European Group for Public Administration (EGPA) International Group of Administrative Science (IIAS) 2013 EGPA Annual Conference. Edinburg, Scotland. 11-13 September, 2013.
Smart Cities: comparisons between Latin American and European approaches. Challenges and opportunities. Authors: Gigli, Patricio (
[email protected]).
(
[email protected])
and
Stalker,
Germán
Institution: Center for Public Policies for Equity and Growth (CIPPEC, www.cippec.org). Buenos Aires, Argentina. Although there is an increasing interest in ‘knowledge cities’, there is a low academic production in the state of art regarding what ‘smart cities’ are. Usually, the idea of ‘smart cities´ differ depending on the country in which it is devised, and it is hard to find a common position on what the specific meaning of a ‘smart city’ amongst academics is. For example, while European countries include sustainable development in the concept, United States and United Kingdom emphasize the use of technologies. In Latin America, there is an optimistic perception regarding the use of technologies for urban planning and public management of local governments. The authors, are slightly more skeptical about the advances that directly link the use of technologies with a better relationship between citizens and local governments. The purpose of this article is to take a look at different definitions offered by specialists in European, and American countries about ‘smart cities’, and analyze them from a critical perspective. Hence, we can subsequently offer a conceptual framework of a definition from an empirical approach. Thus, placing special emphasis on developing countries, which takes into account the political, social, technological and economical context in which cities, riddled with contradictions and inequality, can share knowledge and attempt to solve common problems in a relatively effective manner. The components of the concept include government, quality of life, environment, sustainable development, economy and citizen participation, as well as mobility and infrastructure. Finally, we set out a reflection on some challenges and demands that city governments face to advance towards forms of development based on knowledge, which make cities smarter in the sense that they can find effective solutions to common problems.
Introduction "What is today the city for us? I have written something as a last love poem to the cities, where it is increasingly difficult to live in them as cities. Perhaps we are approaching a crisis of urban life, and the invisible cities are a dream that comes from the heart of the cities one can no longer live in" reflected, in 1983, Ítalo Calvino, one of the most prominent Italian writers of the midtwentieth century: a warning, in a way, about the challenges of cities management after World War II. However, what was becoming of the big cities to middle of the last century? The new profile industrialist who adopted the metropolitan regions became the general promise of a better life, but with the massive migration from the outskirts of large urban centres, came increased management challenges that had to be faced by government teams. Among them, and above all, the increased demand for services and the accumulation of new functions, in a context of an increasing scarcity of resources. By the end of the twentieth century this trend was not only reversed but enhanced by becoming politically administrative centres and engines of economic activity (and not exclusively industrialist, but rather diversified and focused in the service sector). Nowadays, more and more people are living and working in cities, and more and more people want to live and work there in the future. By 2050, according to United Nations estimates, seven out of ten people will be living in cities. In this scenario, and beyond the differences printed by the national-regional context, and the social and cultural patterns in each case, the most populated cities in the world like New York (USA), Tokyo (Japan), Mumbai (India), Shanghai (China), Rio de Janeiro (Brazil) and Buenos Aires (Argentina), among others, are facing similar challenges. What are the main challenges for urban governance teams? Among other things, improving the public service delivery and increasing the quality standards required by that provision, the promotion of sustainable economic development, with environmental protection and efficient use of energy resources to deal with the increased demand, use of new information technologies to accelerate communication and transactions between government and civil society, and to promote citizen participation in public affairs, new sustainable transport policies to moderate the collapse of public transport in the metropolitan area and particularly in the central areas, greater transparency and openness of public data to empower civil society and policy design comprehensive safety and crime prevention, also by new technologies. Specialists in local management, local officials and representatives of the private sector and civil society organizations argue that cities can overcome these challenges successfully to the extent if they succeed in adopting a new state-centric and citizen-
oriented and essentially participatory model, in synergy with other actors (companies, third sector and other governments), especially through the implementation of new technologies, enabling new solutions at low cost in the long run. Coining, in this way, an expression that seems to have monopolized the debate and reflection on the local agenda in international academic circles: this is the time for smart cities. The convincing interest in this phenomenon is reflected in international conferences, journals, and even in the institutional organization of some local governments. Articles in newspapers and magazines, interviews with experts and presentations at conferences and seminars monopolize the debate on local government agenda. Some local governments, as Buenos Aires City Government in Argentina, and enterprises also created areas dedicated to understanding the challenges of city management under the paradigm of the smart city. Today there is no academic agreement on what smart cities really are. What are smart cities? And what is even richer in terms of good governance, what are smart cities for? This paper will try to find answer to all these questions. Firstly, it will offer a collection of definitions, from different approaches, addressing the phenomenon of smart cities around the world. Secondly, critical perspective will be analyzed in these approaches and provide an adjusted definition about the city management experience in Latin America. Thirdly, we will discuss about the challenges of managing of cities in emerging countries.
