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).

1. The Triple Helix of
the Smart Cities visions
Patrizia Lombardi
Politecnico di Torino

2. What is this about?
… problems, challenges and visions …

3. 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

4. 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%.

5. According to United Nations, by 2020 about 60 millions of
people will migrate from sub-Sahary regions to North Africa and
Europe: this flow will increase the current high migration trend.

6. In many regions of the world the natural increase in population
has a greater effect on internal urban growth than the rural
exodus.
Integration
The urban issue is perhaps the most complex and crucial
Built
Culture of the sustainable human development problem
aspect Environment
Services
Harmony

7. The role of the City
Largely
Policy
Largely
Enabling
If cities do provide this useful interfare it is worh considering how
cities might address a long-term policy and actions agenda.

8. 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
8

9. 4 POLICY VISIONS OF CITIES DERIVED FROM THE JPI “URBAN EUROPE ”
[P. Nijkamp, K. Kourtik, 2011]
SMART LOGISTIC &
CONNECTED CITY SUSTAINABLE
MOBILITY
ENTREPRENEURIAL
ECONOMIC VITALITY
CITY
ECOLOGICAL
LIVEABLE CITY SUSTAINABILITY
SOCIAL
PIONEER CITY PARTICIPATION &
SOCIAL CAPITAL

10. What does “smart city” mean?
… a shared definition is required…

11. IF YOU WANT TO ASSESS
KNOW THE OBJECT RIGHTLY
OR MEASURE SOMETHING
AND PERFECTLY
YOU HAVE TO:
KNOW THE LIMITS AND THE
BOUNDARIES OF THE
OBJECT
KNOW THE ELEMENTS
USEFUL TO
MEASURE/ASSESS IT

12. 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)

13. CREATIVE
DIGITAL CITY SMART CITY
CITY
FOCUSING ON A SPECIFIC ASPECT IS IT ENOUGH?
THE TERM SMART CITY UNDERSTOOD AS A SYSTEMIC
APPROACH CANNOT FOCUS ON A SINGLE ASPECT

14. USE OF THE TERM LITERATURE REVIEW
“SMART CITY” IS OFTEN USED IN URBAN THE TERM IS NOT USED IN A HOLISTIC WAY
STUDIES & POLICIES WITH DIFFERENT BUT CONSIDERING SPECIFIC ATTRIBUTES OF
MEANINGS THE CITY
SMART ECONOMY INDUSTRY 6
CHARACTERISTICS
SMART PEOPLE EDUCATION =
SMART
SMART GOVERNANCE E-DEMOCRACY COMBINATION
LOGISTICS &
SMART MOBILITY
INFRASTRUCTURES
SMART EFFICIENCY &
ENVIRONMENT SUSTAINABILITY
SMART LIVING SECURITY & QUALITY
Patrizia Lombardi, Silvia Giordano, Hend Farouh, Wael Yousef

15. Smart City
“A Smart City is a city well performing in a
forward-looking way in six “smart” characteristics, built
on the”smart” combination of endowments and
activities of self-decisive, independent and aware
citizens”
[Smart cities – Ranking of European medium-sized cities]
[www. .smart-cities.eu]

16. 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]

17. Operationalise the concept
… through triple helix & indicators …

18. Etzkowitz & and Zhou, 2006
SMART CITY
INNOVATION
MAIN CHARACTERISTIC
INDUSTRY CREATOR OF
ADOPTION OF WEALTH
THE SOLUTION
CIVIL
SOCIETY
REGULATOR OF GENERATOR OF
STANDARDS GOVERNMENT UNIVERSITY INTELLECTUAL
CAPITAL
COMPLEX URBAN ENVIRONMENT
SMART DEVELOPMENT

19. 1 STEP SELECTING EXISTING INDICATORS: EU projects’ reports,
Urban Audit, European green city index, TISSUE,
Statistics of European Commissions, etc.
PARTICIPATIVE ACTIVITY
2 STEP ORGANIZING 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,

20. SMART
SMART
SMART SMART SMART
SMART
Governence Economy
Human INDICATORS
Living Environment
Capital
UNIVERSITY
GOVERNEMENT
INDUSTRY
CIVIL SOCIETY
20

