《专业英语》课程教学资源（阅读资料）综述论文：Smart Cities：Definitions, Dimensions, Performance, and Initiatives

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Journal of Urban Technology,2015 Routledge VoL.22,No.1,3-21,http://dx.doi.org/10.1080/10630732.2014.942092 Tayior b Francis Group Smart Cities:Definitions,Dimensions,Performance,and Initiatives Vito Albino,Umberto Berardi and Rosa Maria Dangelico ABSTRACT As the term "smart city"gains wider and wider currency,there is still con- fusion about what a smart city is,especially since several similar terms are often used interchangeably.This paper aims to clarify the meaning of the word "smart"in the 102 context of cities through an approach based on an in-depth literature review of relevant studies as well as official documents of international institutions.It also identifies the 1sn3nV main dimensions and elements characterizing a smart city.The different metrics of urban smartness are reviewed to show the need for a shared definition of what constitutes 8 a smart city,what are its features,and how it performs in comparison to traditional cities. :10 Furthermore,performance measures and initiatives in a few smart cities are identified. KEYWORDS smart city;indicators;sustainability;urban development Introduction In the last two decades,the concept of"smart city"has become more and more popular in scientific literature and international policies.To understand this concept it is important to recognize why cities are considered key elements for the future.Cities play a prime role in social and economic aspects worldwide, and have a huge impact on the environment(Mori and Christodoulou,2012). According to the United Nations Population Fund,2008 marked the year when more than 50 percent of all people,3.3 billion,lived in urban areas,a figure 五 expected to rise to 70 percent by 2050(UN,2008).In Europe,75 percent of the apeojumo population already lives in urban areas and the number is expected to reach 80 percent by 2020.The importance of urban areas as a global phenomenon is con- firmed by the diffusion of megacities of more than 20 million people in Asia, Latin America,and Africa (UN,2008).As a result,nowadays most resources are consumed in cities worldwide,contributing to their economic importance,but also to their poor environmental performance.Cities consume between 60 percent and 80 percent of energy worldwide and are responsible for large shares of GHG emissions(UN,2008).However,the lower the urban density,the more energy is consumed for electricity and transportation,as proved by the fact that COz emissions per capita drop with the increase of urban areas density (Hammer et al.,2011). Corresponding Address:Umberto Berardi,Faculty of Engineering and Architectural Science, Ryerson Universtiy,325 Church Street,Toronto,Canada.Email:uberardi@ryerson.ca C2015 The Society of Urban Technology

Smart Cities: Definitions, Dimensions, Performance, and Initiatives Vito Albino, Umberto Berardi and Rosa Maria Dangelico ABSTRACT As the term “smart city” gains wider and wider currency, there is still confusion about what a smart city is, especially since several similar terms are often used interchangeably. This paper aims to clarify the meaning of the word “smart” in the context of cities through an approach based on an in-depth literature review of relevant studies as well as official documents of international institutions. It also identifies the main dimensions and elements characterizing a smart city. The different metrics of urban smartness are reviewed to show the need for a shared definition of what constitutes a smart city, what are its features, and how it performs in comparison to traditional cities. Furthermore, performance measures and initiatives in a few smart cities are identified. KEYWORDS smart city; indicators; sustainability; urban development Introduction In the last two decades, the concept of “smart city” has become more and more popular in scientific literature and international policies. To understand this concept it is important to recognize why cities are considered key elements for the future. Cities play a prime role in social and economic aspects worldwide, and have a huge impact on the environment (Mori and Christodoulou, 2012). According to the United Nations Population Fund, 2008 marked the year when more than 50 percent of all people, 3.3 billion, lived in urban areas, a figure expected to rise to 70 percent by 2050 (UN, 2008). In Europe, 75 percent of the population already lives in urban areas and the number is expected to reach 80 percent by 2020. The importance of urban areas as a global phenomenon is con- firmed by the diffusion of megacities of more than 20 million people in Asia, Latin America, and Africa (UN, 2008). As a result, nowadays most resources are consumed in cities worldwide, contributing to their economic importance, but also to their poor environmental performance. Cities consume between 60 percent and 80 percent of energy worldwide and are responsible for large shares of GHG emissions (UN, 2008). However, the lower the urban density, the more energy is consumed for electricity and transportation, as proved by the fact that CO2 emissions per capita drop with the increase of urban areas density (Hammer et al., 2011). Corresponding Address: Umberto Berardi, Faculty of Engineering and Architectural Science, Ryerson Universtiy, 325 Church Street, Toronto, Canada. Email: uberardi@ryerson.ca Journal of Urban Technology, 2015 Vol. 22, No. 1, 3–21, http://dx.doi.org/10.1080/10630732.2014.942092 # 2015 The Society of Urban Technology Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

4 Journal of Urban Technology The metabolism of cities generally consists of the input of goods and the output of waste with consistent negative externalities,which amplify social and economic problems.Cities rely on too many external resources and,as a matter of fact,they are(and probably will always be)consumers of resources.Promoting sustainability has been interpreted through the promotion of natural capital stocks.Other,more recent,interpretations of urban sustainability have promoted a more anthropocentric approach,according to which cities should respond to people's needs through sustainable solutions for social and economic aspects Turcu,2013;Berardi,2013a;2013b). The current scenario requires cities to find ways to manage new challenges. Cities worldwide have started to look for solutions which enable transportation linkages,mixed land uses,and high-quality urban services with long-term posi- tive effects on the economy.For instance,high-quality and more efficient public transport that responds to economic needs and connects labor with employment 1snany is considered a key element for city growth.Many of the new approaches related to urban services have been based on harnessing technologies,including ICT, helping to create what some call "smart cities." A The concept of the smart city is far from being limited to the application of technologies to cities.In fact,the use of the term is proliferating in many sectors with no agreed upon definitions.This has led to confusion among urban policy makers,hoping to institute policies that will make their cities "smart." This paper seeks to advance state-of-the-art knowledge on what a smart city is,what its key dimensions are,and how its performance can be evaluated.It is based on a review of the literature,including peer reviewed papers published after 2008.In particular,it is structured as follows.First,the main definitions of "smart city"are reviewed,highlighting the different meanings given to this concept and the several perspectives through which it has been studied;next,it analyzes the key dimensions of a smart city;then it focuses on the measures of per- formance of a smart city,reports on the experiences of so called,smart cities; finally closing with a discussion of the main findings of the study. 名 apeojumo Definitions of Smart Cities Many definitions of smart cities exist.A range of conceptual variants is often obtained by replacing"smart"with alternative adjectives,for example,"intelli- gent"or "digital".The label "smart city"is a fuzzy concept and is used in ways that are not always consistent.There is neither a single template of framing a smart city,nor a one-size-fits-all definition of it(O'Grady and O'Hare,2012). The term was first used in the 1990s.At that time,the focus was on the signifi- cance of new ICT with regard to modern infrastructures within cities.The Califor- nia Institute for Smart Communities was among the first to focus on how communities could become smart and how a city could be designed to implement information technologies (Alawadhi et al.,2012).Some years later,the Center of Governance at the University of Ottawa started criticizing the idea of smart cities as being too technically oriented.In this reading,the smart city should have a strong governance-oriented approach which emphasizes the role of social capital and relations in urban development.However,the "smart city" label diffused in the first years of the new century as an "urban labelling" phenomenon.A few years ago,researchers started asking real smart cities to

