This document summarizes and analyzes smart city initiatives in China, Iskandar (Malaysia), Japan, New York City, and Tarragona (Spain). It defines what makes a city "smart" and establishes a framework to analyze and compare different smart city projects based on factors like management, technology, governance, policy context, people/communities, economy, infrastructure, and environment. For each case study, it analyzes the approach taken in these areas and highlights some of the organizations, technologies, goals, and challenges involved in their smart city agendas.

1. Smart Cities Public Policy Keys to
Build up New Cities and Reinvent
Existing Ones Olga Gil and Carmen Navarro
9th Transatlantic Dialog: Rebuilding Capacities for Urban
Governance. Baltimore 12-15 June 2013
Image: FIFTYMM69 EN FLICKRImage Olimpic Stadium Beijin by Flash Parker: http://www.flickr.com/photos/shawnparkerphoto

2. Authors available for sponsorship of research, further
information, conferences, analysis and findings
Follow our community on Google Plus
Smart Cities: Spain, Europe, World
Corresponding author
Dr. Olga Gil. Universidad Autónoma de Madrid and TicWisdom
olgagil@olgagil.es
@olgag
Dr. Carmen Navarro. Universidad Autónoma de Madrid
Head of Department. Political Science and International Relations 1

3. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
6. Annex
2

4. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
3

5. • 70% of the world population will be living in
cities by 2050 United Nations World Urbanization Report
• 9.400 new cities by 2050
• What are the challenges for smart cities in this
new scenario?
4
Introduction

6. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
5

7. • Quality of life, productivity, growth effects of
human capital (Jesse Shapiro, 2006)
• Metropolitan area with a large share of
population with university degrees (Winters
2011)
• European tradition: Digitally inclusive and
regeneration (Deaking and Allwinkle, 2007)
2. Definition: What makes a city smart?
6

8. Tradition departing from a smart concept
constrained to the world of devices:
• Undergird the social capital to embed ICT
features of smart cities (Hollands 2008)
• Includes two forms of intelligence: human
and collective, from skills to social and
political institutions articulating cooperation
(Komninos 2009).
• Emphasizes people and interactions (Allwinkle
and Cruicksanks 2001)
2. Definition: What makes a city smart?
7

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

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

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

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

13. 2. Definition: Hypothesis and cases
Hypothesis: Factors to advance smart plans are key to
differentiate models of urban governance
Choice of cases: Driven by interest (China, Japan,
Iskandar (Malaysia), New York, Tarragona (Spain).
• To learn from innovation practices in different world
institutional settings
• Different innovation rates (R&D in China + 17 %, USA 5,2 %,
Europe 3,8 %)
• Attempt to tackle differences and similarities in both OCDE
and non OCDE countries
• Interested in variations in the universe of cases
12

14. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
13

15. 3. Context: Smart cities in the world
agenda
An interest in China in city development far from the
growth model (Lin 2002)
OCDE and European Union link the concept of
sustainable environment, competition and cohesion
with smart cities (2005)
City initiatives: Amsterdam, Southamton, Edimburgh,
Malta, Philadelphia, Seattle, Quebec, Mexico city…
Business initiatives: IBM, Siemens, Oracle
European Union research and policy projects:
Intelcities, INTERREG 14

16. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
15

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

18. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis: China
5. Analysis and findings
17

19. 4. Cases for analysis: China
4.1. Management, economy and built infrastructure
• Based on an investment led model: 12th Master Plan allocates substantial
resources to the Internet of Things and sustainability sectors
• “Embed sensors in all corners of the city through power grids, railways,
bridges, pipelines” (Liu, Peng 2013)
4.2. Technology and Energy
• Keys to smart developments in China
• Technical standards lacking or imperfect in the field (Liu, Peng 2013)
• Built in attempt to leap forward the model of energy production and
distribution through a smart grid
• Projects include adding inteligence in location sensing, identification,
security, networking, processing, control, agriculture, industrial processes
and health sector
18

20. 4. Cases for analysis: China
4.3. Organization and governance
• Participation of local governments and universities, both lead by officials
form the communist party. Cooperation is open to local governments,
universities and foreign firms. Japanese firms and IBM have developed
strong win-win alliances.
• Examples of smart cities: Beijin, Tianjin, Shanghai, Guanzhou, Nanjing,
Shenyang, Wuhan, Dongying, Hangzhou, Wuxi, and Chengdu (Liu, Peng
2013).
• Shanghai, Chongqing city and Beijing University (participating with other
universities around the world) have ambitious smart plans
• Banks are also important actors, supporting smart city projects around the
country (China Development Bank…)
19

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

22. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis: Iskandar
5. Analysis and findings
21

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

24. 4. Cases for analysis: Iskandar
4.3. Policy context and economy
• Iskandar Regional Development Authority (IRDA) established by a Federal
Act of Parliament (2007) “provide a livable and sustainable conurbation.”
• Iskandar is placed as a development area where a main focus is attracting
international capital ($30 bn plan expecting 1/3 from abroad)
4.4. People and communities
• Addressed from the point of view of education and top-down.
• Ellis Rubinstein, president of New York Academy of Sciences appointed to
work on Iskandar university campus area with the mandate to make it a
reference and to accommodate necessities of fast rising populations.
• Support from the cultural industry brings Pinewood Studios to Iskandar
and Legoland has placed a theme park there
23

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

26. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis: Japan
5. Analysis and findings
25

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

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

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

30. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis: New York
5. Analysis and findings
29

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

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

33. 4. Cases for analysis: USA
4.5. People and communities
• Experiments with data driven approaches in governance include: citizensourcing
smarter government, aimed at creating platforms for citizens to collaborate
around information to improve outcomes, participatory budgeting and “broader
future as a data platform.”
• New York City government data repository, the NYC DataMine. And moves toward
making more useful public data available (geocoding, performance and regulatory
data. Recently, online 311 service request map…)
• The local government working to grow the community of civic entrepreneurs and
developers fostering a Big Apps program and an contests known as NYC Big Apps
4.6. Natural environment
• Joint porgramms with the university regarding water consumption, electricity,
computer simulations and climate models for weather prediction.
32

34. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis: Tarragona
5. Analysis and findings
33

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

36. 4. Cases for analysis: Tarragona
4.3. Governance and policy context
• Tarragona is part of a national network of smart cities created in 2011 and
comprising 41 other Spanish cities. The network aims at the
automatization of urban services and infrastructures, to increase the
quality of services and curb public expenditure. This network is being
active exchanging information on energy, social innovation, urban
mobility, governance and the environment.
• Plans under the umbrella of a Foundation, include the participation the
public university and firms in the energy, water, health, mobility, digital
contents and tourism industries.
• The Tarragona smart city project is designed with the policy context of the
Mediterranean Sports Games in mind. The games will be held in 2017 and
this international gathering is the landmark for the plans drafted.
Tarragona focuses on the Mediterranean region as and space with
emerging opportunities, linked to the development of the northern Africa
region and the importance of the sea port, the fourth in importance in
Spain. 35

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

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

39. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
6. Annex
38

40. 1. Introduction
2. Definition
3. The context: setting the agenda for
smart cities worldwide
4. Cases for analysis
5. Analysis and findings
6. Annex: The variables in detail
39

41. Authors available for sponsorship of research, further
information, conferences, analysis and findings
Follow our community on Google Plus
Smart Cities: Spain, Europe, World
Corresponding author
Dr. Olga Gil. Universidad Autónoma de Madrid and TicWisdom
olgagil@olgagil.es
@olgag
Dr. Carmen Navarro. Universidad Autónoma de Madrid
Head of Department . Political Science and International Relations 40

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