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Full text: Plan it smart - clever solutions for smart cities

Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI (Eds.)

PLAN IT FOR SMART CITIES SMART CLEVER SOLUTIONS
of the 19th International Conference on Urban Planning, Regional Development and Information Society

PROCEEDINGS TAGUNGSBAND

Kompetenzzentrum für Stadtplanung und Regionalentwicklung

Competence Center of Urban and Regional Planning – www.corp.at

21-23 MAY 2014 VIENNA, AUSTRIA

REAL CORP 2014. Plan it Smart. Clever Solutions for Smart Cities
Proceedings of 19 International Conference on Urban Planning, Regional Development and Information Society
th

Beiträge zur 19. internationalen Konferenz zu Stadtplanung, Regionalentwicklung und Informationsgesellschaft

Edited by Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI Schwechat, 2014

CD-ROM-Edition Print-Edition

ISBN: 978-3-9503110-6-8 ISBN: 978-3-9503110-7-5

Im Selbstverlag des Vereins CORP – Competence Center of Urban and Regional Planning Kompetenzzentrum für Stadtplanung und Regionalentwicklung Lechergasse 4, A-2320 Schwechat-Rannersdorf office@corp.at, http://www.corp.at

TEAM
Manfred SCHRENK Clemens BEYER Christian EIZINGER Linda DÖRRZAPF Patrick KREJCI Adela MARCOCI Michael MÜLLNER Julia NEUSCHMID Flora STROHMEIER Wolfgang W. WASSERBURGER

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REAL CORP 2014: PLAN IT SMART

PREFACE Manfred SCHRENK, Conference Director, Chairman CORP – Competence Center of Urban and Regional Planning

WELCOME to REAL CORP 2014, the 19th International Conference on Urban Planning, Regional Development, Information Society and Urban/Transport/Environmental Technologies! “Smart Cities” has become a widely used term for the implementation of information and communication technologies (ICT) into the processes of cities and the built environment, aiming to improve the integration of the physical assets as well as social and environmental capital. Fired by several rankings there seems to be a competition for the title of the “Smartest City”. This kind of hype raises a lot of questions that REAL CORP 2014 will deal with. Can we plan it smart and find clever solutions for smart cities? During the three conference days we will go deeply into the subject of smart cities and smartness and exchange our knowledge on current topics such as: • What does “Smart City” mean in terms of quality of life? • How does it influence the economic perspectives? • Are the concepts of sustainability and resilience part of “Smart Cities”? • What about politics and administration, policies and governance? • How do “Smart Solutions” influence the “hardware” of a city, the urban fabric? • Last but not least: what is the role of urban/spatial planning in and for “Smart Cities”? Our conference takes place at a site with long historical background: People started to settle down in today’s Vienna area from the Neolithic era, later the spot was used to erect the Roman fortress Vindobona. The history of Vienna dates some thousand years back, and in its history the city has faced lots of changes and challenges. For sure this is going to continue in the future as cities have always been places of change, innovation and competence. We are still facing the effects of economic crisis and we have to deal with environmental issues more than ever before; handling these challenges and still being able to improve our cities and find

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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PREFACE

strategies to point out their extraordinary opportunities as centres of interest will confront us with many different views – but which of these views can be considered smart and why? Therefore, it will be a pleasure to discuss with colleagues from all over the world how we can make use of today’s tools and technologies to improve planning for our cities and for the people who live there to improve their quality of life. REAL CORP 2014 in Vienna lets us compare and present different approaches to smartness including theory and practical examples from all continents – we are happy to welcome around 300 participants from over 50 countries worldwide. 140 presentations and more than 1,000 pages in the proceedings clearly show that there is plenty of room to discuss thoughts, make new contacts, develop new ideas and initiate upcoming projects. Let me last but not least emphasize that the organisation of this year’s conference took place under truly difficult conditions, so I really want to say thank you especially to Clemens Beyer and Christian Eizinger for their huge efforts in the preparation of this event. Welcome to the Smart City Vienna! Have a great conference! Manfred SCHRENK, Christian EIZINGER, Clemens BEYER and the REAL CORP Team

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REAL CORP 2014: PLAN IT SMART

All rights reserved. – Alle Rechte vorbehalten. Editors – Herausgeber: DI Manfred SCHRENK, President CORP – Competence Center of Urban and Regional Planning, Schwechat, AT Prof. Dr. Vasily V. POPOVICH, SPIIRAS, St. Petersburg, Russia Dr.-Ing. Peter ZEILE, TU Kaiserslautern, Kaiserslautern, Germany Dr.-Ing. Pietro ELISEI, URBASOFIA, Bucharest, Romania Publisher – Medieninhaber und Verleger: CORP – Competence Center of Urban and Regional Planning Kompetenzzentrum für Stadtplanung und Regionalentwicklung Lechergasse 4, A-2320 Schwechat-Rannersdorf office@corp.at, http://www.corp.at CD-ROM Edition: Print Edition: ISBN 978-3-9503110-6-8 ISBN 978-3-9503110-7-5

Contributions by the authors reflect their own findings, views and opinions which may not necessarily be consistent with the views and opinions of the editors. Die Arbeiten geben die Erkenntnisse und Ansichten des jeweiligen Autors wieder und müssen nicht mit den Ansichten der Herausgeber übereinstimmen.

REAL CORP 2014

Proceedings – Tagungsband

Inhaltsverzeichnis –Table of Contents

Table of contents – Inhaltsverzeichnis:
PREFACE .............................................................................................................................................................................................. 5 Manfred SCHRENK, Conference Director ............................................................................................................................................. 5 A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations ....................................................... 15 Aniana Mereu ........................................................................................................................................................................................ 15 A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India ............................................ 25 Vijayalakshmi Rajendran, Toshiyuki Kaneda ....................................................................................................................................... 25 A Smart Researching and Planning Tool for the Neuralgic Urban Zone: 3D-ZPA....................................................................... 35 Angelika Psenner .................................................................................................................................................................................. 35 A Visionary Study on Urban Neighbourhood Models in Kabul City Based on Actual Surveys ................................................... 45 Sofia Sahab, Rim Meziani, Toshiyuki Kaneda ...................................................................................................................................... 45 An Urban Sensing System as Backbone of Smart Cities .................................................................................................................. 55 Benjamin Allbach, Sascha Henninger, Eugen Deitche.......................................................................................................................... 55 Ancient Smartness of Tomorrow ....................................................................................................................................................... 65 Cecilia Scoppetta................................................................................................................................................................................... 65 ARchitecture – Augmented Reality Techniques and Use Cases in Architecture and Urban Planning ........................................ 75 Daniel Broschart, Peter Zeile ................................................................................................................................................................ 75 Assessing Smart Locations – the MORECO Project ........................................................................................................................ 83 Susanne Franz, Ulrike Reutter, Eva Haslauer, Dagmar Schnürch, Thomas Prinz ................................................................................. 83 Assessment of BIM Potentials in Interdisciplinary Planning through Student Experiment and Practical Case Study ............. 91 Iva Kovacic, Lars Oberwinter, Christoph Achammer, Michael Filzmoser............................................................................................ 91 Automated Urban Management Processes: Integrating a Graphical Editor for Modular Domain-Specific Languages into a 3D GIS ............................................................................................................................................................................................... 99 Michel Krämer, Andreas Stein .............................................................................................................................................................. 99 Building Smart Applications for Smart Cities – IGIS-based Architectural Framework ............................................................ 109 Alexander Vodyaho, Nataly Zhukova ................................................................................................................................................. 109 Challenges and Opportunities to Develop a Smart City: A Case Study of Gold Coast, Australia ............................................. 119 Bhishna Bajracharya, David Cattell, Isara Khanjanasthiti................................................................................................................... 119 Checking Smartness “On the Ground”: Historically Rooted Dilemmas, Future Challenges and Visions for a Smarter Metropolitan Area of Rome .............................................................................................................................................................. 131 Cecilia Scoppetta................................................................................................................................................................................. 131 CitInES Project – Tool for the Sustainable Energy Action Plan for Cities .................................................................................. 141 Nicolás Pardo García, Rébecca Aron, Clémence Bénévent, Sofia Burioli, Silvia Morigi ................................................................... 141 City in Transition: Urban Open Innovation Environments as a Radical Innovation.................................................................. 151 Gert-Joost Peek, Peter Troxler ............................................................................................................................................................ 151 Competition between Cities and Regions in Europe – Can Smart Spatial Planning Interact with Gravitational Site Location Models for External Investment? ..................................................................................................................................... 161 Jan Zaman ........................................................................................................................................................................................... 161 Concept of “Smart City” and its Practice in Poland. Case Study of Łódź City ........................................................................... 169 Ewelina Szczech.................................................................................................................................................................................. 169 Der Einsatz von Social Media im Stadtmarketing .......................................................................................................................... 181 Alexander Masser, Hans-Jürgen Seimetz, Peter Zeile ......................................................................................................................... 181 Deteminants of the Value of Houses: a Case Study Concerning the City of Cagliari, Italy ........................................................ 191 Michele Argiolas, Sabrina Lai, Corrado Zoppi ................................................................................................................................... 191 European Academic Smart Cities Network – Renewable Urban Energy Systems, Sustainable Mobility and ICT Technology Nexus for Smart Cities Studies .................................................................................................................................... 207 Darya Bululukova, Harald Wahl, Mathias Ballner .............................................................................................................................. 207 Externalities and Local Government Policy as Braking Factors of the Development of Water Supply Systems in the Russian Towns ................................................................................................................................................................................... 217 Andrey D. Maksimov .......................................................................................................................................................................... 217 Games in Urban Planning – a Comparative Study......................................................................................................................... 239 Bärbel Reinart, Alenka Poplin............................................................................................................................................................. 239 Global Competition needs Smart Solutions, Urban Design Elements on City Branding ............................................................ 249 Hossein Mohamad Hassani ................................................................................................................................................................. 249 Identifikation von Kriterien für den smarten Einsatz von Elektrobussen in den Netzen des ÖPNV ......................................... 259 Carina May, Conny Louen .................................................................................................................................................................. 259

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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REAL CORP 2014

Proceedings – Tagungsband

Inhaltsverzeichnis – Table of Contents

Identifying Cultural Ecosystem Services of Urban Green Infrastructure – Report about a Pilot Project undertaken in Lower Austria .................................................................................................................................................................................... 269 Christine Rottenbacher, Tim Cassidy ................................................................................................................................................. 269 In the Public Eye: Toward the Electronic Transparency of Planning Process ............................................................................. 279 Aleksandra Stupar, Aleksandra Djukic ............................................................................................................................................... 279 Influence of Transport on Urban and Rural Development in Bosnia and Herzegovina .............................................................. 287 Nusret Drešković, Rahman Nurković ................................................................................................................................................. 287 Information-Analytical System for Managing Cities of Perm Region Spatial Development ...................................................... 295 Didier Vancutsem, Svetlana V. Maksimova, Alexey Y. Zavialov, Kseniia O. Mezenina, Petr S. Mikushin ...................................... 295 Institutional Framework of Brownfield Regeneration in Serbia ................................................................................................... 303 Ana Perić, Danilo Furundžić .............................................................................................................................................................. 303 Integration of Emotional Behavioural Layer “EmoBeL” in City Planning .................................................................................. 309 Rania Raslan, Khaled Al-Hagla, Ali Bakr .......................................................................................................................................... 309 It’s Not Big, It’s Large: Mapping and Characterizing Urban Landscapes of a Different Magnitude based on EO Data ........ 319 Michael Wiesner, Hannes Taubenböck .............................................................................................................................................. 319 Lampertheim effizient – Herausforderungen für Mittelstädte im Rahmen der Smart-City-Debatte ........................................ 329 Carolin Dietrich, Anika Trum, Andreas Witte .................................................................................................................................... 329 Land Acquisition Policy in India: An effictive Inclusive Planning or Exclusive Planning Policy? ............................................. 337 Bikram Kumar Dutta .......................................................................................................................................................................... 337 Leben2050 – Bürgerbeteiligung in einer vorausschauenden Studie zu selbstbestimmtem Leben im Alter in Wien ................. 349 Niklas Gudowsky, Mahshid Sotoudeh, Leo Capari ............................................................................................................................ 349 Leitprojekt ECR Energy City Graz-Reininghaus ........................................................................................................................... 357 Ernst Rainer, Kersten Hofbauer, Hans Schnitzer, Thomas Mach, Stephan Maier, Alexander Passer, Helmuth Kreiner, Thomas Wieland, Yvonne Bormes ................................................................................................................................................................... 357 Linked Open Data for Environmental Protection in Smart Regions – the New Challenge for the Use of Environmental Data and Information ........................................................................................................................................................................ 367 Karel Charvat, Sarmite Barvika, Maris Alberts .................................................................................................................................. 367 Metrical Analyses on Population and Economic Growth and Urban “Quality Of Life” of Metropolitan Cities in China during the 00s ..................................................................................................................................................................................... 377 Toshiyuki Kaneda, Meiying Tian, Yang Wang, Mingji Cui, Renbao Jin ........................................................................................... 377 Urban Sensing App – A Mobile Tool for Urban Sensing and Climate Monitoring in Smart Cities ........................................... 387 Benjamin Allbach, Sascha Henninger, Oliver Griebel........................................................................................................................ 387 Modelling Day and Night Time Population using a 3D Urban Model........................................................................................... 397 Monika Kuffer, Richard Sliuzas ......................................................................................................................................................... 397 More Green Open Space in a Densified City ................................................................................................................................... 407 Silja Tillner ......................................................................................................................................................................................... 407 Moving Objects Tracking in Distributed Maritime Observation Systems ................................................................................... 417 Vasily V. Popovich, Victor I. Ermolaev, Andrei V. Makshanov, Stanislav A. Vlasov....................................................................... 417 New Concepts for Urban Highways Control ................................................................................................................................... 423 Martin Gregurić, Edouard Ivanjko, Sadko Mandžuka ........................................................................................................................ 423 Open Street Map for Multi-Modal Freight Transport Planning ................................................................................................... 433 Markus Mayr, Gerhard Navratil ......................................................................................................................................................... 433 Ökotopia – Multidimensional Cities need Multidimensional Data ................................................................................................ 443 Hans-Georg Frantz ............................................................................................................................................................................. 443 Planning Smart Cities ... Sustainable, Healthy, Liveable, Creative Cities ... Or Just Planning Cities? ...................................... 447 Judith Ryser ........................................................................................................................................................................................ 447 Quality of Time Spent Matters! ........................................................................................................................................................ 457 Barbara Goličnik Marušić,Damjan Marušić ....................................................................................................................................... 457 Recycling Architecture: the Redefinition of Recycling Principles in the Context of Sustainable Architectural Design ........... 467 Milan Šijaković, Ana Perić ................................................................................................................................................................. 467 Resilient and Smart Public Spaces: the Div@ter Digital Platform ................................................................................................ 477 Marichela Sepe ................................................................................................................................................................................... 477 Rethinking the Strategic Dimensions of Smart Cities in China’s Industrial Park Developments: the Experience of Suzhou Industrial Park, Suzhou, China ........................................................................................................................................................ 487 Joon Sik Kim, Xiangyi Wang ............................................................................................................................................................. 487 Scenario Approach for Image Processing in Smart City ................................................................................................................ 497 Filipp Galiano, Nataly Zhukova, Maksim Pelevin .............................................................................................................................. 497