The metabolism of cities generally consists of the input of goods and the output of waste with consistent negative externalities, which amplify social and economic problems. Cities rely on too many external resources and, as a matter of fact, they are (and probably will always be) consumers of resources. Promoting sustainability has been interpreted through the promotion of natural capital stocks. Other, more recent, interpretations of urban sustainability have promoted a more anthropocentric approach, according to which cities should respond to people’s needs through sustainable solutions for social and economic aspects (Turcu, 2013; Berardi, 2013a; 2013b). The current scenario requires cities to find ways to manage new challenges. Cities worldwide have started to look for solutions which enable transportation linkages, mixed land uses, and high-quality urban services with long-term positive effects on the economy. For instance, high-quality and more efficient public transport that responds to economic needs and connects labor with employment is considered a key element for city growth. Many of the new approaches related to urban services have been based on harnessing technologies, including ICT, helping to create what some call “smart cities.” The concept of the smart city is far from being limited to the application of technologies to cities. In fact, the use of the term is proliferating in many sectors with no agreed upon definitions. This has led to confusion among urban policy makers, hoping to institute policies that will make their cities “smart.” This paper seeks to advance state-of-the-art knowledge on what a smart city is, what its key dimensions are, and how its performance can be evaluated. It is based on a review of the literature, including peer reviewed papers published after 2008. In particular, it is structured as follows. First, the main definitions of “smart city” are reviewed, highlighting the different meanings given to this concept and the several perspectives through which it has been studied; next, it analyzes the key dimensions of a smart city; then it focuses on the measures of performance of a smart city, reports on the experiences of so called, smart cities; finally closing with a discussion of the main findings of the study. Definitions of Smart Cities Many definitions of smart cities exist. A range of conceptual variants is often obtained by replacing “smart” with alternative adjectives, for example, “intelligent” or “digital”. The label “smart city” is a fuzzy concept and is used in ways that are not always consistent. There is neither a single template of framing a smart city, nor a one-size-fits-all definition of it (O’Grady and O’Hare, 2012). The term was first used in the 1990s. At that time, the focus was on the signifi- cance of new ICT with regard to modern infrastructures within cities. The California Institute for Smart Communities was among the first to focus on how communities could become smart and how a city could be designed to implement information technologies (Alawadhi et al., 2012). Some years later, the Center of Governance at the University of Ottawa started criticizing the idea of smart cities as being too technically oriented. In this reading, the smart city should have a strong governance-oriented approach which emphasizes the role of social capital and relations in urban development. However, the “smart city” label diffused in the first years of the new century as an “urban labelling” phenomenon. A few years ago, researchers started asking real smart cities to 4 Journal of Urban Technology Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

Smart Cities:Definitions,Dimensions,Performance,and Initiatives 5 stand up and to show the many aspects that are hidden behind a self-declaratory attribution of the label of "smart city"(Hollands,2008). Nam and Pardo(2011)investigated possible meanings of the term "smart"in the smart city context.In particular,in the marketing language,"smartness"is a more user-friendly term than the more elitist term"intelligent,"which is gener- ally limited to having a quick mind and being responsive to feedback.Other interpretations suggest that "smart"contains the term "intelligent,"because the smartness is realized only when an intelligent system adapts itself to the users' needs. Harrison et al.(2010),in an IBM corporate document,stated that the term "smart city"denotes an "instrumented,interconnected and intelligent city." "Instrumented"refers to the capability of capturing and integrating live real- 102 world data through the use of sensors,meters,appliances,personal devices, and other similar sensors."Interconnected"means the integration of these data n3nV into a computing platform that allows the communication of such information among the various city services."Intelligent"refers to the inclusion of complex analytics,modelling,optimization,and visualization services to make better oper- ational decisions (Harrison et al.,2010). 6:1010 In the urban planning field,the term "smart city"is often treated as an ideo- logical dimension according to which being smarter entails strategic directions. Governments and public agencies at all levels are embracing the notion of smart- ness to distinguish their policies and programs for targeting sustainable develop- ment,economic growth,better quality of life for their citizens,and creating happiness(Ballas,2013). Table 1 reports some of the different definitions and meanings given to the concept of"smart city."However,the table clarifies that the smart city concept is no longer limited to the diffusion of ICT,but it looks at people and community needs.Batty et al.(2012)clarified this aspect stressing that the diffusion of ICT in cities has to improve the way every subsystem operates,with the goal of enhan- cing the quality of life. Nam and Pardo(2011)discussed the difference between the concept of the smart city and other related terms,such as digital,intelligent or ubiquitous city, along with the three categories of technology,people,and community.From the 花o P technology perspective,a smart city is a city with a great presence of ICT applied to critical infrastructure components and services (Washburn et al., 2010).ICT permeate into intelligent-acting products and services,artificial intelli- gence,and thinking machines(Klein and Kaefer,2008).Smart homes and smart buildings are examples of systems equipped with a multitude of mobile terminals and embedded devices as well as connected sensors and actuators(Ghaffarian Hoseini et al.,2013).Hancke et al.(2013)provide an overview of the state of the art sensors used for monitoring physical infrastructure in a smart city and discuss a large number of pertained applications.For example,advanced energy sensing enables more accurate metering needed for the development of urban smart energy grids,whereas mobility sensors improve traffic control schemes.Worldwide research is currently focusing on the wireless sensor network node technology,system miniaturization,intelligent wireless technology, communication and heterogeneous network,network planning and deployment, comprehensive perception and information processing,code resolution service, searching,tracking,and information distribution to make a smart city the exten- sion of a smart space to the entire city scale (Liu and Peng,2013)

