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Modelling the smart city performance

a b c
Patrizia Lombardi , Silvia Giordano , Hend Farouh & Wael
d
Yousef
a
Politecnico di Torino, Department of Housing and Cities, Turin,
Italy
b
SITI Innovation Research Centre of Politecnico di Torino, Turin,
Italy
c
Housing and Building National Research Center (HBRC), Giza,
Egypt
d
Department of Urban Planning, Al-Azhar University, Cairo, Egypt
Published online: 19 Apr 2012.

To cite this article: Patrizia Lombardi , Silvia Giordano , Hend Farouh & Wael Yousef (2012)
Modelling the smart city performance, Innovation: The European Journal of Social Science
Research, 25:2, 137-149, DOI: 10.1080/13511610.2012.660325

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 Innovation
The European Journal of Social Science Research
Vol. 25, No. 2, June 2012, 137
149

Modelling the smart city performance

Patrizia Lombardia*, Silvia Giordanob, Hend Farouhc and Wael Yousef d
a
Politecnico di Torino, Department of Housing and Cities, Turin, Italy; bSITI Innovation
Research Centre of Politecnico di Torino, Turin, Italy; cHousing and Building National Research
Center (HBRC), Giza, Egypt; dDepartment of Urban Planning, Al-Azhar University, Cairo,
Egypt
(Received 13 October 2010; final version received 10 October 2011)
Downloaded by [York University Libraries] at 13:57 07 August 2013

This paper aims to offer a profound analysis of the interrelations between smart
city components connecting the cornerstones of the triple helix. The triple helix
model has emerged as a reference framework for the analysis of knowledge-based
innovation systems, and relates the multiple and reciprocal relationships between
the three main agencies in the process of knowledge creation and capitalization:
university, industry and government. This analysis of the triple helix will be
augmented using the Analytic Network Process to model, cluster and begin
measuring the performance of smart cities. The model obtained allows interac-
tions and feedbacks within and between clusters, providing a process to derive
ratio scales priorities from elements. This offers a more truthful and realistic
representation for supporting policy-making. The application of this model is still
to be developed, but a full list of indicators, available at urban level, has been
identified and selected from literature review.
Keywords: Analytic Network Process; smart city components; triple helix
approach

Introduction
The application of information and communications technology (ICT) in the context
of future cities is often indicated by the notion of smart city. This concept has been
quite fashionable in the policy arena in recent years. Compared with the concept of
digital city or intelligent city (Lombardi et al. 2009), the main focus is not limited
to the role of ICT infrastructure but is mainly on the role of human capital/edu-
cation, social and relational capital, and environmental issues. These are considered
important drivers of urban growth.
In order to explore the concept of a smart city, a revised triple helix model
has been recently proposed by Lombardi et al. (2012) focusing on the production
of knowledge by universities and government and the production of innovations
that are patented by industry and universities as an index of intellectual capital
(Etzkowitz 2008, Caragliu et al. 2009, Deakin 2010). This model presupposes that
the three helices operate in a complex urban environment, where market demand,
governance, civic involvement and citizens’ characteristics, along with cultural and
social capital endowments, shape the relationships between the traditional helices of
university, industry and government.

*Corresponding author. Email: patrizia.lombardi@polito.it

ISSN 1351-1610 print/ISSN 1469-8412 online

# 2012 ICCR Foundation
http://dx.doi.org/10.1080/13511610.2012.660325
http://www.tandfonline.com
 138 P. Lombardi et al.

The results of the above study has shown the analysis to baseline the develop-
ment of smart cities in terms of their dual roles as generators of intellectual capital,
creators of wealth and regulators of standards (university, industry, civil society
and government), as well as supporting the social learning and knowledge-transfer
abilities that are needed to meet the requirements of their regional innovation
systems.
Although this analysis has been a useful start for understanding the main
‘‘governance’’ component of smart cities, it does not consider the other recognized
aspects related to ecological sustainability. In addition, it does not recognize the
number of relationships and feedbacks between categories that are dependent upon
the interconnected and systemic nature of the aspects involved.
This paper proposes a different model that involves the civil society as one of
the main key actors, alongside universities, industry and government (Etzkowitz
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and Zhou 2006). This new framework is used for classifying smart city performance
indicators and for structuring an ANP
(Analytic Network Process) exercise (Saaty
2005) with the aim of investigating the relations between smart cities components,
actors and strategies to which they are moving. This exercise was conducted within
a focus group, involving a number of experts in different disciplines.