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REAL CORP 2014: PLAN IT SMART

REAL CORP 2014

Proceedings – Tagungsband

Inhaltsverzeichnis – Table of Contents

Scientific and Practical Understandings of Smart Cities ............................................................................................................... 507 Corinne Moser, Thomas Wendel, Vicente Carabias-Hütter ................................................................................................................ 507 Share it – Don’t Own it: Space Sharing as a Smart Solution for Cities and Regions? ................................................................ 515 Petra Hirschler, Sibylla Zech ............................................................................................................................................................... 515 Simulation Game for Future Mobility – Support Tool for the Discussion Process about Scenarios of Future Mobility in SUMP Processes ................................................................................................................................................................................ 525 Conny Louen, Daniel Horn ................................................................................................................................................................. 525 Smart Cities and ICT – Insights from the Morgenstadt project ................................................................................................... 533 Willi Wendt, Dominik Kalisch, Thomas Vandieken, Wolf Engelbach ............................................................................................... 533 Smart Cities between Ethics and Aesthetics.................................................................................................................................... 543 Chiara Garau, Luigi Mundula, Andrea Salustri ................................................................................................................................... 543 Smart Cities Need Smart Citizens, but What About Smart Children? ........................................................................................ 553 Sabine Hennig ..................................................................................................................................................................................... 553 Smart City – a Quest for Innovation within the EPS Framework ................................................................................................ 563 Małgorzata Hanzl, Antonina Młynarczyk, Alizee Tessier, Marcos Meiriño Munoz, Iban Micieces, Fanny Noirot............................ 563 Smart Environment for Smart Cities: Assessing Urban Fabric Types and Microclimate Responses for Improved Urban Living Conditions .............................................................................................................................................................................. 573 Katrin Hagen, Beatrix Gasienica-Wawrytko, Wolfgang Loibl, Stephan Pauleit, Richard Stiles, Tanja Tötzer, Heidelinde Trimmel, Mario Köstl, Wolfgang Feilmayr ........................................................................................................................................................ 573 Smart Kids Make Cities Smarter ..................................................................................................................................................... 583 Cecilia Scoppetta................................................................................................................................................................................. 583 Smart Navigation for Modern Cities ............................................................................................................................................... 593 Nataly Zhukova, Oksana Smirnova ..................................................................................................................................................... 593 Smart Planning & Smart Cities ....................................................................................................................................................... 603 Jan-Philipp Exner ................................................................................................................................................................................ 603 Smarter Cities – ein Modell lebenswerter Städte............................................................................................................................ 611 Bettina Mandl, Susanne Zimmermann-Janschitz ................................................................................................................................ 611 Smarting the City or Development: The Dilemma of the Post-Oil Countries in sub-Saharan Africa........................................ 621 Alexander Boakye Marful ................................................................................................................................................................... 621 Social Media Geographic Information: Current Developments and Opportunities in Urban and Regional Planning ............ 631 Pierangelo Massa, Michele Campagna ................................................................................................................................................ 631 State Space Model for Accounting Smart City Heating by Municipal Solid Waste Management ............................................. 641 Sanhita Bandyopadhyay ...................................................................................................................................................................... 641 Technological Solutions for Knowledge Management in Smart Cities ......................................................................................... 653 Nataly Zhukova ................................................................................................................................................................................... 653 The City of Matera and the Sassi: Smart Places with a Dantean Attraction ............................................................................... 665 Tiziana Cardinale, Laura Pavia,Giovanni Zucchi................................................................................................................................ 665 The E-City or the City on the Cloud ................................................................................................................................................ 675 Josep Lluís Miralles i Garcia ............................................................................................................................................................... 675 The Effect of Potential-based Land Tax on Land Utilization ........................................................................................................ 685 Gerhard Navratil, Reinfried Mansberger, Christoph Twaroch, Gerhard Muggenhuber, Reinhold Wessely ....................................... 685 The Reification of Resilience and the Implications for Theory and Practice ............................................................................... 693 Ksenia Chmutina, Gonzalo Lizarralde, Lee Bosher, Andrew Dainty .................................................................................................. 693 The Research on New Town Development Strategy in Metropolitan Outskirts: A Case Study of Liangzhu New Town......... 701 Qi Fan, XM. Hu, Y. Zhao.................................................................................................................................................................... 701 The TRANSFORM DSE – an Interactive Decision Support Environment for Serving Smart City Strategy Development and Local Measure Implementation ................................................................................................................................................ 711 Wolfgang Loibl, Stefan Vielguth, Jan Peters-Anders, Sebastian Möller, Daiva Jakutyte-Walangitang, Joost Brinkman, Ivo Wenzler, Alex Cramwinckel, Michele Fumarola ............................................................................................................................................... 711 The Use of Social Media in Public Transit Systems: The Case of the Gautrain, Gauteng Province, South Africa: Analysis and Lessons Learnt ........................................................................................................................................................................... 721 Walter Musakwa ................................................................................................................................................................................. 721 TRANSFORM – Governing the Smart City by Projects ............................................................................................................... 729 Christof Schremmer, Heidi Collon, Max Kintisch, Stephanie Kirchmayr-Novak, Ursula Mollay, Barbara Saringer-Bory ................ 729 Unort Gewerbegebiet? Qualitätsvolle Freiräume als Grundlage für Arbeitsorte ....................................................................... 739 Martina Jauschneg, Myriam Maier, Peter Höger, Volkmar Pamer, Rainer Holzer ............................................................................. 739

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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REAL CORP 2014

Proceedings – Tagungsband

Inhaltsverzeichnis – Table of Contents

Urban Development Simulator: An Interactive Decision Support Tool for Urban Planners Enabling Citizen’s Participation ....................................................................................................................................................................................... 749 Ernst Gebetsroither-Geringer, Wolfgang Loibl .................................................................................................................................. 749 Urban Green Infrastructure Planning as a Contribution to the Smart “Green” City................................................................. 757 Florian Reinwald, Doris Damyanovic, Christiane Brandenburg, Brigitte Allex, Birgit Gantner, Christina Czachs, Jürgen Preiss .... 757 Use of ICTs and Mass Media in the Planning Processes: the Two Sides of the Same Coin ......................................................... 763 Federica Leone ................................................................................................................................................................................... 763 Virtuelle Leerstandsbespielung – „Pop-Up-Zwischennutzung“ mittels Augmented Reality ...................................................... 773 Christoph Holderle, Stefan Höffken, Martin Memmel, Peter Zeile .................................................................................................... 773 Wer plant die Planung? – Widersprüche in Theorie und Praxis ................................................................................................... 783 Harald Frey ......................................................................................................................................................................................... 783 „What is planning for?“ Die Evaluation von strategischer Stadtentwicklungsplanung am Beispiel Wohnen .......................... 793 Judith Bornhorst ................................................................................................................................................................................. 793 Application of Aggregated Indices Randomization Method for Prognosing the Consumer Demand on Features of Mobile Navigation Applications .................................................................................................................................................................... 803 Sergey Dotsenko, Andrey Makshanov, Tatiana Popovich .................................................................................................................. 803 Beiträge innovationsorientierter Unternehmensförderung zur Umsetzung des Smart-City-Konzepts am Beispiel Wien ....... 807 Alfried Braumann, Dominic Weiss..................................................................................................................................................... 807 Blue City Mannheim – innovative Konzepte für Konversionsflächen in Mannheim ................................................................... 817 Alexander Kuhn, Dorothea Bartnik, Walter Rhiem ............................................................................................................................ 817 CentropeSTATISTICS – a Tool for Cross-Border Data Presentation .......................................................................................... 823 Manfred Schrenk, Clemens Beyer, Norbert Ströbinger ...................................................................................................................... 823 Climate Neutral City Districts – the Smartest Form of a City’s Districts? ................................................................................... 831 Michael Erman ................................................................................................................................................................................... 831 Daten, Informationen und Wissen zu Alltagswegen – eine Voraussetzung für Smart Cities?! ................................................... 839 Bente Knoll......................................................................................................................................................................................... 839 Digging into the Smartness: A Short Technopolitical (Pre)History of Vienna’s Urban Lakeside .............................................. 845 Aníbal García Arregui ........................................................................................................................................................................ 845 EmoCycling – Analysen von Radwegen mittels Humansensorik und Wearable Computing ...................................................... 851 Stefan Höffken, Johann Wilhelm, Dennis Groß, Benjamin S. Bergner, Peter Zeile ........................................................................... 851 European Standards for Vocational Training in Urban Regeneration ......................................................................................... 861 Krzysztof Jan Chuchra, Marek Bryx, Julia Neuschmid ...................................................................................................................... 861 Exploring Population Distribution and Motion Dynamics through Mobile Phone Device Data in Selected Cities – Lessons Learned from the UrbanAPI Project ............................................................................................................................................... 871 Jan Peters-Anders, Wolfgang Loibl, Johann Züger, Zaheer Khan, David Ludlow ............................................................................. 871 Garden in Motion – an Experience of Citizens Involvement in Public Space Regeneration ....................................................... 877 Sara Lorusso, Gerardo Sassano, Michele Scioscia, Antonio Graziadei, Pasquale Passannante, Sara Bellarosa, Francesco Scaringi, Beniamino Murgante .......................................................................................................................................................................... 877 Infographics for Smart People in Smart Cities ............................................................................................................................... 887 Kersten Nabielek ................................................................................................................................................................................ 887 L(i)ebenswerte Quartiere – Wohnportraits als Beitrag zur smarten Planung?! .......................................................................... 897 Mechtild Stiewe, Regina Sidel............................................................................................................................................................ 897 Mobilstationen – Bausteine für eine zukunftsfähige Mobilität in der Stadt ................................................................................. 903 Jan Garde, Hendrik Jansen, Daniel Bläser .......................................................................................................................................... 903 Modellierung raum-zeitlicher Bevölkerungsverteilungsmuster im Katastrophenmanagementkontext .................................... 909 Klaus Steinnocher, Christoph Aubrecht, Heinrich Humer, Hermann Huber ...................................................................................... 909 Multilayer Information Management System for Personalized Urban Pedestrian Routing ....................................................... 915 Harbil Arregui, Patrick Krejci, Estibaliz Loyo, Oihana Otaegui......................................................................................................... 915 Narrative Urban Mapping ................................................................................................................................................................ 921 Renate Krause, Stefan Höffken, Bernd Streich ................................................................................................................................... 921 Neue Einblicke – Social Media Monitoring in der Stadtplanung .................................................................................................. 931 Lucas Joa, Stefan Höffken .................................................................................................................................................................. 931 Regional Identity and Culture in Intercompany Networks – a Case of Transdanubian Winery Networks .............................. 941 Árpád Brányi, László Tamándl ........................................................................................................................................................... 941 RegioProjektCheck – New Instruments to Evaluate the Impacts of Housing, Industry and Retail Projects. Case Study: New Supermarkets and their Effects on Existing City Centres ..................................................................................................... 947 Sascha Anders .................................................................................................................................................................................... 947

