
5. India Smart Cities Mission emphasizes following principles integrated, citizen centric and
urban planning. To achieve these aspects the current approach towards city planning needs to
be preceded by a strategic planning exercise which is human-focused and evidence-based
policy scenarios to increase the efficiency of traditional planning approach and also shorten
the planning cycles. It can be based on scenario task methodology to facilitate efficient
decision making, to gauge the impact and performance forecasting apart from real-time
analyses and participative. Moving towards open data and urban planning based on
standardized GIS will augment the strategic planning process by cities as a major step towards
the goal of Smart Cities.
6. Timeline of the Smart City Proposals should be based on principles of New Urbanism. It
should facilitate the transition of incrementally transforming cities towards Smart Urbanism
(Campbell 2011).
7. Cities need to adopt social equity as a key criteria in planning, design, development and
implementation of information and communications technologies (Karlenzig et al. 2011).

79
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Annexure 1
Annexure 2
Annexure 3
 Research Paper
Exploratory Research on Smart Cities
Research Paper

Exploratory
Research
on Smart Cities
Theory, Policy and Practice

National Institute of Urban Affairs

June 2015

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