1. What is a Smart City? Under the exponential growth of new technologies of information and communication arises in the world a new political paradigm, social and urban city management. This phenomenon, which is complex and multidimensional, generates great interest in the academic world but also increases in the field of public administration although there is still no consensus on its definition. What are smart cities? It should be noted that there is a theoretical vacuum in the state of art of the matter. There is no single definition that can be used and accepted in all times and places, but on the contrary, different definitions that could be fit to the social, political and economic context in which they are produced (Chourabi H. et al: 2012). The concept is still emerging and their use around the world is taking on different nomenclatures and meanings. In many cases, the term is considered a synonym for other similar concepts that have more dissemination and use in the academic environment, such as digital cities, sustainable cities, resilient cities, intelligent communities, among others. Box 1. Term used by world region / continent.
Northamerica Terminology used Intelligent
Europe city/ Smart city/ Eco city
Asia Smart
to refer to Smart Intelligent
city/Digital
Cities
community/ Digital
city/ Ubiquitus
community
city
1.1 Some definitions proposed and different approaches The survey work about specific bibliography on smart cities confirmed our first hypothesis: there are quite a few and different definitions. In this section we will mention some of them.
Box 2. Diferent definitions about Smart Cities.
Authors/Institutions
Definition
Centre Of Regional Science (2007) Vienna University of Technology “Smart Cities. Ranking of European medium-sized cities”
A city that develops in a prospective in six areas: 1) Economics 2) citizens: human and social capital, 3) Governance / Participation, 4) Transport and Mobility, 5) Environment / Natural Resources 6) Quality of Life, based on the intelligent combination of endowments and activities of citizens. A city that monitors and integrates all the conditions of basic infrastructure to optimize and improve their resources, planning preventive maintenance activities, supervise the security aspects and maximize the services to citizens. A city in which the investments in human capital, social capital and traditional infrastructures (transport) and modern (ICT) communication are a sustainable fuel for the economic growth and for the improvements in the quality of life, with an intelligent management of naturañ human resources through citizen participation. A city that combines ICT and web technology 2.0 designing and planning efforts to dematerialize and streamline governmental administrative processes and help to identify new and innovative solutions to the complexity of managing the city. City that uses ICT to make both their critical infrastructure, its components and public services offered, more interactive and efficient (...) A city where investments in human and social capital, and communication infrastructure encourage economic
Robert Hall (2000) 2nd International Life Extension Technology Worshop. “The Vision of a Smart City”
Caragliu et al. (2009) Politecnico di Milano, Italia, “Smart Cities in Europe”
Toppeta, D. (2010) “The Smart City Vision: How Innovation and ICT can build smart, liveable, and sustainable cities”
Telefonica Company (2011) “Smart Cities, un primer paso hacia la internet de las cosas”
European Commision (2012)
development sustainable high quality of life, with a wise management of natural resources by participatory government, the first step towards the Internet of things. The cities and the smart communities are a a model that integrates energy, transport, information, communication, aiming to catalyze progress in areas where i) the production, distribution and use of energy, ii) mobility and transport, iii) the information technology and communication are closely linked and offer new interdisciplinary opportunities to improve services and reduce the consumption of resources: energy, greenhouse, gases and other pollutants emissions.
In general terms, it recognizes smarts cities as areas of innovation, cities that promote effectiveness, efficiency and transparency in government management, by using new technology, the promotion of sustainable development, efficient use of resources and new sustainable ways of mobility in the city. Apart from the general conceptualizations of the terms used (all of which coincide with smart cities as areas of innovation) we can identify through the analysis of the definitions proposed by specialists, and even the risk of falling into tendentious generalizations, different approaches in different regions of the world. Firstly, it could be said that in Europe the focus seems to be centered on the social and human element of the city. Smart cities are areas of collaboration of the different social partners for a better quality of life for the community and sustainable development. Although there is no emphasis on the definition it might be on the end, the purpose of a smart city, and not on their means. Smart cities are smart cities when achieving conformity to the known parameters of sustainable development. On the other hand, the Anglo-Saxon and Asian approach seems to be focused on the technological component: cities are smarts when use, and generate, technological advantage in partnership with companies to achieve better, effective and efficient government administration. The focus is on the opportunities offered by new
technologies as a means: the intelligence is in the use of technological tools and not necessarily an end objective. Finally, it should be pointed out the role played in different parts of the world by the technology companies in the definition and conceptualization of the term. The distinction of the different approaches of each region in the world are not meant to be at all exhaustive, but rather the beginning of a study intending to better understand the phenomenon of intelligent cities from the theoretical point of view.