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REAL CORP 2014

Proceedings – Tagungsband

Inhaltsverzeichnis – Table of Contents

Sharing Geographic Data: How to Update Distributed or Replicated Data ................................................................................ 959 Andrew U. Frank ................................................................................................................................................................................. 959 Smart Cities as a Tool to Tackle Global Challenges ....................................................................................................................... 967 Marc Montlleó, Gustavo Rodríguez, Itzel Sanromà ............................................................................................................................ 967 Smart City Labs als Möglichkeitsraum für technologische und soziale Innovationen zur Steigerung der Lebensqualität in Städten ............................................................................................................................................................................................... 975 Barbara Hammerl ................................................................................................................................................................................ 975 Smart Governance for Smart Region: The Yaroslavl Region Case .............................................................................................. 983 Anastasia Dubova, Dmitriy Razumov ................................................................................................................................................. 983 Smarte Städte brauchen smarte Unternehmungen ........................................................................................................................ 985 Hans Schnitzer .................................................................................................................................................................................... 985 Smartes Straßendesign für Smart Cities ......................................................................................................................................... 991 Dieter Schwab, Stefan Müllehner........................................................................................................................................................ 991 Social Media Data in Tourism Planning: Analysing Tourists’ Satisfaction in Space and Time ................................................. 997 Roberta Floris, Michele Campagna ..................................................................................................................................................... 997 Spatial Plan of the Republic of Serbia in the light of Digital Agenda for Europe 2020 ............................................................. 1005 Ljiljana Živković ............................................................................................................................................................................... 1005 Städtebauliche Kalkulation mit Decision Support Infrastructure – das Beispiel der Analyse ökonomischer Wirkungen eines kommunalen Baulandmodells ............................................................................................................................................... 1015 Dominik Weiß, Theo Kötter .............................................................................................................................................................. 1015 The Path Towards Smart Cities in China: From the Case of Shanghai Expo 2010................................................................... 1023 Yanlin Zhou ...................................................................................................................................................................................... 1023 The Role of Logistics Services in Smart Cities: the Experience of ENCLOSE Project ............................................................. 1029 Giorgio Ambrosino, Stefan Guerra, Irene Pettinelli, Carlos Sousa ................................................................................................... 1029 Urban Living – Smart & Sustainable!? – Tool für den Wohnungsvergleich ............................................................................. 1035 Susanne Supper ................................................................................................................................................................................. 1035 What could be the “Imaginary Institution” of the City? ............................................................................................................. 1041 Olivier Lefebvre ................................................................................................................................................................................ 1041 Will the Guidebook “Green and Blue Spatial Planning” be a Value Help for Styrian Cities to Become a “Smart City” ...... 1047 Christine Schwaberger ...................................................................................................................................................................... 1047 Smart Governance Answers to Metropolitan Peripheries: Regenerating the Deprived Area of the Morandi Block in the Tor Sapienza Neighbourhood (Rome) ........................................................................................................................................... 1051 Pietro Elisei, Angela D’Orazio, Maria Prezioso ................................................................................................................................ 1051 A Smart “Cairo” in the Making: A Strategic Approach towards a Better Quality of Life ....................................................... 1063 Heba Safey Eldeen ............................................................................................................................................................................ 1063

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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reviewed paper A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations Aniana Mereu
(PhD Student in Land Engineering Anania Mereu, Università of Cagliari, via Marengo 2, ananiamereu@gmail.com)

1 ABSTRACT Nowadays, one of the main subjects of city planning is the environmental impact cities’ transformation into smart cities, characterized by an innovative use of technologies and synergies’ development between the public and the private sectors. The principal attempt is the increase of the level of well-being and the quality of life. It could pertain to different parts of the city, like suburbs and inner-city. Therefore it is necessary to adapt technologies to environmental and architectural heritage, in order to respect the sustainability principle. In my PhD research I do a backward step trying to define a methodology to understand needs and expectations of inner-city inhabitants and I apply it to a case study represented by the renewal of Cagliari inner-city, with the objective to increase the residential satisfaction degree of the inhabitants, proposing smart interventions. The paper examines the different phases of the conducted study until now. 2 INTRODUCTION In the present age, one of the issues that concern planners is represented by the ability to propose interventions that fit people’s needs. This intention found its first affirmation in the sustainability principle. Indeed it is important that everybody, both present and future generations, should have the possibility to use the necessary energy supplies in order to achieve a good quality of life. Some planners’ work is linked to the elaboration of methodologies that could be applied to define actions and plans with the purposes already mentioned. At this time, different aspects of people’s life are being examined in order to pursue a higher level of life satisfaction. One of them is the residential satisfaction related to house and to neighbourhood. In this paper, my PhD research conducted until now is presented. It has the objective to determine a method of this sort, that involves the use of some statistical models, in particular the discrete choice models, and to apply this technique to a case study. First of all, it has been necessary to outline numerous steps of the method for the purpose of creating a know-how that could be used to analyse well different situations. Then, the technique is applied to the renewal of Cagliari’s inner-city, in order to understand city-dwellers’ satisfaction degree related to their house and related to the historic neighbourhoods. Having achieved this kind of knowledge allows planners to propose interventions, some of them innovative that are intent on contributing to make the city smarter. 3 METHODOLOGY The first step of research has been the definition of a methodology, taking the cue from some planning processes and plans in general and from the nature of discrete choice models. In succession its numerous steps are presented: (1) Context analysis that consists of a territorial analysis, regarding either the city or the territory; in particular, in the case study we are going to present, the attention is focused on the city, and it is important to consider several aspects such as the historic-architectural aspect of urban morphology and the development of the city; (2) analysis of plans relative to the context examined, so in the case study examined the analysis concerns the inner-city so it should be appropriate to consider urban plans such as the Urban Town Plan (PUC – Piano Urbanistico Comunale), the Detailed Inner-city Plan (PPCS – Piano Particolareggiato del Centro Storico), etc.; it is important to identify plans’ objectives, in order not to contradict them in the last phase of research in which we are going to propose interventions; (3) study of numerous econometric models and analysis of cases study related to the use of discrete choice models, for the purpose established; this step could be useful to understand which models are suitable to describe in the best way the situation we are considering; (4) experimental part that includes two steps: the first one is the definition of a method to find out information and for instance, the technique could comprehend a questionnaire and a series of interviews

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations

addressed to people that live in the inner-city or that have interests in the considered context; the second step is represented by the gathering of information constructing a specific dataset; (5) application of the statistical models and in particular discrete choice models (probit, logit or others such as tobit models) in order to obtain the data processing; (6) analysis of outcomes that will be different depending on the model used and on the goal of the methodological application; (7) proposal of interventions which will have to respect the goals of plans considered, and these actions should be oriented to an improvement of the quality of life. 4 CASE STUDY The case study considered is represented by the renewal of Cagliari’s inner-city. The methodology as presented above, is applied starting with an analysis of the history of Cagliari. 4.1 Context analysis The Cagliari’s site has been suitable for the development of a city because it occupies an important position for commercial purposes, being in the middle of the Mediterranean Sea and because, about three thousands of years ago, in this place essential resources such as salt and minerals were plentiful. Hence, Cagliari has been characterized by numerous historic events and it has been dominated by different populations (Colavitti, Usai, 2007). Both dominations and characteristics of the territory influenced the city’s structure. In particular, the urban form was affected by different architectural styles and by territory’s topography. For instance, during the domination by Phoenicians and Carthaginians (between 700 B.C. and 250 B.C.) there were: the neighbourhood of Castello enclosed by walls to protect the city, the neighbourhood of Stampace where magistrates were located and it was characterized by a temple and a port, the north-west neighbourhood with its necropolis and with the lagoon port for the wheat, the east neighbourhood of Bonaria with a necropolis and another port for the salt. Probably the first urban structure was fan-shaped, with a principal road between the port, the square and the Acropolis, intersected with a road along the sea and the pond. The only part that could have had an orthogonal structure is the neighbourhood of Stampace (Principe, 1988). At about 1000 A.C. Cagliari’s urban structure was similar to the current form, with the port that represented a sort of extention of the main neighbourhood of Castello. Cagliari had got a particular urban shape, divided into four sectors, everyone with a defined function and independent from the administrative and military points of view. Since 1800-1850 A.C. Cagliari was represented by four neighbourhoods: Castello, Stampace, Marina, Villanova. These represent the present inner-city. The neighbourhood of Castello represented the administrative centre of the city and it had a spindle structure with numerous squares. It was organized by a road network with principal roads (rugae) that were longitudinal and linked two towers (the Lion tower and the Saint Pancras tower) and by alleys (traversae) that connected the main roads. The houses had numerous floors and the ground floor was used as warehouse. The neighbourhood of Stampace rose up on a place characterized by a regular topography so the roads are parallel to the rugae of Castello, determining tight e long blocks. The neighbourhood of Marina have represented a sort of continuation of Cagliari toward the sea (Romagnino, 1982) and together with Castello represented the main centre of the city. It arose in a very sloping area and it is characterized by alleys and high and tight houses. The neighbourhood of Villanova arose before 1250 A.C. and it is characterized by an irregular grid structure of parcels with a principal road which was parallel to the eastern boundary of Castello. Since 1415 A.C. there was an increase in the number of Cagliari’s inhabitants. It caused an increment of construction density in the neighbourhoods of Castello and Marina, where the buildings became higher and the streets similar to tight corridors (Alziator, 2007). The increment of the population and the necessity after the Second World War to provide for an abode to everybody caused a disorganized development of the city structure. An increment in the urbanized surface occurred, occupying level lands so the expansion suited the geomorphologic and microclimatic conditions, with buildings arising in the north-east part and in the east part of Cagliari. Hence, Cagliari’s structure can be considered as an upshot of a process of continuous adaptation to the natural conditions of landscape (Colavitti, 2005). Nowadays, some characteristics of housing heritage of Cagliari’s inner-city are: numerous houses built before 1919; houses of lower quality than average quality in Cagliari, caused by absence of facilities and services such as heating system, conditioning system, etc.; high

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percentage of family units composed by one person; percentage of houses occupied by owners is higher than the average percentage of Cagliari (Detailed Plan of Cagliari’s Inner-city, pp. 77,78). 4.2 General Cagliari’s inner-city plans objectives In 1858 the architect Gaetano Cima elaborated the first local strategic plan of the city of Cagliari, in which the importance of the inner-city was affirmed but this plan wasn’t applied (Malavasi, Zoppi, 1989). After the II World War a chaotic expansion occurred because bombardments destroyed lots of houses and there was the intention of giving people a house as soon as possible. The new plan was approved in 1938 and according to what established by the urban low n.1150/1942, it was changed in 1943. Numerous plans has focused on the renewal of Cagliari’s inner-city. Firstly, the strategic plan in 1962 introduced the inner-city protection (Malavasi, Zoppi, 1989). Secondly, another plan, the “Piano Quadro” for the reclamation of innercity, that became the Detailed Plan of inner-city, concentrated the attention on the requalification. This plan had the objective to establish a link between various parts of the city, in order to incorporate the inner-city in a united view and to preserve values of identity. In detail, its goals are: permanence of current residence (hoping for a better urban quality); construction of new houses after evaluation of accessibility conditions and of the possibility to transform the building heritage; incentive of presence of University students in the inner-city; regard of cultural and environmental resources; recovery interventions for some buildings in order to use them for new functions; amelioration of infrastructures; recovery of historical waterfront. In 1999 the Cagliari’s Urban Plan was approved and its main objective was limitation of residential expansion in order to facilitate the recovery of existing building heritage. In particular, the objectives were: limitation of residential growth, requalification of inner-city and proposal of techniques that were economically feasible to make it. In 2006 another important plan was elaborated, the Regional Landscape Plan that puts the attention on different categories such as the inner-city with centres-of-ancient-and-first-formation category. It laid emphasis on the use of traditional techniques and materials to preserve the image of Cagliari’s inner-city with the possibility to include technological innovations. All these plans permitted to delineate admissible interventions such as routine maintenance, emergency maintenance, restoration and conservative renewal, property renovation and completion (Detailed Plan of Cagliari’s Inner-city). Considering all the objectives mentioned, we can affirm that the recovery can be considered as a way to reintegrate in the inner-city urban functions, given that Cagliari’s inner city is characterized by a lack of services. 4.3 Brief digression about some applications of econometric models This research’s objective is the analysis of residential satisfaction degree referred to house and to neighbourhood. Hence, an useful step of this research is the analysis of numerous cases study about this topic. Some researchers such as Francescato, Weidemann and Anderson, Amerigo and Aragones, considered different dimensions of residential environment: affective, cognitive and behavioural dimensions (Francescato, Weidemann et Anderson, 1987; Amerigo et Aragones, 1999). Few scientists concentrated their attention just on some of these dimensions, such as Cooper that considered the affective dimension. Moreover other researchers such as Ha and Weber, Canter and Rees, defined the variables that influence the residential satisfaction considering different elements: socio-demographic characteristics of residents, objective characteristics of houses and relationships with neighbours (Ha and Weber, 1991, Canter and Rees, 1982). Different types of variables are due to researchers’ background. For instance, planners generally consider environmental characteristics of houses, services, environmental security and relationships with neighbours, accessibility of functional areas in the residential area, as variables (Sam, Mohd Zain, Saadatian, 2012). The residential satisfaction is seen as a demonstration that inhabitants’ needs are satisfied and that they live well in their houses. Different analysis are also linked to different models used to process data. Indeed some scientists preferred using logit or probit models such as Lu, Atkinson, Fang, others factor analysis and path analysis such as Temelova and Dvorakova and Speare (Lu, 1999; Parkes et all, 2002; Temelova et Dvorakova, 2012). 4.4 Experimental part 4.4.1 Elaboration of the questionnaire The analysis of the cases study mentioned above permitted to take the cue from different kinds of approach and to elaborate a questionnaire. It is oriented towards Cagliari’s inner-city residents. Its basis was the