Smart city components and performance indicators

The concept of the smart city has been quite fashionable in the policy arena in
recent years, with the aim of drawing a distinction from the terms ‘‘digital city’’ and
‘‘intelligent city’’. Its main focus is still on the role of ICT infrastructure, but much
research has also been carried out on the role of human capital/education, social
and relational capital, and environmental interests as important drivers of urban
growth. (Komninos 2002, Shapiro 2008, Deakin 2010).
Although there is no agreement on the exact definition of a smart city, a number
of main dimensions of a smart city have been identified through a literature review
(Giffinger et al. 2007, Van Soom 2009, Fusco Girard et al. 2009) and include: smart
economy; smart mobility; smart environment; smart people; smart living; and smart
governance.
These six dimensions connect with traditional regional and neoclassical theories
of urban growth and development. In particular, the dimensions are based on theories
of regional competitiveness, transport and ICT economics, natural resources, human
and social capital, quality of life, and participation of citizens in the governance
of cities.
Although the term ‘‘smart city’’ is not very widely used yet in spatial planning
literature or urban studies, it is still possible to identify various aspects of it as a basis
for further elaboration. However, it should be noted that in the literature the term
is not used in a holistic way; rather it is used with reference to various aspects that
range from a smart city as an IT-district to a smart city as regarding the education
(or smartness) of its inhabitants.
In association with economy, smart city is used to describe a city with a ‘‘smart’’
industry. This implies especially industries in the fields of ICT as well as other
industries employing ICT in their production processes. The name ‘‘smart city’’ is
also used for business parks or districts comprising companies within this field
(Giffinger et al. 2007, Fusco Girard et al. 2009, Caragliu et al. 2009).
 Innovation
The European Journal of Social Science Research 139

The term is also used in relation to the education of a city’s inhabitants. A smart
city therefore has smart inhabitants in terms of their educational grade. In addition,
the term is referred to the relation between the city government administration and its
citizens. Good governance or smart governance is often referred to as the use of new
channels of communication for the citizens, e.g. ‘‘e-governance’’ or ‘‘e-democracy’’
(Florida 2002, Benner 2003, Torres et al. 2005, Lombardi et al. 2009).
The term ‘‘smart city’’ is furthermore used to discuss the use of modern tech-
nology in everyday urban life. This includes not only ICT but also, and especially,
modern transport technologies. Logistics as well as new transport systems are
‘‘smart’’ systems that improve urban traffic and inhabitants’ mobility. Moreover,
various other aspects referring to life in a city are mentioned in connection to the
term smart city, like security/safety, green, efficient and sustainable energy (Benner
2003, Komninos 2007, Giffinger et al. 2007, Caragliu et al. 2009).
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To sum up, there are several fields of activity that are described in the literature
in relation to the term smart city: industry, education, participation, technical
infrastructure and various ‘soft factors’ (Giffinger et al. 2007).
The triple helix model has recently emerged as a reference framework for the
analysis of knowledge-based innovation systems, and relates the multiple and
reciprocal relationships between the three main agencies in the process of knowledge
creation and capitalization: universities, industry and government (see for a recent
overview Etzkowitz 2008, Deakin 2010, Lombardi et al. 2012). In the context of the
present analysis, this paper will focus on this model as a starting point for the
assessment of the performance of smart cities. In order to link the evaluation of smart
city components and the three main helices of the model, a modified triple helix
framework is proposed that adds another unifying factor to the analysis, namely civil
society (Etzkowitz and Zhou 2006).
The advanced model presupposes that the four helices operate in a complex
urban environment, where civic involvement along with cultural and social capital
endowments shape the relationships between the traditional helices of university,
industry and government. The interplay between these actors and forces determines
the success of a city in moving on a smart development path.
This framework can be operationalized by focusing on the measurement of the
four helices and linking these to the main dimensions of a smart city (smart economy,
smart mobility, smart environment, smart people, smart living and smart govern-
ance). The result of this exercise is the development of a novel framework for
classifying smart city performance indicators, as shown in Table 1.
As one can see, both the main components/activities and the main actors/helices
of a smart city are represented. The identified clusters are: smart governance (related
to participation); smart human capital (related to people); smart environment (related
to natural resources); smart living (related to the quality of life); and smart economy
(related to competitiveness).
The sources of data for Table 1 were both a literature review, including EU
projects reports and the Urban Audit dataset, and indicators selected from statistics
of the European Commission, the European Green City Index, TISSUE, Trends
and Indicators for Monitoring the EU Thematic Strategy on Sustainable Develop-
ment of Urban Environment and the smart cities ranking of European medium-sized
cities. This includes more than 60 indicators classified in the five clusters. These
60 indicators were selected based on a questionnaire and two focus groups
 140 P. Lombardi et al.
Table 1. Smart city components, triple helix and performance indicators.