1.2 The need for an approach to the emerging cities As discussed below, these definitions make sense in terms of social, political, economic and cultural causes to them, and logically so. Therefore, the export of concepts from the experience that gave rise to, without modification, any questioning or adaptation, to other different contexts, is not the best option. Hence, the need to build and think a definition that fits the constraints, opportunities and realities of the great cities of Latin America, came across, perhaps even more than the rest of the cities of the world, contradictions and inequalities still unliquidated. Is it possible to talk about smart cities in Latin America? What are smart cities in this region? In the next section of this paper, we will offer a conceptual framework of a definition from an empirical approach.
2. An empirical approach The approach that we are proposing is to consider the implementation of urban public policies from a comprehensive approach that includes the concept of governance or good governance (Aguilar Villanueva: 2007), understood as a process of articulating public decisions that characterized the relationship between state and contemporary society. It involves building politics with mechanisms of consensus, contracts and guarantees for the participation of various neighbours, social organizations, third sector business organizations, intermediate entities, as well as each of the organizations from the public sector. It covers both internal and external management, city's attention on the claims and demands of citizens, optimizing the use of technology, simplifying formalities, access to public information and municipal decentralization with three strategic objectives. Smart Cities are possible only with a context of effective decentralization. Moreover, the perspective of its implementations should be inclusive. Not only as receiving and responding to citizen punctual demands, but as the application give the procedure and treatment to enable the satisfaction of citizens. So that an improvement process that understands the attention to citizens only as reception and response will be insufficient and operate just like a makeover, without attacking the central knots demand management: Box 3. Municipal decentralization must with three strategic objectives.
Improve the effectiveness of municipal services through the deconcentration of administrative formalities. Promote territorial development and urban-environmental improvements in different districts. Strengthen democracy and build citizenship from the implementation of different levels of participation.
Experience indicates that the opening for direct citizen involvement in defining public policies helps to build a functioning state in an honest and austere fashion, establishing the idea that it is possible to combine efficiency with transparency to improve satisfaction for essential rights. Moreover, the continuing modernization of the municipal state and the increase in efficiency to improve the care of citizens as essential elements of government management should be a strategic decision that will takes shape both at the normative level, as in the daily management of public resources. At the same time, providing different levels of interaction between citizens and local government either via Web
applications or portal technology that will be developed as through traditional channels, and will be allow for two-way communication between users and governments. It should aim to ensure personalized attention, not in person but in virtual form. The principles that will guide our approach to the project of a smart city are: Principle of service to citizens; Principle of transparency; Participation Principle; Principle of equity; Proximity principle; Principles of efficiency, effectiveness and economy; Synergy generation principle; Principle of administrative simplification and, Principle of interoperability. Another of the central components is to improve the accessibility of public information. The digitization of individual site plans, the medical history and local government regulations are some basic steps to take. These tasks operate as a precondition to improve access to information held by the municipal state. Moreover, they are inputs for the effective exercise of citizen participation and accountability. In fact, the information that governments produce and shelter belongs to the public, who can use that information to monitor, evaluate and contribute to the formulation of public policies. Ultimately, the implementation expects the intervention of public policy in the city to move towards the inclusive growth. In the same sense, it is important to live in a city that protects its environment through projects, educational experiences and experiences of promoting environmental quality and sustainable development, and a city that in its urban design improves social and environmental conditions in which it operates.