stand up and to show the many aspects that are hidden behind a self-declaratory attribution of the label of “smart city” (Hollands, 2008). Nam and Pardo (2011) investigated possible meanings of the term “smart” in the smart city context. In particular, in the marketing language, “smartness” is a more user-friendly term than the more elitist term “intelligent,” which is generally limited to having a quick mind and being responsive to feedback. Other interpretations suggest that “smart” contains the term “intelligent,” because the smartness is realized only when an intelligent system adapts itself to the users’ needs. Harrison et al. (2010), in an IBM corporate document, stated that the term “smart city” denotes an “instrumented, interconnected and intelligent city.” “Instrumented” refers to the capability of capturing and integrating live realworld data through the use of sensors, meters, appliances, personal devices, and other similar sensors. “Interconnected” means the integration of these data into a computing platform that allows the communication of such information among the various city services. “Intelligent” refers to the inclusion of complex analytics, modelling, optimization, and visualization services to make better operational decisions (Harrison et al., 2010). In the urban planning field, the term “smart city” is often treated as an ideological dimension according to which being smarter entails strategic directions. Governments and public agencies at all levels are embracing the notion of smartness to distinguish their policies and programs for targeting sustainable development, economic growth, better quality of life for their citizens, and creating happiness (Ballas, 2013). Table 1 reports some of the different definitions and meanings given to the concept of “smart city.” However, the table clarifies that the smart city concept is no longer limited to the diffusion of ICT, but it looks at people and community needs. Batty et al. (2012) clarified this aspect stressing that the diffusion of ICT in cities has to improve the way every subsystem operates, with the goal of enhancing the quality of life. Nam and Pardo (2011) discussed the difference between the concept of the smart city and other related terms, such as digital, intelligent or ubiquitous city, along with the three categories of technology, people, and community. From the technology perspective, a smart city is a city with a great presence of ICT applied to critical infrastructure components and services (Washburn et al., 2010). ICT permeate into intelligent-acting products and services, artificial intelligence, and thinking machines (Klein and Kaefer, 2008). Smart homes and smart buildings are examples of systems equipped with a multitude of mobile terminals and embedded devices as well as connected sensors and actuators (Ghaffarian Hoseini et al., 2013). Hancke et al. (2013) provide an overview of the state of the art sensors used for monitoring physical infrastructure in a smart city and discuss a large number of pertained applications. For example, advanced energy sensing enables more accurate metering needed for the development of urban smart energy grids, whereas mobility sensors improve traffic control schemes. Worldwide research is currently focusing on the wireless sensor network node technology, system miniaturization, intelligent wireless technology, communication and heterogeneous network, network planning and deployment, comprehensive perception and information processing, code resolution service, searching, tracking, and information distribution to make a smart city the extension of a smart space to the entire city scale (Liu and Peng, 2013). Smart Cities: Definitions, Dimensions, Performance, and Initiatives 5 Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

6 Journal of Urban Technology Table 1:Definitions of a smart city Definition Source Smart city as a high-tech intensive and advanced city that connects people, Bakici et al.(2012) information and city elements using new technologies in order to create a sustainable,greener city,competitive and innovative commerce,and an increased life quality. Being a smart city means using all available technology and resources in an Barrionuevo et al. intelligent and coordinated manner to develop urban centers that are at (2012) once integrated,habitable,and sustainable. A city is smart when investments in human and social capital and traditional Caragliu et al.(2011) (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. 102 Smart cities will take advantage of communications and sensor capabilities Chen(2010) sewn into the cities'infrastructures to optimize electrical,transportation, and other logistical operations supporting daily life,thereby improving 1snany the quality of life for everyone. Two main streams of research ideas:1)smart cities should do everything Cretu(2012) related to governance and economy using new thinking paradigms and 2) smart cities are all about networks of sensors,smart devices,real-time data,and ICT integration in every aspect of human life. Smart community-a community which makes a conscious decision to Eger(2009) aggressively deploy technology as a catalyst to solving its social and business needs-will undoubtedly focus on building its high-speed broadband infrastructures,but the real opportunity is in rebuilding and renewing a sense of place,and in the process a sense of civic pride.[... Smart communities are not,at their core,exercises in the deployment and use of technology,but in the promotion of economic development,job growth,and an increased quality of life.In other words,technological propagation of smart communities isn't an end in itself,but only a means to reinventing cities for a new economy and society with clear and compelling community benefit. A smart city is based on intelligent exchanges of information that flow Gartner(2011) between its many different subsystems.This flow of information is analyzed and translated into citizen and commercial services.The city will act on this information flow to make its wider ecosystem more resource- 含 efficient and sustainable.The information exchange is based on a smart governance operating framework designed to make cities sustainable. apeojuM A city well performing in a forward-looking way in economy,people, Giffinger et al.(2007） governance,mobility,environment,and living,built on the smart combination of endowments and activities of self-decisive,independent and aware citizens.Smart city generally refers to the search and identification of intelligent solutions which allow modern cities to enhance the quality of the services provided to citizens. A smart city,according to ICLEI,is a city that is prepared to provide Guan(2012) conditions for a healthy and happy community under the challenging conditions that global,environmental,economic and social trends may bring A city that monitors and integrates conditions of all of its critical Hall(2000) infrastructures,including roads,bridges,tunnels,rails,subways,airports, seaports,communications,water,power,even major buildings,can better optimize its resources,plan its preventive maintenance activities,and monitor security aspects while maximizing services to its citizens. A city connecting the physical infrastructure,the IT infrastructure,the social Harrison et al.(2010) infrastructure,and the business infrastructure to leverage the collective intelligence of the city. (Continued)