Clusters
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Revised triple Smart Human Capital

helix Smart Governance Smart Economy Indicators Smart Living Smart Environment

University No. of universities and Public expenditure on Percentage of population Percentage of An assessment of the
research centers in the city R&D
percentage of aged 15
64 with professors and ambitiousness of CO2
GDP per head of city secondary-level educationresearchers involved in emission reduction strategy
population living in Urban Audit international projects
and exchange
No. of courses entirely Public expenditure on Percentage of population Number of grants for An assessment of the
downloadable from the education
percentage aged 15
64 with higher international mobility extensiveness of city energy
internet/total no. courses of GDP per head of city education living in Urban per year efficiency standards for
population Audit buildings
Number of research Percentage of inhabitants Percentage of
grants funded by working in education and accessible courses for
international projects in research & development people with disabilities
sector (PWD)
Governement e-Government on-line GDP per head of city Voter turnout in national Proportion of the area Total annual energy
availability (percentage of population and EU parliamentary in for recreational consumption, in gigajoules
the 20 basic services that elections sports and leisure use per head
are fully available online) Debt of municipal Share of female city Green space (m2) to Efficient use of electricity (use
authority per resident representatives which the public has per GDP)
access, per capita
Percentage of households Median or average City representatives per Number of public Total annual water
with computers disposable annual resident libraries consumption, in cubic meters
household income per head
Unemployment rate Number of theaters Efficient use of water (use per
and cinemas GDP)

(Continued)
 Table 1 (Continued )

Clusters

Revised triple Smart Human Capital

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helix Smart Governance Smart Economy Indicators Smart Living Smart Environment

Innovation
The European Journal of Social Science Research 141

Percentage of households Energy intensity of the Health care Area in green space (m2)
with Internet access at economy
gross inland expenditure
Greenhouse gas emission
home consumption of energy percentage of GDP per intensity of energy
divided by GDP capita consumption
Tourist overnight stays An assessment of the
in registered comprehensiveness of policies
accommodation in per to contain urban sprawl and
year per resident to improve and monitor
environmental performance
Urban population exposure
to air pollution by particulate
matter
micrograms per
cubic meter
Civil society e-Government usage by Percentage of projects Foreign language skills Total book loans and The total percentage of the
individuals (percentage funded by civil society other media per working population traveling
individuals aged 16
74 resident to work on public transport,
who have used the by bicycle and by foot
Internet, in the last 3 Participation in life-long Museum visits per An assessment of the extent
months, for interaction learning (%) inhabitant to which citizens may
with public authorities) participate in environmental
decision-making
Individual level of Theater and cinema An assessment of the
computer skills attendance per extensiveness of efforts to
inhabitant increase the use of cleaner
transport
(Continued)
 142 P. Lombardi et al.
Table 1 (Continued )

Clusters

Revised triple Smart Human Capital

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helix Smart Governance Smart Economy Indicators Smart Living Smart Environment