3. Future Challenges for developing countries. 3.1 The substantive challenge We mentioned that the incorporation of information technology and communications (ICT) are producing profound changes in people's daily lives in their social and working environment, in the activity of enterprises, organizations and institutions, as well as in human and economic relations. These changes represent unimaginable opportunities in what is related to the improving of delivering public services and in the development of forms of governments more open and participatory. In other words, more smart. While applications and services through electronic government (E-Gov) exhibit a continuous expansion and development, policies and E-Gov programs are at an inflection point in this region: they must placed the citizens, specially vulnerable population, in a central position, in order to consolidate the progress made, and make a qualitative leap in the modernization of the State and transparency focusing on social inclusion. Overall, the implementation of any policy is to carry out a basic policy decision that defines the problem to be solved and stipulates the objectives, and when it gets to be put into action, unleashing opportunities, expectations, powers and interests involving workloads and responsibilities. Implementation forms vary according to the different cultures and institutional arrangements in which it develops. That is why, the challenge of implementation is achieved as long as public servants orient their actions to the satisfaction of citizens and by variables of ethical behaviour. Converting into concrete results, a political decision means knowing that there are expectations and opportunities, time and multiplicity of actors, interests and responsibilities that must be taken into account throughout the implementation process. Hence, the implementation of strategies for smart cities consists in a complex and confrontational processes, that demands searching for a way to integrate differences and coordination and result in a harmonious and effective collective action. The target that should guide this process should always be the citizens themselves. To do so, cities should have a master plan for use and applicate technologies to establish general guidelines for local government action in the matter, which will guide the municipality in the use and strategic incorporation of ICT, with a horizon medium and long term. The plan will guide the process of incorporating new technologies in various processes and functions carried out by local governments, anticipating scenarios and addressing different perspectives on the subject.
With a plan of these characteristics, local governments are formed as catalysts of the use of technology among citizens in cities and local organization to improve services to citizens in an inclusive manner. However, the incorporation of technology in the provision of government services and the delivery of public goods, is basically a means: technologies are just tools. This means that they are not good nor bad in themselves. Public policy is there to guide the critical appropriation process, adequate adaptation and an intelligent use, anticipating the consequences and scenarios that may arise in the medium term. In order to strengthen and streamline the use of technology in the relationship of the neighbours, the neighbours and businesses with the municipalities, as well as with the idea of making full use of its benefits, use planning and application of technology will determine the general principles of action of the local municipal government in the matter. Will provide guidance to local governments for the use and implementation of ICT, according to the axes defined for the modernization of the local state and system policies. Some of the questions to be answered by a master plan are: What are the main challenges and opportunities faced by the local government to make intensive use of ICT aimed at improving the quality of management and democracy? What are the main goals that can compromise the local government over the medium and long term? What are the main economics, human and cultural conditions for an efficient incorporation of ICT in municipalities? What outstanding characteristics can be obtained from successful experiences of public agencies that used the technology to improve the relationship with citizens? Can these characteristics be replicated in other municipalities considering their context? What lessons can be drawn to strengthen the link between local governments and citizens through the use of ICT? Afterward, starts the period of diagnosis and survey of the current situation of the municipality in terms of citizen services. At this stage, it is intended that the consulting contribute information to understand and evaluate the current process in municipal citizen service, while input-basis for the further development of a comprehensive model of municipal management in the field. The plan should establish the basic guidelines for a management model that includes: The standardized and contain the interactions between the Municipality and / female citizens regarding claims, proceedings complaints and consultations
through a conceptual framework including comprehensive and coherent organizational process redesign. The design, development and installation of technology solutions are comprehensive and specific. Training of officials and city staff. Focusing on the citizen as the center of electronic government overcome by the factors that determine the current exclusion of citizens in the management of eGovernment with appropriate strategies to the mainstream citizen. Giving priority to those social sectors that are excluded and vulnerable through innovative pathways for disadvantaged sectors are the biggest beneficiaries of the benefits of e-government and m-government as well as to shape strategies for its use by the recipients. Promoting the sustainability of e-government with the mechanisms and factors that determine the sustainability of e-government solutions (political, social, organizational, technical, financial, etc.). Promoting Open Government models. Establishing the factors that facilitate or inhibit the implementation of ICT can support and render the concept, model and Open Government premises and to translate strategies to implementation. Interoperability (IO). Delivering quality public services to citizens through the use of ICT requires the reformulation of public processes. The concept of IO exceeds the required technical-computing and solving technological, informational, organizational, regulatory, legal and socio-cultural. It is a cluster of challenges to be addressed by municipalities and sometimes come into tension with management routines, habits, customs and processes that, in turn crossed by cultural variables, are not focused on ICT. Agenda security and data protection information management. It requires the development of a strategy for strengthening and sophistication of security measures of information. Planning should answer the question of: What place is the government and where it should be as a provider of public technologies, and what we should know in the medium and long term to support the advancement of the use of technology to transform the Municipality?