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations

definition of residential satisfaction. Residential satisfaction is the measure of the difference between current residential conditions of people and desired conditions. The residential environment is defined as house, neighbourhood and relationships with neighbours, together. The questionnaire is realized in order to define all variables that influence the residential satisfaction and the degree of residential satisfaction itself. Having these data permits to apply econometric models in order to define quantitatively the influence of variables on satisfaction degree and to understand causes of dissatisfaction and consequently propose interventions. According to some psychologists it is important to discern between housing satisfaction and neighbourhood satisfaction so to use distinct questions, otherwise respondents can’t unconsciously apply this distinction; hence, in the questionnaire there are different questions for residential satisfaction related to house and related to neighbourhood in order to prevent mistakes when city-dwellers answer (Amerigo et Aragones, 1999; Lu, 1999). A Likert scale was used to define the satisfaction degree: 1. Not satisfied; 2. A little bit dissatisfied; 3. Indifferent; 4. Enough satisfied; 5. Very satisfied. Hence, satisfaction degree is an ordered variable. Some questions in the questionnaire demand respondents’ and family unit’s characteristics. Indeed it is believed that respondent’s age, job, education, family composition, have influence on satisfaction degree. Age is an important variable because there is a correspondence between life cycle’s stage and expectations, whereas education and job can affect the kind of house in which people want to live. There are a lot of questions about interior housing characteristics, such as surface, number of rooms, heating system, conditioning system, etc.. All these questions permit to identify a condition of comfort in the house and to understand if there is a correspondence between this situation and a high satisfaction degree. Other questions check residents’ moves in the past or in the future and they could be important to verify if a resident expresses the real satisfaction degree or not. Other questions try to identify neighbourhood characteristics, facilities and problems in order to understand the link between them and the satisfaction degree towards the neighbourhood and to propose useful interventions at the end of research. 4.4.2 Analysis through econometric models This step consists in the implementation of some econometric models, after having created a dataset using Stata software. In particular, an ordinal Logit model and an ordinal Probit model are applied because the dependent variable that is the residential satisfaction is an ordinal variable. Hence, two models will be applied in order to have the possibility to compare the outcomes. These kind of models we are going to implement are characterized by a latent regression as presented in succession: yi* = β’xi + εi i = 1,…….,n where yi* is the latent variable, not observed; xi represents the covariates or independent variables; β is the k-parameters vector and it is the object of inference and evaluation; n is sample’s size. We know yi that is the satisfaction degree but we don’t know yi* that is the latent variable : yi= 0 yi =1 yi =2 ….. yi =j if µj-1 ≤ yi * µ are unknown parameters that should be estimated with β (Greene, 1993). The residential satisfaction degree depends on both measurable factors (independent variables xi obtained through the questionnaire), and non-observable factors represented by ε. The yi* in the model describes a continuous preference, not observed, whereas the yi is ordered because it can have just five values (mentioned above). The respondents will express their satisfaction degree that should represent their feelings towards the house and towards the neighbourhood. In an ordered Probit model there is a standard normal distribution for εi and the Var[εi|xi] = 1, whereas in an ordered Logit model εi‘s distribution is a standardized logistic and the Var[εi|xi] = π2/3 (Greene, Henser, 2008). Assuming that xi has a constant element, we can assume that the first coefficient µ0 is equal to 0. Summing up, application of the econometric models has the objective to evaluate β coefficients for every considered independent variable. These coefficients are important to understand which variables influence mostly the residential satisfaction degree and if they have a negative or a positive influence. A hundred and fifty interviews have been conducted and their data are organized in a dataset and used to implement the model we described above using the Stata software. We can consider our sample a if yi *≤0 with µ0 = 0 if 0 < yi *≤ µ1 if µ1< yi *≤ µ2

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representative sample of the Cagliari’s inner-city population. The first step, after having done the interviews, has been the creation of a dataset containing all the variables obtained through the questionnaire and their values. We operated numerous changes to variables in order to have suitable data to use in the ordinal Logit and Probit models, but previously it was necessary to implement a simple linear regression between the dependent variable and the numerical explanatory variables in order to verify absence of multicollinearity. Then, we implemented the models numerous times. The first time we apply Probit and Logit models the degree of residential satisfaction related to house was considered as the dependent variable whereas the covariates were: gender, education, job, age of the respondent, family composition, type of house and possession, internal characteristics such as house surface and balcony surface, the presence of some facilities such as heating system, conditioning system, etc.. Then we implement those models using the degree of residential satisfaction related to neighbourhood as the dependent variable and the covariates were some dummy variables that express the lack of services in the neighbourhood, other variables that explain the presence of problems such as noise, garbage, etc.. An interesting aspect could be the implementation of a model in which the relation between the satisfaction towards the house and the satisfaction towards the neighbourhood are considered. Taking into account the studies conducted in the past about this topic, numerous psychologists affirmed that the satisfaction degree related to neighbourhood can influence the satisfaction degree related to house. We want to implement a model with the satisfaction degree of the house as a dependent variable, and considering the satisfaction degree of the neighbourhood as one of the independent variables, using also a nested model to introduce the variables that explain the satisfaction related to neighbourhood. This is a future step of the thesis. The first econometric model we talked about is: Soddisfazc = β0 + β1*eta + β2*d_gen + β3*rationucleo + β4*ratiosup1 + β5*_Istudio + β6*_Ilavoro + β7*_Igodimcasa + β8*d_riscald + β9*d_pompe + β10* d_ascens + β11* d_sgacant In which: eta = dummy variables set representing respondent’s age that is organized in cathegories (eta_categx1=1 if respondent is between 18 and 25 years old, 0 otherwise; similarly for eta_categx2 = 1 if the interviewed is between 26 and 40 years old, eta_categx3 = 1 if the respondent is between 41 and 60 years old, eta_categx4 = 1 if the interviewed is more than 60 years old); d_gen = dummy variable for gender (d_gen=1 for female, d_gen=0 for male); rationucleo = factor variable representing the ratio between number of people that live in respondent’s house and average number of people in a family considering interviews’ data; ratiosup1 = factor variable obtained dividing house’s surface for every resident interviewed for the average surface of respondents’ houses in the sample; _Istudio = dummy variables set for the degree of education of the respondent (istudio1 = 1 if the respondent is graduated or has a school leaving certificate, 0 otherwise; istudio2 = 1 if the respondent has a primary school certificate or a junior high school certificate, 0 otherwise); _Ilavoro = dummy variables set for the kind of job of the respondent (jlavoro1 = 1 if the respondent is a public employee, 0 otherwise; jlavoro2 = 1 if the respondent is a freelance professional, 0 otherwise; jlavoro3 = 1 if the respondent is a student or a retiree or an unemployed, 0 otherwise); _Igodimcasa = dummy variables set that expresses the kind of possession of interviewed towards the house (sgodimcasa1 = 1 if the respondent lives in a rental flat, 0 otherwise; sgodimcasa2 = 1 if the respondent is owner of a flat, 0 otherwise; sgodimcasa3 = 1 if the respondent is the owner of a single house, 0 otherwise; sgodimcasa4 = 1 if the respondent is the beneficial owner of a flat, 0 otherwise); d_riscald = dummy variable for the heating system (d_riscald = 1 if there is the heating system, 0 otherwise); d_pompe = dummy variable for the conditioning system (d_pompe = 1 if there is the conditioning system, 0 otherwise); d_ascens = dummy variable for the presence of an elevator (d_ascens = 1 if there is an elevator in the building, 0 otherwise); d_scagant = dummy variable for the presence of a junk room or a cellar (d_scagant = 1 if there is a junk room or a cellar, 0 otherwise).

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations

As cited above, before implementing the ordinal Logit model a linear regression model for the dependent variable and the quantitative explanatory variables was implemented through Stata program. No problems of multicollinearity occurred. Indeed, a ordinal Logit model could be applied. The results of the first model we implemented are:

Fig. 1: Outcomes of the first Ordinal Logit Model implemented.

We can analyse the results considering that the Logit coefficients are in log-odds units and can’t be read as regular OLS coefficients. There is not the value of the intercept and we can say that the intercept is absorbed by the first cutoff point. Observing the value of Prob > Chi2 can help us to deduce if the model is ok or not from this value. The number is less than 0.05 so all the coefficients are different from zero and the null hypothesis is rejected. The pseudo R2 value includes the amelioration of the likelihood estimated with this model rather than considering the null hypothesis. The z value tests the hypothesis that each coefficient is different from 1. The higher is the z the higher is the relevance of the variable. Two-tail p-values (P>|z|) test the hypothesis that each coefficient is different from 0. In the ordered Logit model it is useful to check the sign of the coefficients (UCLA Resources to learn and use STATA ). So, we can deduce that a bigger family influence negatively the satisfaction degree towards the house rather than smaller families; so smaller families have a higher satisfaction degree than larger families, considering the other variables’ values similar. Older people seem to have a lower satisfaction degree related to their house than young people (with an age between 18 and 25 years old). A lower educational level has a negative influence on satisfaction degree, so people less educated are less satisfied of their house than higher qualified people, considering the same characteristics for all the other variables. Paradoxically to expectations, the presence of the elevator and of conditioning system seems to influence negatively the satisfaction in the sense that people that live in buildings with no elevator and no conditioning express a higher satisfaction degree than the other people (always considering the same values of all the other variables). We can also observe that these two variables (d_ascens and d_pompe) are not significant considering that the P>|z| values are big and in particular are 0.81 and 0.83. We observe that women express higher satisfaction than men and we could explain it considering the fact that women generally spend more time at home than men do, being more affectively linked to their house and consequently expressing higher satisfaction. The variable ratiosup1 is a ratio that represents the size of house and we can see that it has a positive influence on satisfaction degree, so bigger is house’s surface, then higher is respondent’s satisfaction related to its house. Being a student, or a retiree or an unemployed seems to have a negative influence on residential satisfaction degree towards house rather than been a public employee; it could be due to the less economical possibilities for students, unemployed

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and reteree people to apply changes to their residential condition and to their house in general. Differently, being a freelance professional has a positive influence on satisfaction degree rather than being a public employee. Finally, having a cellar or a heating system have a positive influence on residential satisfaction degree rather than not having them. The cutoff points represent the cutoff values so the threshold values for the probability that the satisfaction degree is 1-“Not satisfied” , 2 – “A little bit dissatisfied”, 3 – “Indifferent”, 4 – “Enough satisfied” or 5 – “Very satisfied”. Hence, for instance if the predicted probability is lower than -4.07 we are going to have “Not satisfied”, etc.. We can check the predicted probabilities and we can see that almost for every observation (interview) the biggest predicted probability is related to 4“Enough Satisfied” and this probability is higher than 50% in the majority of cases. We have an higher probability related to 5-“Very Satisfied” and 3-“Indifferent” just for few cases. Then we implement an Ordinal Probit model for satisfaction degree towards house and the results are presented in succession:

Fig. 2: Outcomes of the first Ordinal Probit Model implemented.

The results in terms of negative or positive influence on residential satisfaction degree are almost the same, except for the variable of presence of an elevator. In this case it seems to have a positive influence on satisfaction degree but also in this case it is not significant, seen the high value of P>|z| that is 0.99. We can observe that also in this case, the variable ratiosup1 that represents the house surface has a positive influence and it is significant. The variable d_pompe that express the presence of conditioning system has a negative influence also using this model, but it is not significant. If we check the predicted probabilities we can see that also in this case the higher probability is related to 4-“Enough Satisfied” in almost all the observations. Then, the second model, that tries to explain the influence of explanatory variables on satisfaction degree related to the neighbourhood is: Soddisfazq = β0 + β1*eta + β2*d_gen + β3*rapportocoivicini + β4*d_altrifamiliari + β5*_Istudio + β6*_Ilavoro + β7*d_scuola + β8*d_supermercato + β9*d_poste + β10* d_giardini + β11* d_fermatebus + β12*d_var31 + β13*d_var34 + β14*d_var35 + β15*d_var37 In which: Rapportocoivicini = dummy variables set that represents the relationship between respondent and neighbours. d_altrifamiliari = dummy variable that expresses the residence of other familiars in the inner-city

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations

d_scuola, d_supermercato, d_poste, d_giardini, d_fermatebus = dummy variables that express when they are equal to 1 the absence of that particular service, 0 otherwise. d_var31, d_var34, d_var35, d_var37 = dummy variables that represent the most frequent problems of the inner-city of Cagliari and they correspond to absence of parking, presence of wastes, traffic, and noise. All the other variables are the same used in the first model implemented.