Individual level of internet Percentage of citzens engaged

skills in environmental and
sustainability-oriented
activity
Industry Number of research grants Employment rate in: Patent applications per Number of enterprises The percentage of total
funded by companies, “ High Tech and inhabitant adopting ISO 14000 energy derived from
foundations, institutes/No creative industries standards renewable sources, as a share
annual scholarships “ Renewable energy of the city’s total energy
and energy efficieny consumption, in terajoules
systems Combined heat and power
“ Financial generation
percentage of
intermediation and gross electricity generation
business activities
“ Culture and
entertainment industry
“ Commercial services
“ Transport and
communication
“ Hotels and
restaurants
All companies (total Employment rate in Proportion of people Proportion of recycled waste
number) knowledge-intensive undertaking industry- per total kilogram of waste
sectors based training produced

(Continued)
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Table 1 (Continued )

Innovation
The European Journal of Social Science Research 143

Clusters

Revised triple Smart Human Capital

helix Smart Governance Smart Economy Indicators Smart Living Smart Environment

Number of local units

manufacturing High
Tech & ICT products
Companies with Total CO2 emissions, in
headquarters in the city tonnes per head
quoted on national stock
market
Components of domestic Percentage of new buildings
material consumption and renovation which were
assessed in terms of
sustainability
GDP, Gross domestic product.
 144 P. Lombardi et al.

with specialists and professionals to select the most relevant indicators to the
proposed clusters.
Furthermore, the authors of this study have identified the relations between
the smart city components by way of an ANP. The next section illustrates the
development of the ANP model that is used for investigating the interrelations
between smart city components and actors and finally for verifying whether the cities
are ‘‘smart’’, and if not, whether they are moving in the right direction.

Assessing the smart city’s performance

A city is a complex system. Its complexity is due to the individuals’ unpredictable
interrelations. As complex systems, cities have unpredictable behaviors and, when
some actions are set up, reactions and feedbacks can be obtained. Cities are places
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where different interrelated ‘‘ecosystems’’ live, and they are also communications
systems (Abler et al. 1970). The relationships can be effected by tangible and
intangible infrastructures and they can produce tangible or intangible networks.
Tangible networks are created by transport and telecommunications infrastructures,
which can be named ‘‘hard infrastructures’’ (Wakelin 1990). The intangible net-
works, as networks of capital (economic and human), are produced by the ‘‘soft
infrastructures’’, which comprise education and governance, and by the ‘‘economic
infrastructures’’ (Wakelin 1990). Because of its network nature, a city should be
described using a more truthful and realistic model representation based on a
network system with the expression of relations between elements. Moreover, the
Analytic Network Process, an advanced version of the Analytic Hierarchy Process,
seems more appropriate for supporting decision-making in this field.
The ANP model consists of clusters (i.e. groups of homogeneous elements of
a decision problem), elements (i.e. nodes of the network), interrelationships between
clusters, and interrelationships between elements. It allows interactions and feedback
within and between clusters and provides a process to derive ratio scales priorities
from the elements (Saaty 2005). Synthetically, the ANP methodology involves the
following main steps (Saaty 2005, Saaty and Vargas 2006).

I. Structuring the decision-making model. This activity involves an identifica-

tion of both of the elements constituting the decision problem and their
relationships. The network model is constituted by various clusters of ele-
ments, and alternatives or options from which to choose. Each element can
have influence and inter-dependence relations: this can be a ‘‘source’’, that is,
an origin of a path of influence, or a ‘‘sink’’, that is, a destination of paths
of influence. There are two kinds of interdependences: between elements
related to different clusters (‘‘outer’’ or external connections) and within the
same cluster (‘‘inner’’ or internal relations). The latter relation is identified
as a ‘‘loop’’.
II. Developing pairwise comparison of both elements and clusters to establish
relations within the structure. In this step, a series of pairwise comparisons are
made by participants in the decision-making process (usually experts,
managers and citizens representatives) to establish the relative importance
of decision elements with respect to each component of the network. In pair-
wise comparisons, a ratio scale of 1
9 is used (named the fundamental scale
or Saaty’ scale). The numerical judgments established at each level of the
 Innovation
The European Journal of Social Science Research 145

network form pair matrixes that are used to derive weighted priority vectors of
elements (Saaty 2001).
III. Achievement of the final priorities. In order to obtain the global priority
vector of the elements, including the alternatives, the mathematical approach
encompasses the use of ‘‘supermatrices’’ (portioned matrices composed of
submatrices consisting of priority weight vectors of the elements that have
been evaluated). A final supermatrix is obtained at the end of the process,
containing the global priority vector of the elements.