Table 1: Definitions of a smart city Definition Source Smart city as a high-tech intensive and advanced city that connects people, information and city elements using new technologies in order to create a sustainable, greener city, competitive and innovative commerce, and an increased life quality. Bakıcı et al. (2012) Being a smart city means using all available technology and resources in an intelligent and coordinated manner to develop urban centers that are at once integrated, habitable, and sustainable. Barrionuevo et al. (2012) 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. (2011) Smart cities will take advantage of communications and sensor capabilities sewn into the cities’ infrastructures to optimize electrical, transportation, and other logistical operations supporting daily life, thereby improving the quality of life for everyone. Chen (2010) Two main streams of research ideas: 1) smart cities should do everything related to governance and economy using new thinking paradigms and 2) smart cities are all about networks of sensors, smart devices, real-time data, and ICT integration in every aspect of human life. Cretu (2012) Smart community – a community which makes a conscious decision to aggressively deploy technology as a catalyst to solving its social and business needs – will undoubtedly focus on building its high-speed broadband infrastructures, but the real opportunity is in rebuilding and renewing a sense of place, and in the process a sense of civic pride. [ ... ] Smart communities are not, at their core, exercises in the deployment and use of technology, but in the promotion of economic development, job growth, and an increased quality of life. In other words, technological propagation of smart communities isn’t an end in itself, but only a means to reinventing cities for a new economy and society with clear and compelling community benefit. Eger (2009) A smart city is based on intelligent exchanges of information that flow between its many different subsystems. This flow of information is analyzed and translated into citizen and commercial services. The city will act on this information flow to make its wider ecosystem more resourceefficient and sustainable. The information exchange is based on a smart governance operating framework designed to make cities sustainable. Gartner (2011) A city well performing in a forward-looking way in economy, people, governance, mobility, environment, and living, built on the smart combination of endowments and activities of self-decisive, independent and aware citizens. Smart city generally refers to the search and identification of intelligent solutions which allow modern cities to enhance the quality of the services provided to citizens. Giffinger et al. (2007) A smart city, according to ICLEI, is a city that is prepared to provide conditions for a healthy and happy community under the challenging conditions that global, environmental, economic and social trends may bring. Guan (2012) A city that monitors and integrates conditions of all of its critical infrastructures, including roads, bridges, tunnels, rails, subways, airports, seaports, communications, water, power, even major buildings, can better optimize its resources, plan its preventive maintenance activities, and monitor security aspects while maximizing services to its citizens. Hall (2000) A city connecting the physical infrastructure, the IT infrastructure, the social infrastructure, and the business infrastructure to leverage the collective intelligence of the city. Harrison et al. (2010) (Continued) 6 Journal of Urban Technology Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

Smart Cities:Definitions,Dimensions,Performance,and Initiatives 7 Table 1:Continued Definition Source (Smart)cities as territories with high capacity for learning and innovation, Komninos(2011) which is built-in the creativity of their population,their institutions of knowledge creation,and their digital infrastructure for communication and knowledge management. Smart cities are the result of knowledge-intensive and creative strategies Kourtit and Nijkamp aiming at enhancing the socio-economic,ecological,logistic and (2012) competitive performance of cities.Such smart cities are based on a promising mix of human capital (e.g.skilled labor force),infrastructural capital (e.g.high-tech communication facilities),social capital (e.g.intense and open network linkages)and entrepreneurial capital (e.g.creative and risk-taking business activities). Smart cities have high productivity as they have a relatively high share of Kourtit et al.(2012) 102 highly educated people,knowledge-intensive jobs,output-oriented planning systems,creative activities and sustainability-oriented 1snanv initiatives. Smart city [refers to]a local entity-a district,city,region or small country IDA(2012) -which takes a holistic approach to employ[ing]information technologies with real-time analysis that encourages sustainable economic development. A community of average technology size,interconnected and sustainable, Lazaroiu and Roscia comfortable,attractive and secure. (2012) The application of information and communications technology(ICT)with Lombardi et al.(2012) their effects on human capital/education,social and relational capital,and environmental issues is often indicated by the notion of smart city. A smart city infuses information into its physical infrastructure to improve Nam and Pardo(2011) conveniences,facilitate mobility,add efficiencies,conserve energy, improve the quality of air and water,identify problems and fix them quickly,recover rapidly from disasters,collect data to make better decisions,deploy resources effectively,and share data to enable collaboration across entities and domains. Creative or smart city experiments[...aimed at nurturing a creative Thite (2011) economy through investment in quality of life which in turn attracts knowledge workers to live and work in smart cities.The nexus of competitive advantage has[...shifted to those regions that can generate, 召 retain,and attract the best talent. Smart cities of the future will need sustainable urban development policies Thuzar (2011) apeojuM where all residents,including the poor,can live well and the attraction of the towns and cities is preserved.[...Smart cities are cities that have a high quality of life;those that pursue sustainable economic development through investments in human and social capital,and traditional and modern communications infrastructure (transport and information communication technology);and manage natural resources through participatory policies.Smart cities should also be sustainable,converging economic,social,and environmental goals. A smart city is understood as a certain intellectual ability that addresses Zygiaris(2013) several innovative socio-technical and socio-economic aspects of growth. These aspects lead to smart city conceptions as"green"referring to urban infrastructure for environment protection and reduction of CO2 emission, "interconnected"related to revolution of broadband economy, "intelligent"declaring the capacity to produce added value information from the processing of city's real-time data from sensors and activators, whereas the terms "innovating","knowledge"cities interchangeably refer to the city's ability to raise innovation based on knowledgeable and creative human capital. (Continued)

