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My presentation illustrates an on-going study in the field of Smart cities’ evaluation. The analysis starts from a revised notion of triple helix considering that Civil society plays a prominent role toward the realization of sustainable development in cities (Etzkowitz and Zhou, 2006). In order to assess the connections between Smart city development and this institutionalization of the Triple Helix, an Analytic Network Process model has been developed. This interrelated model is used for investigating the relations between smart cities components (smart governance; smart economy; smart people; smart living; smart environment), actors (Universities, Government, Industry and Civil Society ) and policy visions derived from the “Urban Europe” Joint Programme Initiatives, i.e. strategies to which the smart cities are moving to (Connected City, Entrepreneurial City, Liveable City and Pioneer City).
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The Triple Helix ofthe Smart Cities visions
Patrizia Lombardi
Politecnico di Torino
What is this about?
… problems, challenges and visions …
In the last fifty years the world population has grown exponentially, at an average rate of 1.2% per year, accompanied by an urban population explosion
In 2007, for the first time in the history of mankind, more people lived in cities than in rural areas. In 2050, the rate will be 65%.
According to United Nations, by 2020 about 60 millions ofpeople will migrate from sub-Sahary regions to North Africa and Europe: this flow will increase the current high migration trend.
In many regions of the world the natural increase in population has a greater effect on internal urban growth than the rural exodus.
Integration
Harmony
BuiltEnvironment
ServicesCultureThe urban issue is perhaps the most complex and crucial
aspect of the sustainable human development problem
Patrizia Lombardi, Silvia Giordano, Hend Farouh, Wael Yousef
The role of the City
Largely Policy
LargelyEnabling
If cities do provide this useful interfare it is worh considering howcities might address a long-term policy and actions agenda.
Rethink and manage the increasing urban orientation and concentration of people in Europe, with the aim:
To sustain and enhance urban quality in cities as a place of vitality, liveability and spatial interactivity for European citizens
To create and exploit synergy from an urbanized Europe from an economic, social, cultural, logistic and technological perspective, leading to a strengthened global position of Europe
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CONNECTED CITY
ENTREPRENEURIAL CITY
LIVEABLE CITY
PIONEER CITY
ECOLOGICAL SUSTAINABILITY
SOCIAL PARTICIPATION & SOCIAL CAPITAL
4 POLICY VISIONS OF CITIES DERIVED FROM THE JPI “URBAN EUROPE ” [P. Nijkamp, K. Kourtik, 2011]
SMART LOGISTIC & SUSTAINABLE
MOBILITY
ECONOMIC VITALITY
What does “smart city” mean?
… a shared definition is required…
IF YOU WANT TO ASSESS OR MEASURE SOMETHING
YOU HAVE TO:
KNOW THE OBJECT RIGHTLY AND PERFECTLY
KNOW THE LIMITS AND THE BOUNDARIES OF THE
OBJECT
KNOW THE ELEMENTS USEFUL TO
MEASURE/ASSESS IT
The European Commission refers to systemic approaches and organisational innovation, encompassing energy efficiency, low carbon technologies and the smart management of supply and demand, but how can a city or a region develop and measure these actions and how can they be transferred across the EU?
(Deakin, 2009)
DIGITAL CITYCREATIVE
CITYSMART CITY
FOCUSING ON A SPECIFIC ASPECT IS IT ENOUGH?