As required by step I, a complex model was developed that involves all of the men-
tioned clusters of a smart city, i.e. Smart Governance (related to participation);
Smart Human Capital (related to people); Smart Environment (related to natural
resources); Smart Living (related to the quality of life); and Smart Economy (related
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to competitiveness).
The relationships between indicators (and clusters) have been identified using
a ‘‘control hierarchy’’ (Saaty 2001) composed of the four axes of the adopted triple
helix, i.e. universities, industry, government and civil society. Figure 1 shows this
control hierarchy. Each axis is organized by a subnetwork consisting of:

“ the five clusters representing the above-mentioned smart city component/

activities including the relative selected indicators;
“ a cluster of alternatives made by four policy visions (or prototypes) of smart
cities as derived from the ‘‘Urban Europe’’ Joint Programme Initiatives
(see report by Nijkamp and Kourtik 2011): Connected City (smart logistic
and sustainable mobility), Entrepreneurial City (economic vitality), Liveable
City (ecological sustainability) and the Pioneer City (social participation
and social capital).

As an example, Figure 2 shows the Civil Society subnetwork, where both the
Smart Governance and Smart Economy clusters include only one element,
respectively: ‘‘E-gov usage by individuals’’ and ‘‘Percentage of projects funded by
civil society’’. This nodes’ organization allows inner connections in the other clus-
ters, as in the Smart Human Capital, where the ‘‘Foreign language skills’’ influence

Figure 1. The main network.

 146 P. Lombardi et al.

Figure 2. The Civil Society subnetwork.

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other nodes, such as ‘‘Individual level of computer skills’’ and ‘‘Individual level
of internet skills’’.
Bidirectional relationships are identified as follows:

“ Smart Economy and Smart Environment, where the ‘‘Percentage of projects

funded by civil society’’ is the direct cause of the ‘‘Relationship to percentage of
citizens engaged in environmental and sustainability oriented activities’’;
“ Smart Human Capital and Smart Living, where the ‘‘Participation in life-
long learning’’ is connected by all smart living nodes (‘‘Museum visits per
inhabitant’’, ‘‘Theater and cinema attendance per inhabitant’’ and ‘‘Total book
loans and other media per resident’’).

Additional mono-directional connections can be identified between the other

clusters.
As required in Step II of the ANP methodology, an assessment exercise was
conducted with the aim of developing pairwise comparisons, of both elements
(or nodes) and clusters. Figure 3 shows one of several pair matrixes that were

Figure 3. Pairwise cluster comparison using Saaty’s scale.

 Innovation
The European Journal of Social Science Research 147

composed and used to derive weighted priority vectors of elements (Saaty 2001).
In each pairwise comparisons matrix, a ratio scale of 1
9 is used. In particular,
Figure 3 shows the cluster comparison matrix for the alternatives.
The achievement of the final priorities of all the elements included in the model
is obtained in Step III. This includes the overall priorities of the alternatives
obtained by synthesizing the priorities of the alternatives from all the subnetworks.
The final results are:

(1) Entrepreneurial City (48%);