Table 1: Continued Definition Source (Smart) cities as territories with high capacity for learning and innovation, which is built-in the creativity of their population, their institutions of knowledge creation, and their digital infrastructure for communication and knowledge management. Komninos (2011) Smart cities are the result of knowledge-intensive and creative strategies aiming at enhancing the socio-economic, ecological, logistic and competitive performance of cities. Such smart cities are based on a promising mix of human capital (e.g. skilled labor force), infrastructural capital (e.g. high-tech communication facilities), social capital (e.g. intense and open network linkages) and entrepreneurial capital (e.g. creative and risk-taking business activities). Kourtit and Nijkamp (2012) Smart cities have high productivity as they have a relatively high share of highly educated people, knowledge-intensive jobs, output-oriented planning systems, creative activities and sustainability-oriented initiatives. Kourtit et al. (2012) Smart city [refers to] a local entity - a district, city, region or small country -which takes a holistic approach to employ[ing] information technologies with real-time analysis that encourages sustainable economic development. IDA (2012) A community of average technology size, interconnected and sustainable, comfortable, attractive and secure. Lazaroiu and Roscia (2012) The application of information and communications technology (ICT) with their effects on human capital/education, social and relational capital, and environmental issues is often indicated by the notion of smart city. Lombardi et al. (2012) A smart city infuses information into its physical infrastructure to improve conveniences, facilitate mobility, add efficiencies, conserve energy, improve the quality of air and water, identify problems and fix them quickly, recover rapidly from disasters, collect data to make better decisions, deploy resources effectively, and share data to enable collaboration across entities and domains. Nam and Pardo (2011) Creative or smart city experiments [ ... ] aimed at nurturing a creative economy through investment in quality of life which in turn attracts knowledge workers to live and work in smart cities. The nexus of competitive advantage has [ ... ] shifted to those regions that can generate, retain, and attract the best talent. Thite (2011) Smart cities of the future will need sustainable urban development policies where all residents, including the poor, can live well and the attraction of the towns and cities is preserved. [ ... ] Smart cities are cities that have a high quality of life; those that pursue sustainable economic development through investments in human and social capital, and traditional and modern communications infrastructure (transport and information communication technology); and manage natural resources through participatory policies. Smart cities should also be sustainable, converging economic, social, and environmental goals. Thuzar (2011) A smart city is understood as a certain intellectual ability that addresses several innovative socio-technical and socio-economic aspects of growth. These aspects lead to smart city conceptions as “green” referring to urban infrastructure for environment protection and reduction of CO2 emission, “interconnected” related to revolution of broadband economy, “intelligent” declaring the capacity to produce added value information from the processing of city’s real-time data from sensors and activators, whereas the terms “innovating”, “knowledge” cities interchangeably refer to the city’s ability to raise innovation based on knowledgeable and creative human capital. Zygiaris (2013) (Continued) Smart Cities: Definitions, Dimensions, Performance, and Initiatives 7 Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

8 Journal of Urban Technology Table 1:Continued Definition Source The use of Smart Computing technologies to make the critical infrastructure Washburn et al.(2010) components and services of a city-which include city administration, education,healthcare,public safety,real estate,transportation,and utilities-more intelligent,interconnected,and efficient. Smart Cities initiatives try to improve urban performance by using data, Marsal-Llacuna et al. information and information technologies(IT)to provide more efficient (2014) services to citizens,to monitor and optimize existing infrastructure,to increase collaboration among different economic actors,and to encourage innovative business models in both the private and public sectors. LIO isnany For corporations such as IBM,Cisco Systems,and Siemens AG,the techno- logical component is the key component to their conceptions of smart cities. Their approach has recently been critiqued by authors such as Adam Greenfield who argues in Against the Smart City(2013)that corporate-designed cities such A as Songdo (Korea),Masdar City (UAE),or PlanIT Valley (Portugal)eschew k:101 actual knowledge about how cities function and represent "empty"spaces that disregard the value of complexity,unplanned scenarios,and the mixed uses of urban spaces.There are authors,however,who have shown that technology [AISIAlun could be used in cities to empower citizens by adapting those technologies to their needs rather than adapting their lives to technological exigencies(Cugurullo, 2013,Kitchin,2014,Vanolo,2014). There are terms analogous to "smart cities"that add to the cacophony of terms relating to this phenomenon.As already stated,possible confusion uoloelf eyueyS] related to the technology perspective of a smart city comes from the top-down and company-driven actions taken for creating a smart city.However,it also comes from the confusion with other similar terms,such as digital,intelligent, virtual,or ubiquitous city.These terms refer to more specific and less inclusive levels of a city,so that the concepts of smart cities often include them(Caragliu et al.,2011;Deakin and Al Waer,2011;Townsend,2013).For example a digital city refers to"a connected community that combines broadband communications 花o P infrastructure to meet the needs of governments,citizens,and businesses" (Ishida,2002).The final goal of a digital city is to create an environment for infor- mation sharing,collaboration,interoperability,and seamless experiences anywhere in the city. The notion of the"intelligent city"emerges at the crossing of the knowledge society with the digital city(Yovanof and Hazapis,2009).According to Komninos et al.(2013),intelligent cities make conscious efforts to use information technology to transform life and work.The label intelligent implies the ability to support learning,technological development,and innovation in cities;in this sense, every digital city is not necessarily intelligent,but every intelligent city has digital components,although the "people"component is still not included in an intelligent city,as it is in a smart city (Woods,2013).In a "virtual city,"the city becomes a hybrid concept that consists of a reality,with its physical entities and real inhabitants,and a parallel virtual city of counterparts,a cyberspace.A "ubiquitous city"is an extension of the digital city concept in terms of wide acces- sibility.It makes the ubiquitous computing available to the urban elements every- where(Greenfield,2006;Townsend,2013).Its characteristic is the creation of an