THE TERM SMART CITY UNDERSTOOD AS A SYSTEMIC APPROACH CANNOT FOCUS ON A SINGLE ASPECT
Patrizia Lombardi, Silvia Giordano, Hend Farouh, Wael Yousef
“SMART CITY” IS OFTEN USED IN URBAN STUDIES & POLICIES WITH DIFFERENT MEANINGS
THE TERM IS NOT USED IN A HOLISTIC WAY BUT CONSIDERING SPECIFIC ATTRIBUTES OF THE CITY
SMART ECONOMY
SMART PEOPLE
SMART GOVERNANCE
SMART MOBILITY
SMART ENVIRONMENT
SMART LIVING
USE OF THE TERM LITERATURE REVIEW
INDUSTRY
EDUCATION
E-DEMOCRACY
LOGISTICS & INFRASTRUCTURES
EFFICIENCY & SUSTAINABILITY
SECURITY & QUALITY
6 CHARACTERISTICS
=SMART
COMBINATION
Smart City“A Smart City is a city well performing in aforward-looking way in six “smart” characteristics, builton the”smart” combination of endowments and activities of self-decisive, independent and awarecitizens”
[Smart cities – Ranking of European medium-sized cities][www. .smart-cities.eu]
Smart City“A city is smart: when investments in human and social
capital and traditional (transport) and modern (ICT) communication infrastructure fuel sustainable
economic growth and a high quality of life, with a wise management of natural resources, through
participatory governance”[Caragliu et al., 2009, p.6]
Operationalise the concept
… through triple helix & indicators …
GOVERNMENT
INDUSTRY
UNIVERSITY
SMART CITY MAIN CHARACTERISTICINNOVATION
COMPLEX URBAN ENVIRONMENT
CREATOR OF WEALTH
REGULATOR OF STANDARDS
GENERATOR OF INTELLECTUAL
CAPITAL
CIVIL SOCIETY
ADOPTION OF THE SOLUTION
SMART DEVELOPMENT
Etzkowitz & and Zhou, 2006
1 STEP EXISTING INDICATORS: EU projects’ reports, Urban Audit, European green city index, TISSUE, Statistics of European Commissions, etc.
5 CLUSTERS (smart city’ components): SMART Governance, SMART Economy, SMART Human Capital, SMART Living, SMART Environment
4 HELICES (smart city’ stakeholders):Government, Industry, University & Civil Society,
SELECTING
2 STEP ORGANIZING
PARTICIPATIVE ACTIVITY
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SMARTGovernence
SMARTEconomy
SMARTHumanCapital
SMARTLiving
SMARTEnvironment
UNIVERSITY
GOVERNEMENT
INDUSTRY
CIVIL SOCIETY
SMART INDICATORS
S - specific, significant, stretching
M - measurable, meaningful, motivational
A - agreed upon, attainable, achievable,
acceptable, action-oriented
R - realistic, relevant, reasonable, rewarding,
result-oriented
T - time-based, timely, tangible
21
ClustersRevisedTriple Helix
SMART Governence SMART Economy SMART Human Capital SMART LivingSMARTEnvironment
INDICATORS
UN
IVER
SITY
No of universities,research centres inthe city
Public expenditure onR&D - % of GDP perhead of city
% of population aged 15-64with secondary level educationliving in Urban Audit
% of professors &researchersinvolved ininternationalprojects andexchange
An assessment ofthe ambitiousnessof CO2 emissionsreduction strategy
No. courses entirelydownloadable fromthe internet / TotalNo. Courses
Public expenditure oneducation - % of GDPper head of city
% of population aged 15-64with high education living inUrban Audit
Number of grantsfor internationalmobility per year
An assessment theextensiveness ofcity energyefficiencystandards forbuildings
Number of researchgrants funded byinternational projects
% of inhabitants working ineducation and in research &development sector
% of accessablecourses for PWD
PUBLIC EXPENDITURE
PUBLIC EXPENDITURE
ON R&D
THE INDICATORS’ SELECTION CRITERION
VS
A CITY A SMART CITY
ClustersRevisedTriple Helix
SMART Governence SMART Economy SMART Human Capital SMART Living SMART Environment
INDICATORS
GO
VER
NEM
ENT
E-government on-line availability (% of the 20 basic services which are fully available online)
Gross Domestic Product per head of city
Voter turnout in national and EU parliamentary elections
Proportion of the area in recreational sports and leisure use
Total annual energy consumption, in gigajoules per head
Debt of municipal authority per resident
Share of female city representatives
Green space (m2) to which the public has access, per capita
Efficient use of electricity (use per GDP)
Percentage of households with computers
Median or average disposable annual household income
City representatives per resident