21. 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

22. Clusters SMART
SMART Governence SMART Economy SMART Human Capital SMART Living
Revised Environment
Triple Helix INDICATORS
No of universities, Public expenditure on % of population aged 15-64 % of professors & An assessment of
research centres in R&D - % of GDP per with secondary level education researchers the ambitiousness
UNIVERSITY
the city head of city living in Urban Audit involved in of CO2 emissions
international reduction strategy
projects and
exchange
No. courses entirely Public expenditure on % of population aged 15-64 Number of grants An assessment the
downloadable from education - % of GDP with high education living in for international extensiveness of
the internet / Total per head of city Urban Audit mobility per year city energy
No. Courses Number of research % of inhabitants working in % of accessable efficiency
grants funded by education and in research & courses for PWD standards for
international projects development sector buildings
THE INDICATORS’ SELECTION CRITERION
PUBLIC
PUBLIC
EXPENDITURE VS EXPENDITURE
ON R&D
A CITY A SMART CITY

23. Clusters
SMART Governence SMART Economy SMART Human Capital SMART Living SMART Environment
Revised
Triple Helix INDICATORS
E-government on-line Gross Domestic Voter turnout in national Proportion of Total annual energy
availability (% of the Product per head of and EU parliamentary the area in consumption, in gigajoules
20 basic services city elections recreational per head
which are fully sports and
available online) leisure use
Debt of municipal Share of female city Green space Efficient use of electricity
authority per representatives (m2) to which (use per GDP)
resident the public has
access, per
capita
GOVERNEMENT
Percentage of Median or average City representatives per Number of Total annual water
households with disposable annual resident public libraries consumption, in cubic
computers household income metres per head
Unemployment rate Number of Efficient use of water (use
theaters & per GDP)
cinemas
Percentage of Energy intensity of Health care Area in green space (m2)
households with the economy - Gross expenditure - % Geenhouse gas emissions
Internet access at inland consumption of GDP per intensity of energy
home of energy divided by head of city consumption
GDP Tourist An assessment of the
overnight stays comprehensiveness of
in registered policies to contain the
accommodatio urban sprawl and to
n in per year improve and monitor
per resident environmental performance
Urban population exposure
to air pollution by
particulate matter -
micrograms per cubic metre

24. Clusters SMART
SMART Governence SMART Economy SMART Human Capital SMART Living
Revised Environment
Triple Helix INDICATORS
E-government usage % of projects funded Foreign language skills Total book loans The total
by individuals (% by civil society and other media percentage of the
individuals aged 16 to per resident working
74 who have used the population
Internet, in the last 3 travelling
months, for to work on public
interaction with transport, by
public authorities) bicycle and by foot
CIVIL SOCIETY
Participation in Life-long Museums visits per An assessment of
learning (%) inhabitant the extent to
which citizens may
participate in
environmental
decision-making
Individuals' level of computer Theatre & cinema An assessment of
skills attendance per the extensiveness
inhabitant of efforts to
increase
the use of cleaner
transport
Individuals' level of internet % of citzens
skills engaged in
environmental and
sustainability
oriented activity

25. Clusters
SMART Governence SMART Economy SMART Human Capital SMART Living SMART Environment
Revised
Triple Helix INDICATORS
Number of research Employment rate in: Patent applications per Number of The percentage of total
- High Tech & creative inhabitant
grants funded by enterprises energy derived from
companies, adopting ISO renewable
industries
foundations, 14000 sources, as a share of the
institutes / No annual - Renewable energy & standards city's total energy
scholarships energy efficieny
consumption,
systems
- Financial in terajoules
intermediation and Combined heat and power
business activities generation - % of gross
- culture & electricity generation
INDUSTRY
entertainment
industry
- commercial services
- transport and
communication
- hotels and
restaurants
All companies (total Employment rate in Rate of people Rate of rycycled waste per
number) knowledge-intensive undertaking total kg of waste produced
Number of local units sectors industry based
manufacturing High training
Tech & ICT products
Companies with HQ Total CO2 emissions, in
in the city quoted on tonnes per head (2)
national stock market
Components of % of new buildings and
domestic material renevoation which were
consumption assesed in terms of
sustainablity

26. Let’s model
… simplify the complexity…

27. 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
Cluster
Criteri
Alternative
Sotto-criteri
Alternative

28. 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, interrelationship
between 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

29. SIMPLE COMPLEX
NETWORK NETWORK
THE WINNER
THE STRATEGY
CONTROL CRITERIA

30. 1 ACTION MODELLING ESTABLISHMENT OF THE NETWORK SYSTEM:
define the decision making model involving the
identification of both the elements constituting
the decision problem.
THE MAIN
NETWORK
CONTROL
CRITERIA