For corporations such as IBM, Cisco Systems, and Siemens AG, the technological component is the key component to their conceptions of smart cities. Their approach has recently been critiqued by authors such as Adam Greenfield who argues in Against the Smart City (2013) that corporate-designed cities such as Songdo (Korea), Masdar City (UAE), or PlanIT Valley (Portugal) eschew actual knowledge about how cities function and represent “empty” spaces that disregard the value of complexity, unplanned scenarios, and the mixed uses of urban spaces. There are authors, however, who have shown that technology could be used in cities to empower citizens by adapting those technologies to their needs rather than adapting their lives to technological exigencies (Cugurullo, 2013, Kitchin, 2014, Vanolo, 2014). There are terms analogous to “smart cities” that add to the cacophony of terms relating to this phenomenon. As already stated, possible confusion related to the technology perspective of a smart city comes from the top-down and company-driven actions taken for creating a smart city. However, it also comes from the confusion with other similar terms, such as digital, intelligent, virtual, or ubiquitous city. These terms refer to more specific and less inclusive levels of a city, so that the concepts of smart cities often include them (Caragliu et al., 2011; Deakin and Al Waer, 2011; Townsend, 2013). For example a digital city refers to “a connected community that combines broadband communications infrastructure to meet the needs of governments, citizens, and businesses” (Ishida, 2002). The final goal of a digital city is to create an environment for information sharing, collaboration, interoperability, and seamless experiences anywhere in the city. The notion of the “intelligent city” emerges at the crossing of the knowledge society with the digital city (Yovanof and Hazapis, 2009). According to Komninos et al. (2013), intelligent cities make conscious efforts to use information technology to transform life and work. The label intelligent implies the ability to support learning, technological development, and innovation in cities; in this sense, every digital city is not necessarily intelligent, but every intelligent city has digital components, although the “people” component is still not included in an intelligent city, as it is in a smart city (Woods, 2013). In a “virtual city,” the city becomes a hybrid concept that consists of a reality, with its physical entities and real inhabitants, and a parallel virtual city of counterparts, a cyberspace. A “ubiquitous city” is an extension of the digital city concept in terms of wide accessibility. It makes the ubiquitous computing available to the urban elements everywhere (Greenfield, 2006; Townsend, 2013). Its characteristic is the creation of an Table 1: Continued Definition Source The use of Smart Computing technologies to make the critical infrastructure components and services of a city—which include city administration, education, healthcare, public safety, real estate, transportation, and utilities—more intelligent, interconnected, and efficient. Washburn et al. (2010) Smart Cities initiatives try to improve urban performance by using data, information and information technologies (IT) to provide more efficient services to citizens, to monitor and optimize existing infrastructure, to increase collaboration among different economic actors, and to encourage innovative business models in both the private and public sectors. Marsal-Llacuna et al. (2014) 8 Journal of Urban Technology Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

Smart Cities:Definitions,Dimensions,Performance,and Initiatives 9 environment where any citizen can get any service anywhere and anytime through any device.The ubiquitous city is different from the virtual city because,while the virtual city reproduces urban elements by visualizing them within virtual space,the ubiquitous city is created by the inclusion of computer chips or sensors in urban elements (Lee et al.,2013). As stated previously,the component that is missing in previous terms is that of people.These are the protagonists of a smart city,who shape it through continu- ous interactions.For this reason,other terms have often been associated with the concept of the smart city.For example,creativity is recognized as a key driver of smart city,and thus education,learning,and knowledge have central roles in a smart city(Thuzar,2011).The notion of a smart city includes creating a climate suitable for an emerging creative class(Florida,2002,2005).The social infrastruc- ture,such as intellectual and social capital,is an indispensable endowment to smart cities as it allows"connecting people and creating relationships"(Alawadhi 1sn3nV et al.,2012).Smart people generate and benefit from the social capital of a city,so the smart city concept acquires the meaning of a mix of education/training, culture/arts,and business/commerce with hybrid social,cultural,and economic enterprises (Winters,2011). 6:10 Focusing on education,Winters(2011)clarifies that a smart city is a center of higher education,better-educated individuals,and skilled workforces.Smart cities act as magnets for creative people and workers,and this allows the creation of a virtuous circle making them smarter and smarter.Consequently,a smart city has multiple opportunities to exploit its human potential and promote a creative life (Partridge,2004).Glaeser and Berry(2006)showed that the most rapid urban growth rates have been achieved in cities where a high share of the educated labor force is available.The buzz concept of being clever,smart,skillful,creative,net- SuojoeIf leyueyS] worked,connected,and competitive becomes a key ingredient of knowledge- based urban development(Dirks et al.,2010). The term"knowledge city"has emerged from discussions about smart cities.It is a city that encourages the nurturing of knowledge(Edvinsson,2006,Baqir and Kathawala,2008,Yigitcanlar et al.,2008).There has been an explosion of literature about this term in the last several years.The development of a knowledge-based urban environments has recently been spurred by the advancement of new cloud 花o P technologies used for urban monitoring systems.In fact,as sensors collect terabytes of information,data need to be aggregated and processed (Hancke et al.2013). Mitton et al.(2012)describe the potential of integrating cloud and sensors in smart cities and present a new architecture that provides the capability of obtaining any type of dataacquired from differentsensing infrastructures.In some cases,these technologies subvert the top-down,corporate vision some offer as a smart city. Instead,the large-scale diffusion of new sensors in devices such as smartphones allows individuals to share data collectively and extract information instantly. Another category used by Nam and Pardo(2011)for clarifying the concept of the smart city is that of community.This perspective starts from the previous bottom-up knowledge scheme,and it aims at inspiring the sense of community among citizens.The importance of this factor emulates the concept of smart com- munities where members and institutions work in partnership to transform their environment(Berardi,2013a,2013b).This means that the community of a smart city needs to feel the desire to participate and promote a(smart)growth.The concept of smart growth was largely used in the 1990s within the framework of New Urbanism,as a community-driven reaction to worsening trends in traffic