Number of public libraries
Total annual water consumption, in cubic metres per head
Unemployment rate Number of theaters & cinemas
Efficient use of water (use per GDP)
Percentage of households with Internet access at home
Energy intensity of the economy - Gross inland consumption of energy divided by GDP
Health care expenditure - % of GDP per head of city
Area in green space (m2)Geenhouse gas emissions intensity of energy consumption
Tourist overnight stays in registered accommodation in per year per resident
An assessment of the comprehensiveness of policies to contain the urban sprawl and to improve and monitor environmental performanceUrban population exposure to air pollution by particulate matter -micrograms per cubic metre
ClustersRevisedTriple Helix
SMART Governence SMART Economy SMART Human Capital SMART LivingSMARTEnvironment
INDICATORS
CIV
IL S
OC
IETY
E-government usage by individuals (% individuals aged 16 to 74 who have used the Internet, in the last 3 months, for interaction with public authorities)
% of projects funded by civil society
Foreign language skills Total book loans and other media per resident
The total percentage of the working population travelling
to work on public transport, by bicycle and by foot
Participation in Life-long learning (%)
Museums visits per inhabitant
An assessment of the extent to which citizens may
participate in environmental decision-making
Individuals' level of computer skills
Theatre & cinema attendance per inhabitant
An assessment of the extensiveness of efforts to increase
the use of cleaner transport
Individuals' level of internet skills
% of citzens engaged in environmental and sustainability oriented activity
ClustersRevisedTriple Helix
SMART Governence SMART Economy SMART Human Capital SMART Living SMART Environment
INDICATORS
IND
UST
RY
Number of research grants funded by companies, foundations, institutes / No annual scholarships
Employment rate in:
- High Tech & creative industries
- Renewable energy & energy efficieny systems - Financial intermediation and business activities - culture & entertainment industry - commercial services - transport and communication - hotels and restaurants
Patent applications per inhabitant
Number of enterprises adopting ISO 14000 standards
The percentage of total energy derived from renewable
sources, as a share of the city's total energy consumption,
in terajoulesCombined heat and power generation - % of gross electricity generation
All companies (total number)
Employment rate in knowledge-intensive sectors
Rate of people undertaking industry based training
Rate of rycycled waste per total kg of waste produced
Number of local units manufacturing High Tech & ICT productsCompanies with HQ in the city quoted on national stock market
Total CO2 emissions, in tonnes per head (2)
Components of domestic material consumption
% of new buildings and renevoation which were assesed in terms of sustainablity
Let’s model
… simplify the complexity…
Analytic Network Process – ANP, an advanced version of the Analytic Hierarchy Process – AHP seems able to better tackle and reflect complexity without reducing the problem to a hierarchy structure but involving interaction and dependence among elements complex problems
Goal
Criteri
Sotto-criteri
Alternative
Struttura lineare (AHP)
Alternative
Cluster
Struttura a network (ANP)
Goal
Criteri
Sotto-criteri
Alternative
Struttura lineare (AHP)
Alternative
Cluster
Struttura a network (ANP)
ANALYTIC NETWORK PROCESS
ANP is the only decision support method which makes possible to deal systematically with all kinds of dependencies and feedback. The ANP model consists of clusters, elements, interrelationshipbetween clusters, and interrelationship between elements. It allows interactions and feedback within and between clusters and provides a process to derive ratio scales priorities from the elements.
AHP ANP
SIMPLE NETWORK
COMPLEX NETWORK
THE WINNER
THE STRATEGY
CONTROL CRITERIA
1 ACTION ESTABLISHMENT OF THE NETWORK SYSTEM:
define the decision making model involving the identification of both the elements constituting the decision problem.