Fig. 3: Outcomes of the second Ordinal Logit Model implemented.

We can observe that a variable about the relationship with the neighbours (_Irapporto4) has a very big coefficient and a big value of P>|z|, so it is not significant. Women express higher satisfaction degree towards the neighbourhood than men and being women seems to have a positive influence on this kind of satisfaction. The presence of markets and public green spaces have a negative influence on satisfaction degree, whereas the presence of bus stops, pharmacy and post offices have a positive influence. These findings about the variables d_supermercato and d_giardini are in contradiction with our expectations but they are not significant, considering P>|z| values. The absence of parking spaces (d_var31) has a positive coefficient in the definition of satisfaction degree towards neighbourhood in the sense that absence of parking causes an increase in the rank of satisfaction degree, considering the same values for the other variables. Also this outcome can be explained with the fact that this variable is not significant considering that its P>|z| value is about 0.559. The other problems such as presence of rubbish (d_var34), traffic (d_var35) and noise (d_var7) have negative coefficients, so they have negative influence on satisfaction degree. Finally we can check the predicted probabilities for the different values of the satisfaction degree towards the neighbourhood and we can observe that in the majority of cases the higher probability is related to 4-“enough satisfied”, but in some cases the higher is 2-“a little bit satisfied” or 5-“very satisfied”. Considering the implementation of an Ordinal Probit model for the satisfaction degree related to the neighbourhood the results are:

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Fig. 4: Outcomes of the second Ordinal Probit Model implemented. The results through this model are almost the same as those with Logit model in terms of negative or positive influence on the satisfaction degree. Variables that have negative influence against expectations are not significant with high values of P>|z|. Differently from the previous analysis, living in the neighbourhood of Stampace seems to have a positive influence on satisfaction degree towards the neighbourhood. The other results are similar and the coefficients are not very different in terms of order of magnitude. If we check the predicted probabilities for this model, we can observe that the situation is quite similar to that obtained using the Ordinal Logit model; hence, in lots of cases the bigger probability is associated to 4- “Enough Satisfied”, but there are several cases in which the higher probability is linked to 2 – “A little bit dissatisfied” and 5“Very satisfied”. 4.4.3 Proposal of smart interventions According to what these first results express, we can finally propose interventions in order to increase the residential satisfaction degree and the quality of life of Cagliari’s inner-city-dwellers. Firstly, the absence of some services is determinant in the definition of a low satisfaction degree so it could be important to provide inner-city with some important services such as bus stops, post offices and pharmacies. A sense of isolation came to light from the interviews, related in particular to some parts of the inner-city such as the neighbourhood of Castello. The lack of some services determined a lower residential satisfaction degree towards the neighbourhood. A proposal could be to increase the bus network in these parts of the city, in order to give the possibility to its inhabitants to reach the locations of public services more easily. Indeed, the majority of Cagliari’s inner-city dwellers are elderly people so they have difficulties to move far from their house. Another proposal could be to give people, especially elderly people (who represent an important share of Cagliari’s inner-city population), the possibility to do grocery shopping ordering it through telephone and to receive it at home without any additional cost. Traffic seems to have a negative influence on the satisfaction degree, so we could propose a smart intervention to deal with this issue: we could organize parking areas just outside the inner-city, near its bounds, in order to reduce cars’ circulation; it could be a way to transform Cagliari’s inner-city in a pedestrian area giving the residents the possibility to park inside the inner-city just for a limited time, for instance for a couple of hours, but giving in advance notice of it
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Back Step before Proposing Smart Interventions. Fitting People Needs with Innovations

through a short message or a call to a specialised centre that has the mansion to manage inner-city parking spaces. Contextually, parking areas just outside the inner-city should be reserved for residents, giving just one pass to every resident family. Considering relationships with neighbours, very good relations influence positively the residential satisfaction degree, whereas being just acquaintances has a negative influence. So, it could be reasonable to propose an intervention that contributes to ameliorate relationships between neighbours, for instance creating an aggregation centre for every neighbourhood of the inner-city, in which people can spend time socializing, etc.. In order to address another important problem represented by garbage collection which has a negative influence on the residential satisfaction degree, we could propose to create a particular system of rubbish collection characterised by dustbins located underground; in this way we hope to limit the visual impact of garbage in the street corners in order to improve urban cleanliness. 5 CONCLUSION These are just partial results which will be further developed in the PhD thesis. Other models are going to be implemented especially the most important ones, an ordinal Logit model and a Probit model to explain the influence that satisfaction towards neighbourhood has on satisfaction towards house. This is fundamental in order to identify quantitatively the influence that all the variables considered in the first model together with the satisfaction degree related to the neighbourhood have on the satisfaction degree related to the house. In future steps of the thesis we could also implement the models and we could implement another particular analysis considering separately the four neighbourhoods of Cagliari’s inner-city in order to verify if in some of them the results are different from the outcomes just obtained. Finally, we are going to propose a set of interventions based on the outcomes obtained through these different analyses; these actions should fit people needs and expectations in order to pursue a better quality of life and a higher sense of well-being. 6 REFERENCES

[ALT] Ed. by I. ALTMAN AND C.M. WEINER. Home Environments. New York and London, 1985. Plenum Press. F. ALZIATOR. Elefante sulla torre. Zonza Editori, 2007. AMERIGO, J.I. ARAGONES. A theoretical and methodological approach to the study of residential atisfaction. Journal of Environmental Psychology 17, 1999, pp. 47–57. D. CANTER AND K. REES. A multivariate model of housing satisfaction. International Review of Applied Psychology Vol.31, 1982, pp. 185-208. AM. COLAVITTI. La topografia antica e l’impianto urbanistico della città nuova. In: Deplano G, Il quartiere di Marina a Cagliari. Ricostruzione di un contesto urbano pluristratificato. Edicom Editore, 2005. AM. COLAVITTI AND N. USAI. Cagliari. Alinea Editrice, 2007. Detailed Plan of Cagliari’s Inner-city. 2010. Available at: www.comune.cagliari.it. Last access: 26.02.2014. G. FRANCESCATO, S. WEIDEMANN AND J.R. ANDERSON. Residential Satisfaction: Its Uses and Limitations in Housing Research. In: Van Vliet, Choldin, Michelson and Popenoe [VAN]. W. GREENE. Econometric Analysis. New York, 1993. Macmillan. W. GREENE AND D.A. HENSER. Modeling Ordered Choices: A primer and recent developments. Working papers 08-26, New York University, Leonard N. Stern School of Business, Department of Economics, 2008. M. HA AND M.J. WEBER. The Determinants of Residential Environmental Qualities and Satisfaction: Effects of Financing, Housing Programs and Housing Regulations. Housing and Society vol.18 n.3, 1991. M. LU. Determinants of Residential Satisfaction: Ordered Lodit vs. Regression Models. Growth and Change vol.30, 1999, pp. 264287. P. MALAVASI AND C. ZOPPI. Processo di evoluzione urbanistico della città di Cagliari dall’Ottocento agli anno Ottanta, Quaderni di ricerca dell’Istituto di Urbanistica dell’Università di Cagliari, n. 3, 1989. A. PARKES, A. KEARNS AND R. ATKINSON. What Makes People Dissatisfied with their Neighbourhoods. Urban Studies 39: 2413, 2002. I. PRINCIPE. Cagliari. Editori Laterza, 1988. A. ROMAGNINO. Cagliari, Castello. Passato e presente di un centro storico. Milano, 1982. Electa. M. SAM, M. ZAIN AND O. SAAdATIAN. Residential satisfaction and construction. Scientific Research and Essays Vol.7, 2012, pp.1556-1563. J. TEMELOVA AND N. DVORAKOVA. Residential Satisfaction of elderly in the city centre: the case of revitalizing neighbourhoods in Prague. Cities 29, 2012, pp. 310-317. UCLA Resources to learn and use STATA. At: http://www.ats.ucla.edu/stat/stata/ Last access: 26.02.2014. Urban Plan of the city of Cagliari. 2004. Available at: www.comune.cagliari.it. Last access: 26.02.2014. [VAN] Ed. by W. VAN VLIET, H. CHOLDIN, W. MICHELSON AND D. POPENOE. Housing and Neighborhoods, Theoretical and Empirical Contributions. New York, 1987. Greenwood Press. S. WEIDEMANN AND J.R. ANDERSON. A conceptual Framework for Residential Satisfaction. In: Altman and Weiner, [ALT] pp. 153-182.

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reviewed paper A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India Vijayalakshmi Rajendran, Toshiyuki Kaneda
(Vijayalakshmi Rajendran, Master Course Student, Graduate School of Engineering, Nagoya Institute of Technology, Gokiso-cho, Nagoya, Aichi, Japan, rvijiii@gmail.com) (Prof., Toshiyuki Kaneda, Graduate School of Engineering, Nagoya Institute of Technology, Doctor of Engineering, Gokiso-cho, Nagoya, Aichi, Japan, kaneda@nitech.ac.jp)

1 ABSTRACT Remote sensing and GIS technologies are very much useful for finding the Land Use/Cover maps. This is the paper which deals with the Land Use/Cover Change (LUCC) especially to urbanization in Chennai metropolitan area, India for past two decades till present. Chennai is the fourth largest metropolitan city in India with area of 1189 km2 with 4.68 million of population, which is developing rapidly into urban in past few decades. There is heavy need of urban planning for future in Chennai. This research will be a support for urban planning of the future. The Land satellite data for three decades (1989, 2000 and 2012) and Digital Elevation Model (DEM) for present were collected with 30 meter resolution. Preprocessing of all images was completed. Image classification for mapping LUCC was performed by supervised classification through the maximum likelihood classification for four classes: Water, Rough land, Crop land and Urban. An accuracy assessment has been checked to find the accuracy of the Classification and the overall accuracy is about 87%. Transition probability matrices were calculated for all three time points and compared with each other (1989 with 2000, 2000 with 2012). The result shows that the increase in Urban and decrease in Rough land. Slope map has been created from DEM. Analyses of neighborhood effects were done to find the probability of land changes due to existing urban cells, which is calculated for each cells surrounded by its three neighborhood cells. Analyses of slope effects for urbanization was done by comparing the slope and the possibilities of change from Rough land and Crop land to Urban. A simple model structure for simulation was created using VBA and GIS. The model applies the neighborhood effects which are similar to Cellular Automata but in this model it is modified by slope effects. Using the simulation urban map was predicted for future trends. These predicted urban maps will provide critical input to resource management and planning support applications, and have substantial social and economic benefit for metropolitan planning and development. 2 INTRODUCTION

2.1 Introduction and Background of the Study “INDIA lives in its villages,” said Mahatma Gandhi, over six decades ago. No longer. At least not in Tamil Nadu, the first major State to reach the historical threshold of 50:50 rural-urban distribution of population. Crowning Tamil Nadu’s urbanisation is Chennai, the fourth largest metropolis of India. More people in Tamil Nadu have moved from rural to urban areas the last 10 years compared to other states, according to the 2011 Census data. Tamil Nadu tops the list of urbanised states with 48.45% of its population living in urban areas , followed by Kerala, Maharashtra and Gujarat. In the last 20 years, the rate of urbanization in Tamil Nadu has been rapid. According to the 1991 Census, only 34.15% of the total population in Tamil Nadu was classified as urban but in 2011, it has risen to 48.45%, an increase of 14.3%. Since the 2001 census, the percentage of urban population has risen by 4.41%. Urbanization is a worldwide phenomenon where all mega cities are rapidly developing due to various factors including population increases, industrialization and rural-urban migration. Though urbanization is a worldwide phenomenon, it’s more prevalent in India due to high growth rate over last few decades. Urban planning is a complex phenomenon hence accurate and updated information is needed to develop strategies for sustainable development. The land use maps are used to provide up to date information on the type, location, spatial, distribution and extend of land use/land cover. In order to use the land optimally and to provide as input data in modeling studies, it is not only necessary to have information on existing land use/ landcover but also the capability to monitor the dynamics of land use resulting out of changing demands. Urban sprawl is a phenomenon that has to be monitored and understood. There are different approaches for modeling spatial dynamics. Models cannot work without data and satellite
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India

imagery is an excelent source of data. The rapid development of multi-spatial and multi-temporal remote sensing data has now made it possible to monitor urban land-use/land-cover changes in a very efficient manner. Remote sensing techniques have proven very useful in urban mapping (Batty 2008). There is a wide range of techniques used for land use land cover change detection. An attempt has been made here to demonstrate the potentials of remote sensing techniques in change detection analysis of urban land cover by using the technique of comparison of the classified images. 2.2 Research Objective The aim of this paper deals with the Land Use/Cover Change (LUCC) especially to urbanization in Chennai metropolitan area, India for three time points (1989, 2000 and 2012). And to simulate the urbanization for future using the past data’s. The objectives of the study are • • • • To classify the Land Use/Cover based on processing the satellite data in three time points (1989, 2000 & 2012). To calculate the change of the Land Use/Cover during these periods. To analyze the transition probability of the LUCC, especially focusing on both the neighborhood effects and slope effects. To simulate the urban growth under the current trend case till 2024.