3.2 Other challenges regarding academic production and public administration In this section we will try to account for a series of challenges that, in our view, smart government agenda is facing nowadays in the cities of the region. - It is necessary to contribute, within academic spaces in the region renowned for building a sustainable agenda of innovation for our local governments.
Regional universities and study centres still don't provide specific study plans or courses for graduated students to train public administrators . Projects of a smart city require intervention from specialised professionals of a vast array of disciplines . Training of these specialised professionals would be great , as they will be able to address issues in the most integral and holistic way for the projects of this new agenda. - The initiatives of a smart city of a region are isolated and uncoordinated. The governments of cities in the region have absorbed in their work agendas innovation challenges in the era of smart cities, although the initiatives implemented under this approach are uncoordinated, often the rest of government policies. In this sense the lack of coordination among various government still adds the lack of coordination between governments and businesses, civil society organizations and educational institutions. - There are no areas dedicated to issues related with smart cities in the local government organization. In general, local governments in the region have not made any progress in translating the effort for the innovation in creating areas dedicated to the management of smart city projects. The City of Buenos Aires (Argentina) is an exception: in December 2011 it created the first DG Smart City projects within the scope of the Ministry of Modernization. - It is not easy to develop a methodology which could allow us to have a universal advance in cities under the concept of smart city. As there is no universal valid conceptualization of smart cities, thus it must be adapted to take into account the social, political, economic and cultural context given. It is not possible to develop a methodology that can measure the progress of a universal city under this concept.
4. Final reflections We said that cities can successfully overcome the challenges to the extent that they succeed in adopting a new management model, state-centric with a focus on citizen participation, in synergy with other actors (with companies, NGOs and also with other governments), particularly through the implementation of new technologies, enabling new solutions at low cost in the long run. To do this, it should include structural devices, legal, organizational, cultural and technological developments to balance the situation, meeting the rights and obligations with reasonable costs. Among other activities, including: the continuous risk management to achieve balance cost / benefit, the uniformity of institutional security policies for the Information Systems and Administrative Management, the development of IT practices for secure data handling, and documentation of best practices for backup, data protection and elimination in secondary support. The smart city phenomenon has attracted the interest of local governments and businesses, also in some cases has created areas dedicated to understanding the challenges of city management under the paradigm of smart cities. While trends in this area do not provide for substantive changes, except the deepening and appropriation of technologies by state actors, business, and people in general, the fact is that this process requires providing a strategic framework and being designed, engineered and developed by the local government, for the inhabitants of the city. Today there is no academic consensus on what smart cities really are. What are smart cities? And what is even richer in terms of good governance, smart cities are for what? The establishment of a recognized and accepted management model, applicable in any organization and in different institutional different contexts, not only is a difficult task. Furthermore, it is of doubtful application to public bodies, while certain assumptions can not be transplanted uncritically. However, it is possible to identify some characteristics, compared experiences and recommendations that can to guide the discussion: Encourage a cultural transformation in governance with the idea that citizen participation is a responsibility of rulers and ruled. As you can see, participation should be seen in terms of "co-production" between government and citizens. And this takes time. The effort to change the behaviour of large numbers of people, requires a conceptual framework and technical skills that can be adjusted to different contexts as well as a temporary look of medium and long term to implement the policy that makes possible changes. Abate the gap in technical and human capacities installed inside the entities required to achieve an improvement and efficiency in public administration supported by
the use of IT and 2) ensuring that these new developments will be useful to society, promote greater social participation, accountability and innovative initiatives coming from the social sphere. Apply processes approaches. This perspective, can include counselling for public organizations to achieve concrete , measurable results and have an impact on the fulfillment of the strategic objectives. The implementation of ICT. Sensibility is required for internal structures of local governments as well as the public about the advantages of digital democracy, and training them in the use of the mentioned technologies in various democratic processes. To position the issue, the public interest not only trigger a wider debate about it but also the use of digital democracy resources to enhance citizen participation in all aspects of democratic life. The transparency and the right of access to information. Indeed, the supply of information by public institutions is not the result of a grace or favor of those in power, but an obligation for republican states. Access to information held by government is a human right for people whose counterpart is the duty of states to deliver the data in a complete, adequate and timely accurate. Ultimately, the prospect proposal aims to change the administration, focused on your needs by managing the needs of the citizens, the opacity and discretionary use of power by the transparency and access to information based management standards and functions for standards-based management and results management for the implementation of budget management to achieve objectives and goals, conducting individual and repetitive tasks by encouraging innovation and teamwork; based controls tradition for the ongoing accountability and controls in terms of management and results.
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