environment where any citizen can get any service anywhere and anytime through any device. The ubiquitous city is different from the virtual city because, while the virtual city reproduces urban elements by visualizing them within virtual space, the ubiquitous city is created by the inclusion of computer chips or sensors in urban elements (Lee et al., 2013). As stated previously, the component that is missing in previous terms is that of people. These are the protagonists of a smart city, who shape it through continuous interactions. For this reason, other terms have often been associated with the concept of the smart city. For example, creativity is recognized as a key driver of smart city, and thus education, learning, and knowledge have central roles in a smart city (Thuzar, 2011). The notion of a smart city includes creating a climate suitable for an emerging creative class (Florida, 2002, 2005). The social infrastructure, such as intellectual and social capital, is an indispensable endowment to smart cities as it allows “connecting people and creating relationships” (Alawadhi et al., 2012). Smart people generate and benefit from the social capital of a city, so the smart city concept acquires the meaning of a mix of education/training, culture/arts, and business/commerce with hybrid social, cultural, and economic enterprises (Winters, 2011). Focusing on education, Winters (2011) clarifies that a smart city is a center of higher education, better-educated individuals, and skilled workforces. Smart cities act as magnets for creative people and workers, and this allows the creation of a virtuous circle making them smarter and smarter. Consequently, a smart city has multiple opportunities to exploit its human potential and promote a creative life (Partridge, 2004). Glaeser and Berry (2006) showed that the most rapid urban growth rates have been achieved in cities where a high share of the educated labor force is available. The buzz concept of being clever, smart, skillful, creative, networked, connected, and competitive becomes a key ingredient of knowledgebased urban development (Dirks et al., 2010). The term “knowledge city” has emerged from discussions about smart cities. It is a city that encourages the nurturing of knowledge (Edvinsson, 2006, Baqir and Kathawala, 2008, Yigitcanlar et al., 2008). There has been an explosion of literature about this term in the last several years. The development of a knowledge-based urban environments has recently been spurred by the advancement of new cloud technologies used for urban monitoring systems. In fact, as sensors collect terabytes of information, data need to be aggregated and processed (Hancke et al., 2013). Mitton et al. (2012) describe the potential of integrating cloud and sensors in smart cities and present a new architecture that provides the capability of obtaining any type of data acquired from different sensing infrastructures. In some cases, these technologies subvert the top-down, corporate vision some offer as a smart city. Instead, the large-scale diffusion of new sensors in devices such as smartphones allows individuals to share data collectively and extract information instantly. Another category used by Nam and Pardo (2011) for clarifying the concept of the smart city is that of community. This perspective starts from the previous bottom-up knowledge scheme, and it aims at inspiring the sense of community among citizens. The importance of this factor emulates the concept of smart communities where members and institutions work in partnership to transform their environment (Berardi, 2013a, 2013b). This means that the community of a smart city needs to feel the desire to participate and promote a (smart) growth. The concept of smart growth was largely used in the 1990s within the framework of New Urbanism, as a community-driven reaction to worsening trends in traffic Smart Cities: Definitions, Dimensions, Performance, and Initiatives 9 Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

10 Journal of Urban Technology congestion,school overcrowding,air pollution,loss of open space,effacement of valued historic places,and skyrocketing public facility costs(Eger,2009).These goals are still among the reasons smart cities are attractive. Perhaps a reason that there is no general agreement about the term"smart cities"is that the term has been applied to two different kinds of"domains."It has,on the one hand,been applied to "hard"domains such as,buildings, energy grids,natural resources,water management,waste management,mobility, and logistics(Neirotti et al,2014),where ICT can play a decisive role in the func- tions of the systems.On the other hand,the term has also been applied to "soft domains"such as,education,culture,policy innovations,social inclusion,and government,where the application of ICT are not usually decisive. 102 Dimensions of a Smart City n3nV Dirks and Keeling(2009)stress the importance of the organic integration of a city's 8 various systems(transportation,energy,education,health care,buildings,physical infrastructure,food,water,and public safety)in creating a smart city.Researchers K6:100 who support this integrated view of a smart city often underline that in a dense environment,like that of cities,no system operates in isolation.Kanter and Litow (2009)stress this aspect in their Manifesto for Smarter Cities,where they affirm that infusing intelligence into each subsystem of a city,one by one,is insufficient to create a smart city,as this should be treated as an organic whole.However,many researchers,with the intent of clarifying what constitutes a smart city have separated this concept into many features and dimensions,justifying this decision with the complexity of managing the smart city concept in a holistic way. Komninos(2002,2011)in his attempt to delineate the features of an intelligent city,indicated that this has four possible dimensions(attention should be paid to the less inclusive reference to "intelligent"instead of "smart"city).The first dimension concerns the application of a wide range of electronic and digital technologies to create a cyber,digital,wired,informational or knowledge-based city;the second is the use of information technology to transform life and work;the third is to embed ICT in the city infrastructure;the fourth is to bring ICT and 花o P people together to enhance innovation,learning,and knowledge. Giffinger et al.(2007)identified four components of a smart city:industry, education,participation,and technical infrastructure.This list has since been expanded in a recent project conducted by the Centre of Regional Science at the Vienna University of Technology which has identified six main components(Gif- finger and Gudrun,2010).These components are a smart economy,smart mobility, a smart environment,smart people,smart living,and smart governance.These writers rely on the traditional and neoclassical theories of urban growth and development:regional competitiveness,transport and ICT economics,natural resources,human and social capital,quality of life,and participation of society members.Particularly interesting in the previous list of components of a smart city is the inclusion of the "quality of life.This component emphasizes the defi- nition of a smart city as a city that increases the life quality of its citizens(Giffinger et al.,2007).However,many researchers argue that quality of life may not rep- resent a separate dimension of a smart city,as all the actions taken in the other areas should have the objective of raising the quality of life,so that this represents the basic component (Shapiro,2006)

congestion, school overcrowding, air pollution, loss of open space, effacement of valued historic places, and skyrocketing public facility costs (Eger, 2009). These goals are still among the reasons smart cities are attractive. Perhaps a reason that there is no general agreement about the term “smart cities” is that the term has been applied to two different kinds of “domains.” It has, on the one hand, been applied to “hard” domains such as, buildings, energy grids, natural resources, water management, waste management, mobility, and logistics (Neirotti et al, 2014), where ICT can play a decisive role in the functions of the systems. On the other hand, the term has also been applied to “soft domains” such as, education, culture, policy innovations, social inclusion, and government, where the application of ICT are not usually decisive. Dimensions of a Smart City Dirks and Keeling (2009) stress the importance of the organic integration of a city’s various systems (transportation, energy, education, health care, buildings, physical infrastructure, food, water, and public safety) in creating a smart city. Researchers who support this integrated view of a smart city often underline that in a dense environment, like that of cities, no system operates in isolation. Kanter and Litow (2009) stress this aspect in their Manifesto for Smarter Cities, where they affirm that infusing intelligence into each subsystem of a city, one by one, is insufficient to create a smart city, as this should be treated as an organic whole. However, many researchers, with the intent of clarifying what constitutes a smart city have separated this concept into many features and dimensions, justifying this decision with the complexity of managing the smart city concept in a holistic way. Komninos (2002, 2011) in his attempt to delineate the features of an intelligent city, indicated that this has four possible dimensions (attention should be paid to the less inclusive reference to “intelligent” instead of “smart” city). The first dimension concerns the application of a wide range of electronic and digital technologies to create a cyber, digital, wired, informational or knowledge-based city; the second is the use of information technology to transform life and work; the third is to embed ICT in the city infrastructure; the fourth is to bring ICT and people together to enhance innovation, learning, and knowledge. Giffinger et al. (2007) identified four components of a smart city: industry, education, participation, and technical infrastructure. This list has since been expanded in a recent project conducted by the Centre of Regional Science at the Vienna University of Technology which has identified six main components (Gif- finger and Gudrun, 2010). These components are a smart economy, smart mobility, a smart environment, smart people, smart living, and smart governance. These writers rely on the traditional and neoclassical theories of urban growth and development: regional competitiveness, transport and ICT economics, natural resources, human and social capital, quality of life, and participation of society members. Particularly interesting in the previous list of components of a smart city is the inclusion of the “quality of life.” This component emphasizes the defi- nition of a smart city as a city that increases the life quality of its citizens (Giffinger et al., 2007). However, many researchers argue that quality of life may not represent a separate dimension of a smart city, as all the actions taken in the other areas should have the objective of raising the quality of life, so that this represents the basic component (Shapiro, 2006). 10 Journal of Urban Technology Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