2.3 Study Area Chennai is the fourth largest metropolitan area in India, with a population of about 7 million in 2001. The Chennai Metropolis (with a latitude between 12°50'49" and 13°17'24", and a longitude between 79°59'53"and 80°20'12") is located on the Coramandal coast in South India. Topographically plain terrain with few isolated hillocks in the south-west. Average annual rainfall is about 1,300 mm. Chennai has two administrative boundary, the outer boundary is Chennai metropolitan boundary – encompass the suburban areas; the inner one is the corporation boundary, which include only the urban area. Chennai is rapidly getting urbanized from past decades.

Fig. 1: Location map of Chennai metropolitan area, Tamil Nadu, India

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Vijayalakshmi Rajendran, Toshiyuki Kaneda

2.4 Existing Research There are many types of landuse classification (Anderson et al., 2001). It is infered that the land cover change analysis can be done using simulation modelling (Bhatt et al., and Parker et al., 2003). Change analysis can be done using Erdas imagine (Harika et al., 2012) and modelling of land use change can be done using GIS (Laura and Pontius, 2001; Geogr and Fina, 2007). Urban sprawl mapping and land use change analysis using GIS should be given importance while planning (Monalisha et al., 2005) This research focuses on forecasting urbanization for future using two factors as major, neighbourhood and slope effects. As existing research on relationship between neighbourhood and land use by Muranaka and Arai (2013) has been reported. In their approach, they showed the relationship between neighbourhood and land use, especially the propotion of the number of grid cells each of which has changed its land use from non-urban to urban between time (t and t+dt) and which has k urban cells within its neighbourhood. A simple and stable relationship between the state of the neighbourhood and the land use change in the central site was found by simple calculation of published land use data in Japan. By referring these past researches, neighbourhood effects also plays major role in this research. 3 DATA PREPARATION AND PROCESSING

3.1 Pre Processing Landsat 5 TM is a best data for classifying Land Use/Cover. Landsat 5 TM data has been downloaded for three times points (1989, 2000 and 2012) with 30 meter resolution. DEM data also has been downloaded for the year 2010 with same 30 meter resoulution from open source. The data specifications has been shown in Table 1.
Name LandSat 5 TM Digital Elevation Model Source U.S. Geological Survey (Open source) Advance Spaceborne Thermal Emission Reflection Radiometer (Open source) Resolution 30 Meter each 30 Meter each Year of capture 1989, 2000 and 2012 2010

Table 1: Data specifications

Preprocessing of satellite images prior to image classification and change detection is essential. Preprocessing of image data often will include radiometric correction and geometric correction. Geometric rectification of the imagery resamples or changes the pixel grid to fit that of a map projection or another reference image. This becomes especially important when scene to scene comparisons of individual pixels in applications such as change detection are being sought. Geometric corrections are made to correct the inaccuracy between the location coordinates of the picture elements in the image data, and the actual location coordinates on the ground. Radiometric corrections are made to the raw digital image data to correct for brightness values, of the object on the ground, that have been distorted because of sensor calibration or sensor malfunction problems. The distortion of images is caused by the scattering of reflected electromagnetic light energy due to a constantly changing atmosphere. This is one source of sensor calibration error. Now after correcting both the Geometric and Radiometric corrections, now all three years of Landsat Image is ready for classification. 3.2 Image Classification To examine the urbanization on LUCC, there are four important classes to be classified. They are Water, Roughland, Cropland and Urban. The description of these has been shown in Table 2. All of the visible and infrared bands (bands 1-5 and 7) were used for image classification. Supervised classification through maximum likelihood algorithm was applied to perform image classification. It was preferred because the prior knowledge of study area was known and the data of the study area were also available. In addition, this classification has been found to be the most commonly and widely used classifier. The supervised classification requires training areas for each class. The traning areas were used to define spectral reflectance patterns/signature of each class. The signatures would then be used by classifier to group the pixels into a certain class which has the same spectral patterns. Training areas of each class were created with the assistance of visual analysis on the images through displaying RGB combination and also supporting by the
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India

ancillary information from the google earth and the prior knowledge of the study area. This classification was done for all three years, 1989, 2000 and 2012.
Land Use/Cover classes Water Roughland Cropland Urban General Description An area covered by open water such as ocean, river, ponds and artificial aquacultures or fishponds. An area that is covered by shrubs and bare lands. An area that is used for any kind of cultivation such as agriculture, tree crops, or food crops. An area has all residential, commercial and industrial areas, villages, settlements and transportation infrastructure.
Table 2: Description of Land Use/Cover classes

Fig. 2: Land Use/Cover classification for three years (1989, 2000 and 2012)
Years

2012 Water 2000 Roughland Cropland Urban 1989
Percentage

0%

20%

40%

60%

80%

100%

Fig. 3: Comparisons of Land Use/Cover classification between three years

Now after classifying for three years, by seeing the Fig. 2 and 3 it can be understood that, in 1989 the Urban was only 16% but it has been rapidly increased from 16% to 34% in 2000 due to various factors and there was a gradual increase from 34% to 44% in 2012. Hence from this classification and analysis we can understand that Chennai is now urbanizing nearly 50%. And when we see for Cropland on 1989 with 38% which has been slightly decreased from 38% to 34% in the year 2000. And again slightly decreased from 34% to 31% in 2012 . And Roughland has decreased rapidly in the year 2000 from 39% to 27% and it has been again decreased to 15% in the year 2012. Here in our analysis we omit water from analysis, because water won’t change much. 3.3 Post Processing After the image classification, post processing has done to check the accuracy of the classification. Error matrix says how much error the classified image has, and from that it can be known either to reclassify the image or it has good accuracy. Here in this classification the overall accuracy is about 0.87. After checking

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Vijayalakshmi Rajendran, Toshiyuki Kaneda

the accuracy, the kappa coefficient has to be applied. The kappa coefficient is frequently used to summarize the results of an accuracy assessment used to evaluate land-use or land-cover classifications obtained by remote sensing. The standard estimator of the kappa coefficient along with the standard error of this estimator require a sampling model that is approximated by simple random sampling. Formulas are presented for estimating the kappa coefficient. Kappa coefficient is calculated and it is found to be 0.82. After checking the overall accuracy and the kappa coefficient the change maps can be created. 3.4 Slope map

Fig. 4: Slope map for 2010

As said earlier, Chennai has a flat terrain surface. The Fig.4 shows the output of Slope of Chennai metropolitan area. This slope map describes that the red areas reflects the greater slope and green area reflects the lesser slope. It is shown clearly in the map, that Chennai has more than 80% of slope is lesser. The slope is calculated for each pixels. The values of slope of each cell have been extracted for further analysis. 3.5 Change maps Change detection is the use of remotely sensed imagery of a single region, acquired on at least two dates, to identify changes that might have occurred in the interval between the two dates. This study deals with the urbanization on LUCC, therefore the change from Roughland to Cropland, Roughland to Urban and Cropland to Urban are created. And it has been found that the change from Roughland to Urban is more than the change from Cropland to Urban.The results of the change maps and graphs says that, the change from Roughland to Urban in the period 1989 to 2000 is 7% it has been increased from 7% to 9% in the period 2000 to 2012. And as an average there was a change of 14% from Roughland to Urban in the period 1989 to 2012. The change from Cropland to Urban on the period 1989 to 2000 is 9% it has been decreased from 9% to 5% in the period 2000 to 2012. As a average there was a change of 13% from Cropland to Urban in the period 1989 to 2012. It says that there is always an increase in change from Roughland to Urban. But in change from Cropland to Urban there is some increase in the period 1989 to 2000 and some decrease in the period 2000 to 2012. The percentage of change from Roughland to Urban is more than the change of Cropland to Urban. And there is a minimum change from Roughland to Cropland. 4 ANALYSIS OF LAND USE/COVER CHANGE (LUCC)

4.1 Analyses on Net Change and Transition Probability of LUCC An important aspect of LUCC study is to address the transition “from-to” processes information of each class over a certain period (1989 to 2000, 2000 to 2012 and from 1989 to 2012). This can be found by the
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India

Net change matrix. These Net change matrices are calculated from the Cell count matrix. The cell count matrix states, “The diagonal elements represent the area of each class which remains unchanged while the off diagonal elements represent the changes area”. The Cell Count Matrix has been shown in Table 3.

Table 3: Cell Count Matrix between 1989, 2000 and 2012

Now using these cell count matrices, the Net change matrices are calculated. In this study the Water is omitted because there will be only minor changes happen in Water. The Net Change Matrix is calculated for other three classes( Roughland, Cropland and Urban). The Net Change Matrix is calculated by subtracting the earlier year to later year, such as subtracting the Cropland to Roughland in the year 1989 with Cropland to Roughland in the year 2000, and entering the result in the later year. It has been shown in Table 4.

Table 4: Net Change Matrix between 1989, 2000 and 2012

Transition Probability Matrix describes the probabilities of shifting from one state to another in a dynamic system. In each row are the probabilities of shifting from the state represented by that row, to the other states. The Transition probability matrix is calculated from the Net Change Matrix. The Net Change of each class is divided by its total change and it has been done for all classes and it makes Transition Probability of each class. This Transition Probability Matrix is used to find the probability of transition of each class. As said earlier, this study concentrates only the transition from Roughland to Urban, Roughland to Cropland and Cropland to Urban. The Transition Probability matrix has been shown in Table 5.

Table 5: Transition Probability Matrix between 1989, 2000 and 2012

4.2 Analyses on Neighborhood effects of LUCC There are many factors which influence the LUCC, but in this study it focus how the neighborhood has been effected the LUCC. This analysis has been done for three periods such as, 1989 to 2000, 2000 to 2012 and 1989 to 2012. The analysis is done for the cell which represents Roughland and Cropland. For the each cell of Roughland and Cropland, the neighborhood cells have been counted for all classes, except Water. The consideration is to find the changes of each class between each period but the class water and Urban are omitted in the consideration. It has been checked for each cell surrounded by its 3 surrounding cells from each side.It can be said as the neighborhood cells has been found for 7*7 matrix or neighborhood cell range K= 3. This has done using a VBA program. After counting the neighborhood cells, Urban Ratio is calculated using the simple formula.
uT = i #U #C + #R + #U

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Vijayalakshmi Rajendran, Toshiyuki Kaneda

uT : Urban Ratio during T at cell i i #U: Count of Urban cells in the neighbor during T #C: Count of Cropland cells in the neighbor during T #R: Count of Roughland cells in the neighbor during T

Urban Ratio states that the possibility of change to Urban due to neighborhood. After calculating the Urban Ratio, Transition Probability has been found. For example, Transition Probability for Cropland to Urban is shown in this formula.
T TPij =

#CU #CC + #CU

T TPij : Transition Probability of Urban

#CU: Count of cells from Cropland to Urban #CC: Count of cells from Cropland to Cropland Transition Probability ratio is calculated with respective to the Urban Ratio and Change Ratio. The name by itself defines that the Transition Probability Ratio of Neighborhood effects states that the probability of transition for Urban Ratio.These are shown in the graph for three periods.

Fig. 5: Relationship between transition probability and urban ratio for three periods

The Fig. 5 shows how much are the possibilities of change to Urban due to the neighborhood effects. Transistion Probability has been found with respect to Urban Ratio. In the inner ring from the city, it is covered by Cropland from 1989 and the outer ring of the city is covered by Roughland. From the analysis in 1989 to 2000, there is high transition probability of Cropland to Urban, because the Urban growth has been towards south west, and has been grown in inner ring from the city. But in 2000 to 2012, the Urban development was towards the outer ring, so the high concentration of transition probability change from Roughland to Urban.

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ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India

4.3 Analyses on Slope Effect of Transition Probability Ratios for Urbanization This analysis is to find how slope has been affected the LUCC. Using the surface analysis tool in ArcGIS the degree of slope for each cell of Chennai has been calculated. It has been found that Chennai has the highest slope as 49 degree. Here the consideration is to find the probability of change between the Roughland to Cropland, the Roughland to Urban and the Cropland to Urban for three periods is calculated. The slope has been separated into 13 intervals. For each interval of slope the count of each class has been calculated for each period. Net change has been found from the cell count matrix. Transition probability of each class has been found from net change with slope effects as considerations. qT s : Transition Probability from i to j during T under slope degree s. qT s is defined as a stair–shape ij ij
function of slope degree s. slope degree s have 13 intervals. Transition Probability has been calculated with respect to the slope modified functions. Then finally the relationship between the Transition Probability and slope has been calculated and shown in the graphs for each period.

Fig. 6: Relationship between transition probability and slope for three periods

The Fig.6 shows the relationship between the probability of change from Roughland to Cropland, Roughland to Urban and Cropland to urban to the slope slope effect modified functions. While seeing this graph it has been clearly understood that slope and probability of change to Urban are inversely proportional to each other.There is high transition probability from Cropland to Urban in 1989 to 2000, because there is less slope in the inner city when compared to the outer ring from the city. However from 2000 to 2012, Roughland has the high probability to change to Urban because in the period of 2000 to 2012 the transition has done in outer ring that is covered by Roughland.