MODELLING
THE MAIN NETWORK
CONTROL CRITERIA
THE “CIVIL SOCIETY” SUBNETWORK
2 ACTION ESTABLISHMENT OF THE RELATIONSHIPS BETWEEN CLUSTERS AND NODES: each element can have influence and inter-dependence relations
CONNECTING
Assessment phase
… deriving final priorities …
EXPERTS’ FOCUS GROUP: ANP EXERCISEFilling pair-comparisons elements’ matrix with thesupport of the Superdecisions software :•Clusters comparisons•Nodes/Indicators comparisons
3 ACTION Assessment
THE SAATY’S SCALE
ASSESSMENT OF THE NETWORK’S ELEMENTS: USING THE SPECIFIC SOFTWARE Superdecisions(based on the ANP methodology)
4 ACTION WEIGHTING
Un-weighted Super-Matrix:Totality of the vectors of priorityextracted by the matrix of in couple–comparison.
Weighted Super-Matrix:It considers the priorities attributedto the level of comparison betweenthe different clusters (obtainedmultiplying the values of the un-weighted matrix for the weight ofeach cluster).
Limit Super-Matrix:Obtained by multiplying theweighted super-matrix for itself aninfinity number of times. Here ispossible to find the ranking ofpreference of the consideredalternative.
k
k
Wlim
Limit Supermatrix
PRIORITIES’ VECTOR
THE SUB-NETWORKS’ PRIORITIES
OBTAINED BY SYNTESIZING THE PRIORITIES OF EACH INDICATOR FOR EACH SUBNETWORK
OBTAINED BY SYNTESIZING THE PRIORITIES OF THE ALTERNATIVES FOR EACH SUBNETWORK
ALTERNATIVES’ CLUSTER LEVEL
NODES LEVEL
NETWORK LEVEL COMBINING FORMULAS
FINAL PRIORITIES
ALT
ERN
ATI
VES
IND
ICA
TOR
S
NORMALIZED BY CLUSTER
LIMITING
THE WEIGHTS OF THE ELEMENT IN THE CLUSTER ADD UP TO 100%
THE SUM OF THE PRIORITIES OF ALL NODES IN THE NETWORK ADDS UP TO
100%
THE SUBNETWORK
INDUSTRY
ALTERNATIVES NODES/INDICATORS
0%
5%
10%
15%
20%
25%
Patent application per
inhabitants
Employment rate in
knowledge intensive
sector
Employment rate in High
Tech and creative
industry sector
Number of local units
manufacturing High Tech product
52%
20%
16%
12%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY
GOVERNMENT
ALTERNATIVES NODES/INDICATORS
0%5%
10%15%20%25%30%
% of households
with internet access at
home
% of households
with computer at
home
Proportion of the area
in recreational sports and
leisure
E-gov on line availability
57%17%
14%12%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY
UNIVERSITY
ALTERNATIVES NODES/INDICATORS
0%2%4%6%8%
10%12%14%16%18%
% of inhabitants working in
education and R&D
% of population aged 15-64
with secondary level education
Number of universities
and research centres in the
city
Public expenditure on
education
57%
19%
15%
9%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY
CIVIL SOCIETY
ALTERNATIVES NODES/INDICATORS
0%
2%
4%
6%
8%
10%
12%
Participation in life long learning
individuals level of internet
skills
total book loans and
other media per resident
E-gov usage by
individuals
35%
31%
20%
14%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY
THE OVERALL PRIORITIES
OBTAINED BY SYNTESIZING THE PRIORITIES OF THE ALTERNATIVES FROM ALL THE
SUBNETWORKS [with combining formulas]
49%
21%
17%13%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY
Acknowledgements
The policy visions have been taken from the Joint Programme Initiatives “Urban Europe” leaded by Peter Nijkamp
The application has been conducted with the support of superdecisionsoftware developed by Rozanna Saaty
The selection of the indicators has been developed in collaboration with Silvia Giordano, Hend Farouh &Wael Yousef
The priorities has been developed by a focus group composed by stakeholders from Governments, Industry, University & Civil Society sectors
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QUESTIONS?
QUESTIONS?