31. 2 ACTION CONNECTING ESTABLISHMENT OF THE RELATIONSHIPS
BETWEEN CLUSTERS AND NODES: each
element can have influence and inter-
dependence relations
THE “CIVIL SOCIETY”
SUBNETWORK

32. Assessment phase
… deriving final priorities …

33. 3 ACTION Assessment EXPERTS’ FOCUS GROUP: ANP EXERCISE
Filling pair-comparisons elements’ matrix with the
support of the Superdecisions software :
•Clusters comparisons
•Nodes/Indicators comparisons
THE SAATY’S
SCALE

34. ASSESSMENT OF THE NETWORK’S ELEMENTS:
4 ACTION WEIGHTING
USING THE SPECIFIC SOFTWARE Superdecisions
(based on the ANP methodology)
Un-weighted Super-Matrix:
Totality of the vectors of priority
extracted by the matrix of in couple
–comparison.
Weighted Super-Matrix:
It considers the priorities attributed
to the level of comparison between
the different clusters (obtained
multiplying the values of the un-
weighted matrix for the weight of
each cluster).
Limit Super-Matrix:
Obtained by multiplying the
Limit Supermatrix
weighted super-matrix for itself an
lim Wk PRIORITIES’ VECTOR infinity number of times. Here is
k  possible to find the ranking of
preference of the considered
alternative.

35. THE SUB-NETWORKS’ PRIORITIES
ALTERNATIVES’ OBTAINED BY SYNTESIZING THE PRIORITIES OF
CLUSTER LEVEL THE ALTERNATIVES FOR EACH SUBNETWORK
NODES LEVEL OBTAINED BY SYNTESIZING THE PRIORITIES OF
EACH INDICATOR FOR EACH SUBNETWORK
FINAL PRIORITIES
NETWORK LEVEL COMBINING FORMULAS

36. THE SUBNETWORK
NORMALIZED BY CLUSTER
THE WEIGHTS OF THE ELEMENT IN THE
CLUSTER ADD UP TO 100%
LIMITING
ALTERNATIVES
INDICATORS
THE SUM OF THE PRIORITIES OF ALL
NODES IN THE NETWORK ADDS UP TO
100%

37. INDUSTRY
ALTERNATIVES NODES/INDICATORS
25%
12%
20%
16%
52% 15%
10%
20%
5%
0%
Patent Employment Employment Number of
application per rate in rate in High local units
ENTREPRENEURIAL CITY PIONEER CITY inhabitants knowledge Tech and manufacturing
intensive creative High Tech
sector industry sector product
LIVEABLE CITY CONNECTED CITY

38. GOVERNMENT
ALTERNATIVES NODES/INDICATORS
30%
12% 25%
14% 20%
15%
17% 57% 10%
5%
0%
% of % of Proportion E-gov on line
households households of the area availability
with internet with in
ENTREPRENEURIAL CITY PIONEER CITY access at computer at recreational
home home sports and
LIVEABLE CITY CONNECTED CITY leisure

39. UNIVERSITY
ALTERNATIVES NODES/INDICATORS
18%
9% 16%
14%
15% 12%
57% 10%
8%
19% 6%
4%
2%
0%
% of % of Number of Public
inhabitants population universities expenditure on
ENTREPRENEURIAL CITY PIONEER CITY working in aged 15-64 and research education
education and with secondary centres in the
R&D level education city
LIVEABLE CITY CONNECTED CITY

40. CIVIL SOCIETY
ALTERNATIVES NODES/INDICATORS
12%
14%
35% 10%
20% 8%
6%
4%
31%
2%
0%
Participation individuals total book E-gov usage
ENTREPRENEURIAL CITY PIONEER CITY in life long level of loans and by
learning internet other media individuals
LIVEABLE CITY CONNECTED CITY skills per resident

41. OBTAINED BY SYNTESIZING THE PRIORITIES OF
THE OVERALL
THE ALTERNATIVES FROM ALL THE
PRIORITIES SUBNETWORKS [with combining formulas]
13%
17% 49%
21%
ENTREPRENEURIAL CITY PIONEER CITY
LIVEABLE CITY CONNECTED CITY

42. 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 superdecision
software 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
42

43. QUESTIONS?
QUESTIONS?