5

URBANIZATION SIMULATION OF CHENNAI METROPOLITAN AREA TILL 2024

5.1 Model and System Structure This simulation is a Monte Carlo model by considering neighborhood effects in Cellular Automata model. The model especially predicts the LUCC for future from the past data of 2012. This model predicts for the year 2024 of Chennai metropolitan area. Three major factors has been considered in this model. They are neighborhood effect, slope effect and other effects (population, road effects, and other factors). The neighborhood effect states the transition probability with respect to the neighborhood cell range K = 3. This

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Vijayalakshmi Rajendran, Toshiyuki Kaneda

is as same as the analyses which have been done in the previous chapter. The slope effect states the transition probability with respect to the slope in degree. The other effects have been considered as random factor in this simulation. As this study is based on the urbanization on LUCC, this model only focuses on the growth of Urban from Roughland, Urban from Cropland and Cropland from Roughland. Water and Urban are ignored because there won’t be huge change from these too to Urban. 5.2 Trend case and Implications The Land Use/Cover map of 2012 has been prepared in ArcGIS. The slope map was also prepared in ArcGIS. Both are combined and the output of these both is taken as input for the simulation.Here the simulation is done from 2012 to 2024 under considering the current trend case. This simulation is a Monte Carlo method by considering neighborhood effects in the Cellular Automata analogy. Transition Probabilities are given as follows.
T Pij = T qT s ∗ rij u ij T transij

T: Period (2012 to 2024)
T Pij : Transition Probability for i to j using T

qT s : Transition Probability from i to j during T under slope degree s ij
T rij u : Transition Probability from i to j during T under Urban Ratio u

: Base Transition Probability Ratio from i to j during T

Fig. 7: Forecasted Land Use/Cover classification in 2024 in trend case

This simulation result shows how the city will be in 2024 of the study under current trend. The result of simulation shows that the Urban has increased from 44% to 74%, Cropland has decreased from 31% to 11%, Roughland has decreased from 15% to 9%. Here in this simulation the water is not under consideration so there is no change in Water. The Urban is growing in the south west direction. This simulation is excuted based on only two main factors that are the neighborhood effect and the slope effect. Even though this simulation is simple but it warns that such kind of urban sprawl needs to be controlled based on metropolitan planning. The planners must avoid wasteful land consumption. Policy simulations through the revision and elaboration of the model are hopeful for planners. We illustrate that they planners can using these kinds of simulation methods for future.

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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A Simulation of Land Use/Cover Change for Urbanization on Chennai Metropolitan Area, India

6 CONCLUSION We reported a series of data works on Land Use/Cover Change in Chennai, at three time points of 1989, 2000 and 2012. As the results, first we had identified high-performance classification on Land Use/Cover with overall accuracy of 0.87 and Kappa coefficient as 0.82. Then we had examined the transition probabilities of Land Use/Cover and had found both the effects of neighborhood and slope for urbanization. These facts should be emphasized. Analyzing these effects, lastly we had also tried a simulation in the current trend case. The result of the simulation shows that there can be seen 30% increase of Urbanized area in 2024. Validity checks and policy simulations remain the further works. 7 REFERENCES

BINDU BHATT, AMIT KUMAR GUPTA and GUNIN GOGOL: Application of Remote Sensing and GIS for Detecting Land Use Changes: A Case Study of Vadodara, 2003. DAWN C.PARKER, STEVEN M.MANSON, MARCO A.JANSSEN, MATTHEW J.HOFFMANN and PETER DEADMAN: MultiAgent Systems for the Simulation of Land-Use and Land-Cover Change: A Review. Annals of the Association of American Geographers, Vol. 93, Issue 2, pp. 314-337. 2003. DIPL.-GEOGR. STEFAN FINA: Advanced land use modeling and land suitability ranking using GIS. Institute of Regional Development Planning Pfaffenwaldring 7 70569 Stuttgart, Germany, 2007. HARIKA.M, ASPIYA BEGUM.SK, YAMINI.S, BALAKRISHNA.K: Land Use/Land Cover Changes Detection and Urban Sprawl Analysis. International Journal of Advanced Scientific Research and Technology, Vol. 2, Issue 2. 2012. HIROKI MURANAKA and TAKESHI ARAI: A Simple Relationship between Neighborhood and Land Use Change: An Empirical Study in Japan. CUPUM Conference Posters, 2013. JAMES R. ANDERSON, EMEST E. HARDY, JOHN T. ROACH and RICHARD E. WITMER: A Land Use And Land Cover Classification System For Use With Remote Sensor Data. Geological Survey Professional Paper 964, A revision of the land use classification system as presented in U.S.Geological Survey Circular 671, 2001. LAURA C. SCHNEIDER, R.GIL PONTIUS: Modeling Land-Use Change in the Ipswich Watershed, Massachusetts, USA. Agriculture, Ecosystems and Environment, 2001. MONALISHA MISHRA, KAMAL KANT MISHRA, A.P.SUBUDHI: Urban Sprawl Mapping And Land use Change Analysis using Remote Sensing and GIS.

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reviewed paper A Smart Researching and Planning Tool for the Neuralgic Urban Zone: 3D-ZPA Angelika Psenner
(DI Dr. Angelika Psenner, Vienna University of Technology, Dept. of Urban Design, 1040 Vienna, Karlsplatz 13, angelika.psenner@tuwien.ac.at)

Fig. 1: series of images showing ground floor facades of a Gründerzeit-street in Vienna’s 9th district © Psenner

1 ABSTRACT There is a strong and direct relationship between urban street space and the structures and uses of the buildings’ ground floor. When addressing urban development issues the necessity to consider the “StadtParterre“ (street-level-environment)—a holistic urban zone of public, private, and semi-private spaces—must therefore be emphasized. In consequence the spatial representation of Vienna’s street-level environment 3D-ZPA is covering both built-up and non-built-up areas, it includes the street as well as the adjacent houses and yards. Vienna’s official digital map serves as matrix where the individual ground level plans of the flanking buildings is set in—both historical plans and most recent conversion documents are taken into account, so that the morphological evolution of the street-level is reflected. Given the importance of ceiling and building heights the plan is elevated into the third dimension, which marks the major distinction from the Comprehensive Ground Floor Surveys, originally carried out in the 1960ies (Muratori, Caniggia). 3D-ZPA differs in precision and scale from the current settings of 3D city models that mostly render a distant bird’s eye perspective and that by simply showing the external building perimeters do not provide an objective representation and description of the city’s interior structure. 3D-ZPA precisely represents the buildings’ ground floor; the areas above and below are generically outlined as a rather simple cubic model, so that street profile and day light situation on the ground are reflected. 3D-ZPA yields information about a building’s spatial and functional relationship to public space and topographical environment; qualitative statements can be made concerning use, use-frequency and intensity. It facilitates conclusions regarding use-potential of the ground floor zone and places structural functions of the street space in relation to it. Interrelations can be identified, problematic situations considered and resolved in context; thus 3D-ZPA is providing a fundamental tool for planning and research.

Fig. 2: 3D-ZPA © Psenner, pilot test: images of the 3D ZPA

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INTRODUCTION

2.1 Actual Urban Situation Vienna’s urban street-level environment crisis is a key focal point of the city’s urban research and for its administration. Although the rapid population growth (up to twenty thousand people per year1) has created an urgent need for additional (living) space2, ground floor vacancies are still spreading. On the other hand the environmental impact generated by individual motorized traffic has become so critical that it can no longer remain a secondary debate. The current mono-structural form of street space use—while understandable in terms of its historical evolution—does not do justice to urban space with respect to the public good. We are still a long way off understanding street as a cultural good, as “lived space”, but the signs are favorable for reaching a major turning point: in many urban centers, individual motorized transit has reached its maximum capacity; environmental issues have gained prominence and can no longer be relegated to the background;3 and recent economic and financial crises have shed light on the weaknesses of the current world economic system—a system that largely relies upon resource-intensive forms of mobility.4

Fig. 3: ground floor vacancies; urban open space primarily used by the automobile, © Psenner

2.2 Research Questions and Objectives of the Project In Vienna and several other European cities, the street-level environment requires increasing attention in the form of urban research and administration. This is due to an increasingly problematic rate of vacancy or underuse of the ground floor, while rapid population growth makes the search for additional (living) space an urgent matter. Given current conditions, this population growth over the next several years will also result in a further increase of car ownership and a consequent additional need for parking space. Living space created by rooftop conversions is mostly accompanied by a sealing of the street-level zone. As a result, no additional living space is actually created; the city merely moves upwards by one floor, which leaves behind a detrimentally affected and depopulated public space. This develop¬ment will ultimately render an already precarious urban environment even more unsustainable.

Vienna’s Planning director, Thomas Madreiter, expects population growth on that scale. The additional requirement of housing space cannot be met by using the city’s reserves of undeveloped land alone, therefore in addition to the existing major development areas, living space will have to be created in densely built-up areas. 3 Failure to meet the Kyoto protocol’s climate protection targets for greenhouse gas emissions in the 2008-2012 commitment period will cost Austria 160 million Euros, an amount that the Austrian environment ministry will have to spend on purchasing emission allowances. 4 Cf. Candeias et al. (eds.), 2011, Globale Ökonomie des Autos.
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Fig. 4: Living space created by rooftop conversions is often accompanied by a sealing of the street-level zone. As a result, no additional living space is actually created, the city merely moves upwards by one floor. © Psenner/Nöbauer

The reasons why our cities have been converted into car-friendly milieus are certainly known: • • • the car industry’s powerful lobby intervened in politics from the very beginning; the modern era’s guiding concept of separate urban functions (living, working, recreation) eventually increased the volume of traffic;5 the suburbia movement, originating from economical6, tactical but also military7 considerations, has lead to a swift development of road infrastructure in outlying urban areas.

Nevertheless, we are aware of historical photographs of our urban streets that indicate a different, highly diverse structure of uses:

Fig. 5: Vienna, Mariahilfer Straße 1914 (Sinhuber/Stumpf 1992: Wien. Metamorphosen einer Stadt; pg.:180)

We also are familiar with images of megacities (such as metropolitan Tokyo with its 35 million inhabitants) where streets, in spite of an enormous volume of transit, are understood primarily as living space rather than as traffic corridors (see Krusche and Rost, 2010).

Fig. 6: street view in Tokyo City centre in the morning on a workday, © Psenner

It is necessary to examine the issues concerning the street-level environment in Vienna. That is, to consider the facts from the perspective of the urban system and identify ways in which architectural and urban research might contribute to understanding the existing problems. Experience has shown that a networked,
In this context, reference must also be made to older ideas, like Garden City, Ciudad Lineal, The Decentrists, Radiant City, etc. 6 Cf. Lewis, 2004. 7 Cf. Plunz, 1990: 278f.
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transdisciplinary perspective holds the greatest potential. In order to successfully address public space issues, this study emphasizes the necessity to consider the street-level environment as a whole, rather than focusing exclusively on certain parts of in.8 2.2.1 The “StadtParterre” The street-level environment concept refers to the city’s “Parterre” as a holistic urban system: it covers both built-up and non-built-up areas. Thus street, ground floor and courtyard are treated as entity, so that interrelations will come to light. We perfectly know that the potentials of ground floor use and the structure of the correlating public street space are directly related to each other.9 2.2.2 Research Field

In order to narrow the field of research and render it in specific terms, this study will focus on the Gründerzeit GZ period structure.10 The urban structures that emerged in the period between 1848 and 1918 were laid out on a strict grid and to this day represent a large percentage of the entire urban structure with one quarter of all apartments in Vienna located in GZ buildings.11 Furthermore the project will focus on residential streets in the first place—as they are the ones that so fare (unlike shopping streets or traffic roads) have been neglected from science and administration. 2.2.3 Research Questions Since urban maps usually end at the building perimeter, little is known about the interrelations between builtup structures, ground floor use, and street use. Urban planning spares little thought for what really takes place inside the buildings lining a street.12 The proposed study is therefore concerned with the following main questions: How did the GZ-ground floor in residential streets work originally (during GZ period)? What are the (historical) interrelations between public space and the life inside buildings? The study is also dealing with secondary questions like: Is it possible for a street-level environment that no longer serves any vital function—where storage facilities, supply rooms, garbage collecting areas, garages and parked cars are taking over—to appeal to potential users? Which architectural and structural interventions have a positive impact on the street-level environment? 2.2.4 Objective of the Study

The objective of the present study is to both retrieve and generate relevant data in the form of a 3dimensional comprehensive map of the street-level environment (as described in the methodology section: 3D-ZPA). Only when such data is available can conclusions regarding the interaction between the ground floor and street space be drawn. This morphological analysis of the urban street level is intended to yield strong arguments in support of a—possibly radical—rethinking of street space use as well as ground floor architecture.