Smart Cities:Definitions,Dimensions,Performance,and Initiatives 11 Table 2:Components of a smart city and related aspects(adapted from Lombardi etal.,2012) Components of a smart city Related aspect of urban life smart economy Industry smart people education smart governance e-democracy smart mobility logistics infrastructures smart environment efficiency sustainability smart living security quality Lombardi et al.(2012)have associated the six components with different aspects of urban life,as shown in Table 2.The smart economy has been associated with the presence of industries in the field of ICT or employing ICT in production processes.Smart mobility refers to the use of ICT in modern transport technol- 1太1ST ogies to improve urban traffic.Aspects referring to the preservation of the natural environment in cities are extensively covered in Giffinger et al.(2007), and Albino and Dangelico(2012). 6:10 According to Nam and Pardo(2011),the key components of a smart city are the technology,the people (creativity,diversity,and education),and the insti- tutions(governance and policy).Connections exist between these last two com- ponents,so that a city is really smart when investments in human and social capital,together with ICT infrastructures,fuel sustainable growth and enhance the quality of life.Although the point of view of this paper is to go beyond the simple identification of a smart city with the dense presence of ICT,these are surely a key element as they transform life and work.A smart city surely provides uoloelf eyueyS] some sort of interoperable and Internet-based government services that enable ubiquitous connectivity and transform key government processes towards citi- zens and businesses(Al-Hader et al.,2009).However,smart cities must integrate technologies,systems,services,and capabilities into an organic network that is sufficiently multi-sectorial and flexible for future developments,and moreover, open-access.This means that ICT must be a facilitator for creating a new type of 入Ko communicative environment,which requires the comprehensive and balanced development of creative skills,innovation-oriented institutions,broadband net- works,and virtual collaborative spaces(Komninos,2011).Paskaleva(2011)exten- sively discussed the topics of open innovation,and user engagement,and the risk that a strong corporate-based approach to creating smart cities may pose risks for the independence of governments. Smarter cities start from the human capital side,rather than blindly believing that ICT can automatically create a smart city (Shapiro,2006,Holland,2008). Approaches towards education and leadership in a smart city should offer environments for an entrepreneurship accessible to all citizens.The smart govern- ance instead of being elective,needs ridding of barriers related to language, culture,education,and disabilities.The smart people factor comprises various aspects,like affinity to lifelong learning,social and ethnic plurality,flexibility, creativity,cosmopolitanism,open-mindedness,and participation in public life (Nam and Pardo,2011).Also problems associated with urban agglomerations can be solved by creativity,human capital,and cooperation among relevant stake- holders(Baron,2012).Therefore,the label "smart city"should refer to the capacity of clever people to generate clever solutions to urban problems

Lombardi et al. (2012) have associated the six components with different aspects of urban life, as shown in Table 2. The smart economy has been associated with the presence of industries in the field of ICT or employing ICT in production processes. Smart mobility refers to the use of ICT in modern transport technologies to improve urban traffic. Aspects referring to the preservation of the natural environment in cities are extensively covered in Giffinger et al. (2007), and Albino and Dangelico (2012). According to Nam and Pardo (2011), the key components of a smart city are the technology, the people (creativity, diversity, and education), and the institutions (governance and policy). Connections exist between these last two components, so that a city is really smart when investments in human and social capital, together with ICT infrastructures, fuel sustainable growth and enhance the quality of life. Although the point of view of this paper is to go beyond the simple identification of a smart city with the dense presence of ICT, these are surely a key element as they transform life and work. A smart city surely provides some sort of interoperable and Internet-based government services that enable ubiquitous connectivity and transform key government processes towards citizens and businesses (Al-Hader et al., 2009). However, smart cities must integrate technologies, systems, services, and capabilities into an organic network that is sufficiently multi-sectorial and flexible for future developments, and moreover, open-access. This means that ICT must be a facilitator for creating a new type of communicative environment, which requires the comprehensive and balanced development of creative skills, innovation-oriented institutions, broadband networks, and virtual collaborative spaces (Komninos, 2011). Paskaleva (2011) extensively discussed the topics of open innovation, and user engagement, and the risk that a strong corporate-based approach to creating smart cities may pose risks for the independence of governments. Smarter cities start from the human capital side, rather than blindly believing that ICT can automatically create a smart city (Shapiro, 2006, Holland, 2008). Approaches towards education and leadership in a smart city should offer environments for an entrepreneurship accessible to all citizens. The smart governance instead of being elective, needs ridding of barriers related to language, culture, education, and disabilities. The smart people factor comprises various aspects, like affinity to lifelong learning, social and ethnic plurality, flexibility, creativity, cosmopolitanism, open-mindedness, and participation in public life (Nam and Pardo, 2011). Also problems associated with urban agglomerations can be solved by creativity, human capital, and cooperation among relevant stakeholders (Baron, 2012). Therefore, the label “smart city” should refer to the capacity of clever people to generate clever solutions to urban problems. Table 2: Components of a smart city and related aspects (adapted from Lombardi et al., 2012) Components of a smart city Related aspect of urban life smart economy smart people smart governance smart mobility smart environment smart living Industry education e-democracy logistics & infrastructures efficiency & sustainability security & quality Smart Cities: Definitions, Dimensions, Performance, and Initiatives 11 Downloaded by [Shanghai Jiaotong University] at 01:47 22 August 2017

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