(2) Pioneer City (20%);
(3) Liveable City (17%);
(4) Connected City (13%).
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“ The Entrepreneurial City. This image assumes that, in the current and
future global and local competition, Europe can only survive if it is able to
maximize its innovative and creative potential in order to gain access to
emerging markets outside Europe; cities are then spearheads of Europe’s
globalization policy.
“ The Pioneer City. This image refers to the innovative ‘melting pot’
character of urban areas in the future, which will show an unprecedented
cultural diversity and fragmentation of lifestyles in European cities; this
will prompt not only big challenges, but also great opportunities for smart
and creative initiatives in future cities, through which Europe can become
a global pioneer.
“ The Liveable City. The final image addresses the view that cites are not only
energy consumers (and hence environmental polluters), but may
through
smart environmental and energy initiatives (e.g. recycling, waste recupera-
tion)
act as engines for ecologically benign strategies, so that cities may
become climate-neutral agents in a future space-economy; cities in Europe
are then attractive places to live and work.
“ The Connected City. The image of a connected city refers to the fact that
in an interlinked (from local to global) world, cities can no longer be
economic islands in themselves (‘‘no fortresses’’), but have to seek their
development opportunities in the development of advanced transporta-
tion infrastructures, smart logistic systems and accessible communication
systems through which cities become nodes or hubs in polycentric net-
works (including knowledge and innovation networks).

Conclusions and further steps

This paper has illustrated an on-going study in the field of smart cities’ evaluation.
The analysis started from a revised notion of triple helix considering that civil society
usually plays a prominent role toward the realization of sustainable development
in cities (Etzkowitz and Zhou 2006).
In order to assess the connections between smart city development and this
institutionalization of the triple helix, an ANP model was developed. This interrelated
model was used for investigating the relations between smart city components, actors
and visions, or strategies to which the smart cities are moving.
 148 P. Lombardi et al.

The results show that the Entrepreneurial City is the policy vision with higher
priorities in all the sectors considered in the model, i.e. universities, government, industry
and civil society. Some relevant urban planning and policy implications of this vision are:

“ A high degree of entrepreneurial activities and a constant flow of new firm

creation are prerequisites for finding a new role within the new global eco-
nomic landscape. Innovation and creativeness are thus the necessary ingre-
dients for entrepreneurial cities in Europe.
“ Special emphasis has to be given to new architectures, building technologies,
intra-urban mobility solutions, public space management, e.g. for lighting
or citizen information management, integrated urban energy planning and
management, and ICT-based solutions that offer various opportunities for
new urban design and management.
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“ New requirements for efficient, effective and reliable infrastructures (such as

energy, ICT, water, waste treatment and management) may occur. Since an
appropriate infrastructure is essential for cities’ attractiveness for companies
and people alike and therefore their economic development, emphasis has to
be given to the determination of these requirements within the scope of cities
as complex systems.

The ANP not only underlines the complexity of the reference system, but it also
improves the relationships and the inter-connections between all the constituting
elements of the smart cities model. The main innovative features of the model are:

“ the introduction of the civil society as a crucial stakeholder that empowers the
classical triple helix model composed of university
government
industry;
“ the use of the four aforementioned helices, representing the main stakeholders
operating in a smart urban development, as control criteria for modeling
the decision making proble, rather than implying the traditional benefits

opportunities
costs
risks control hierarchy (Saaty 2005);
“ a more truthful and realistic city model representation based on a network
system with the expression of relationships between elements;
“ the development of the model as well as the assessment exercise is the result
of a participative process, involving expertise on urban planning, sustainable
development evaluation, urban sociology and urban economy;
“ measurement of a ‘‘smart city’’ policy vision, considered as an holistic, inter-
related, multistakeholders concept, based on both quantitative indicators and
experts’ view.

The results obtained from this exercise are interesting but clearly the model requires
further implementation and improvement. The main limitations are as follows:

“ influence of the focus group in the definition of the indicators’ relationships

and weights;
“ high number of indicators and, consequently, high number of pairwise
comparisons, resulting in a large amount of time required to achieve a result;
“ technical problems still included in the beta version of the software used for
developing stages 2 and 3 of the ANP application (available online from www.
superdecisions.com).
 Innovation
The European Journal of Social Science Research 149

In conclusion, the assessment exercise illustrated in this paper is a pilot study. It still
requires the development of a testing exercise with the participation of main city
stakeholders, offering a reflexive learning opportunity for the cities to measure what
options exist to improve their performance. This will be the future task of the
authors.

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