See Psenner 2004: In identifying criteria of perception in public space, I focus on architecture as a determining factor. In the process, the interrelations between street space and buildings move into the foreground. 9 Detailed articles by the author on this issue: Psenner, 2012b, 2011a, 2011b, 2005, 2004a 10 The GZ structure evolved as part of Vienna’s urban expansion caused by 19th century historical and political developments as well as industrialization. An enormous influx of new residents made Vienna’s population grow from 440,000 in the year 1840 to 2,2 Million (in 1905), making it the fifth-largest city in the world. The architectural style of the GZ period, widespread in 19th century central Europe, was mostly an expression of the aesthetic tastes of a rising and economically powerful bourgeoisie. 11 238,100 out of a total of 956,110 apartments (Statistik Austria et al. (eds.): Österreichs Städte in Zahlen. Vienna. 2010: 98). 12 Individual buildings’ planning data, which holds precisely the information that requires clarification, is considered being private from a legal point of view.

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METHODOLOGY: 3-DIMENSIONAL COMPREHENSIVE STREET-LEVEL MAP (3D-ZPA) “ZUSAMMENHÄNGENDE PARTERRE-AUFNAHME”

3.1 Original Comprehensive Ground Floor Survey: 2-Dimensional (ZGA) – “Zusammenhängende Grundrissaufnahme“ The original, two-dimensional comprehensive ground floor survey (ZGA, Zusammenhängende Grundrissaufnahme) derives from studies on the relationship between urban morphology and the typology of buildings, such as carried out by Saverio Muratori in Venice, and Gianfranco Caniggia in Florence and Como. Subsequently, Swiss architects and historians utilized such morphological studies: In the 1960s, architects in the Tessin region initiated an inventory that was continued at the Swiss Federal Institute of Technology (ETH) in Zürich in the 1970s, and made further progress when a comprehensive survey of Zürich’s urban core was conducted under the direction of architectural researcher Margareta Peters.13 A simple cadastral map (Katasterplan) or the multi-purpose map in use in Vienna (Mehrzweckkarte) show only the perimeter of the buildings; they do not provide a sufficiently objective representation and description of the interior structure of the city. A comprehensive plan ZGA of the ground floor level yields information about a building’s relationship to public space and the topographical environment: it visualizes the interrelation between the interior life of individual buildings and the public street space surrounding them. The comprehensive plan of the ground floor level together with the comprehensive plan of the basement level (very often ZGAs cover different levels, mostly: ground floor, basement and standard upper floor14) are consequently used to examine the relationship among buildings, streets, and yards.15 The present study’s primary objective is to reproduce and to model the three-dimensional sphere of the urban street-level environment (StadtParterre) in Vienna. To this end, the ZGA, described above, was developed further into the so called: 3D-ZPA (3-Dimensionale Zusammenhängende Parterre-Aufnahme).16

Fig. 7: 3D ZPA, pilot study, © Psenner

3.2 Methodological Adaptations to Relevant Research Field and Research Questions The existing digital multi-purpose surface map (Flächen-Mehrzweckkarte) that documents detailed land use for the entire municipal area of Vienna in a clearly structured rendering, serves as baseline set of data. This
Comprehensive ground floor surveys of the following Swiss cities exist: Bellinzona, Zürich (old town, 1955), Luzern, Bern (old town), Solothurn (1900), Bern (old town), Biel, Tessin, Zurzach, Le Landeron, Baden, Wil SG (old town), Zürich (old town), Zürich (industrial quarter), Zürich (Stadelhofer quarter). 14 Some ZGA also include a typological register, specifying the particular type of building. The register is based on recurring elements of the ground floor, and its geometrical structure. Examples of scientific use of ZGAs include Georges Grosjean’s work, which proved a systematic expansion of the medieval city of Bern on the basis of precisely proportional firewall intervals. (Peters 1999a, 154). A metrological analysis of the ZGA Biel showed that a supposedly flat street facade previously had arcades on its northern face that had simply be closed at a later point in time. 15 The upper floors are of less relevance to this study in as much as they mostly contain information on the inner structure, or as Peters puts it: “the vertical unity of the building” (Peters 1990, 30). 16 The ZGA of of Ponticelli, a neighborhood in Naples, has also been complemented with an axonometric plan, which however only shows the buildings skins (Fioravanti/Caniggia: Progettare il Recupero, 1983; cited in: Caniggia, 1986: 336 and 338).
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map represents a fundamental tool for planning, providing a matrix that is completed with ground level plans of individual buildings: original historic building plans, as well as archived building applications and most recently authorized plans. Additionally, given the importance of ceiling and building heights, sectional views are also retrieved. The plans and data—all archived at Vienna building authority’s planning database (Baupolizei, MA37)—are then reviewed, scanned, categorized, and processed. In a next step, the official plans are verified on site and adjusted where needed, in particular with regard to the actual use. Subsequently, any additional measuring work required in order to render a sufficiently precise plan must be identified. This process is rather work-intensive, therefore the most suitable/efficient form of digital StadtParterre-mapping shall be identified. The 3D-ZPA is a special form of a 3D urban model, enriched with precise detailed StadtParterre-data and adjusted to eye level.17 3.3 Work plan This study is designed to address the following: theoretical and historical information, fieldwork surveys, and comparative analyses. The research project, intended as an iterative process, will integrate various suitable scientific methods as well as the superposition of the different facets and outcomes of the study. Therefore, the work schedule and timetable do not identify precise dates: project work is overlapping; accordingly the four work packages are to be seen as mostly running in parallel (see the flowchart also). 4 PILOT STUDY The 3D-ZPA method is being used, tested, and developed further in a still on-going pilot project conducted by the author and partially funded by two science awards granted to the author in 2012 (“WKOWissenschaftspreis” sponsored by the Economic Chamber of Vienna; and the City of Vienna’s University Jubilee Award). So far the Vienna street level environment has been explored by means of an exemplary street in the 9th district: the Rotenlöwengasse. The street—an archetypal Gründerzeit-structure—had been totally rebuilt in the late 19th century.

Fig. 8: 3D ZPA, pilot study, © Psenner

The preliminary work covers an in-depth historic approach (theoretical treatise on historical use and on street- and building laws; cf. Psenner 2013, 2012a, 2012b). The elaborately researched biography of the street includes detailed information on its outlay (geography, spatial and urban planning), the architectural building development and the precise development of the use of the adjacent ground floors and basements (trade, crafts, industry, housing, etc.)

Fig. 9: 3D-ZPA © Psenner, pilot test: façades and illumination by night

The preliminaries also cover an in sight field study of the actual state of the street-level environment: What exactly is going on behind the walls and how does this use affect the public space of the street? What kind of work places can be found there? How is illumination/use frequency by night?

The current settings of the 3D urban model mostly render a bird’s eye perspective. Unlike this, 3D navigational tools, such as used by taxi drivers, or Google Earth Street View, adopt an eye-level view. The navigational tools currently available offer no real 3D representations and instead project photographs on 3D urban structures.

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The modelling is done with Autodesk Revit® software,18 which is specifically built for Building Information Modelling (BIM) and which allows a coordinated and consistent model-based approach. Revit supports easily controllable transparency and fade-in/-out effects based on flexible keys for all objects. The ground floor is rendered accurately in every detail; whereas general structural data, such as weight bearing elements (outer and main interior supporting walls), access points (stairways and corridors) and the façade (opening axes) provide sufficient data regarding the standard upper floors, unless they are directly connected to the ground floor (same procedure concerning the basement). The three-dimensional representation of this data is processed with further facts in order to enabling the 3D image to yield information on the use of space (that is: is it living, working, or storage space, are cars parking there? What is the frequency of use?).19

Fig. 10: 3D-ZPA © Psenner, pilot test: axonometric image (detail) of the 3D ZPA model, showing the ground floor

The axonometric image of the 3D ZPA model is considered being a valuable form of representation. In a further processing it includes basic information on ground floor furnishing (features like cars/ double parkers). It also will identify intensity and forms of use (using color codes, such as red for semipublic spaces and spaces with high user frequency, such as offices, shops, coffee houses, studios; orange for housing; green for garages and storage space; blue for vacancies, and so forth).

Fig. 11: 3D-ZPA © Psenner, pilot test: perspective image of the 3D ZPA model

The area above and below the ground floor is broadly outlined in a Volumsmodel, with basic data on statics and site infrastructure. Hence, the street profile and the illumination of the ground floor and street level become readable. The facade is interpreted as a permeable interface between building and public space. (Information on the formal design of the facade is available as an option.) 5 PRELIMINARY RESULTS/FINDINGS The spatial representation of Vienna’s street level environment (StadtParterre), including all additional relevant data on the ground-floor, facilitates conclusions regarding the (use) structure and the (use) potential
Revit® is a single application that includes features for architectural design, MEP and structural engineering, and construction. 19 A further development of the 3D-ZPA will also contain information about Vienna’s Stadtstrukturplan, a planning tool that identifies some pedestrian-sensible data, like privileged buildings, relevant view axis, approximate indications on intended ground floor usage (shopping streets).
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of the ground floor zone (for example, illumination) and places the uses and functions of the street space in relation to it. Thus, interrelations can be identified and problematic situations considered and resolved in context.

Fig. 12: 3D-ZPA © Psenner, pilot study: images of the 3D ZPA showing different street views in Vienna’s 9th district

5.1 Importance of the Expected Results for the Discipline This study aims to map and clearly describe the potential of the street-level environment—by inter alia thoroughly analyzing its past development. The status quo is not satisfactory: moving and stationary traffic render the ground floor unappealing and not usable for the public; ground floor vacancies augment and are consequently converted into even more parking spaces. Thus, the city migrates upwards: attics are converted, rendering the illumination of the ground floor even more precarious. It must be expected that the automobile will also ultimately overtake the first floor. This imbalance is mirrored in new constructions: residential buildings often rest on stilts, with use beginning only at a certain height. This study will provide the necessary data, analysis, and argument required to bring urgent change to the existing paradigms.

Fig. 13: 3D-ZPA © Psenner, pilot study

One significant prerequisite of successful regulatory measures in urban planning, administration, and economics is a solid and detailed knowledge of the actual architectural structure, current use—and potential use—of the street-level environment. The three-dimensional comprehensive street-level map 3D-ZPA will realize this information in an easily accessible and locally contextualized form. Thus, the potential of the street-level environment will be clearly identified and can successfully inform urban planning (the initial focus being on Vienna’s GZ neighborhoods).

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Given the complex micro-analytical capability of the 3D-ZPA, it will be possible to document vacancies and street-use issues in various neighborhoods and to analyze the contributing economic, traffic and social factors. The systematic 3D-mapping of the built-up structure and inventory of the historic, the actual and the potential ground floor uses will provide a basis for developing long-term views of Vienna’s street-level environment, practical guidelines for future interventions in various neighborhoods, and for the (re-)design of individual street complexes.20 Expected Benefits: (1) Using the 3D-ZPA tool, the study will visualize the (historic) interrelation between street space and ground floor use over time. Thus, existing discrepancies will be identified between the private use of street space and the public’s interest in the offerings of the street level environment. (2) This transparent and objective form of visualization of interrelated functions provides a sound argument capable of inciting to action the stakeholders in administration and business. (3) Concrete improvements in the urban street-level environment can be planned and realized. 6 REFERENCES

ANDERSON, Stanford (ed.): On Streets. Institute for Architecture and Urban Studies Cambridge, Mass, 1978 APPLEYARD, Donald: Livable streets. Berkeley, Calif. (u. a.): Univ. of California Press, 1981 BREUSS Susanne: Window Shopping. Eine Fotogeschichte des Schaufensters. Vienna: Wien Museum and Metroverlag Wien, 2010 BREMER, Jaap, Van Abbemuseum Eindhoven (ed.): Die Strasse: Form des Zusammenlebens; Städtische Kunsthalle Düsseldorf; Kunsthalle Nürnberg; Museum des 20. Jahrhunderts, Wien. Düsseldorf: Holle, 1973 BROOK, Richard, DUNN, Nick: Urban Maps: Instruments of Narative and Interpretation oft he City, Farnham (u. a.): Ashgate, 2011 CANDEIAS, Mario et al. (eds.): Globale Ökonomie des Autos. Hamburg: VSA Verl., 2011 CANIGGIA, Gianfranco: lettura di una citta': Como. Roma: Centro Studi di Storia Urbanistica, 1963 CANIGGIA, Gianfranco: “Lettura di Firenze – Strukturanalyse der Stadt Florenz”. In Malfroy and Caniggia’s anthology: Die morphologische Betrachtungsweise von Stadt und Territorium – L' approche morphologique de la ville et du territoire. Zürich : ETH, Lehrstuhl f. Städtebaugeschichte, 1986 DAVIS, Howard: Living Over the Store: Architecture and Urban Life. London and New York: Routledge, 2012 DIETIKER, Jürg (ed.): Wie Straßenraumbilder den Verkehr beeinflussen: Der Durchfahrtswiderstand als Arbeitsinstrument bei der städtebaulichen Gestaltung von Straßenräumen; Schweizerische Ver. d. Verkehrsingenieure SVI (ed.), St. Gallen, 2008 ECKARDT, Frank: Die Komplexe Stadt. Orientierungen im urbanen Labyrinth. Wiesbaden: Verlag für Sozialwissenschaften, 2009 ETH, Lehrstuhl f. Städtebaugeschichte: Die morphologische Betrachtungsweise von Stadt und Territorium. Zürich: ETH, Lehrstuhl f. Städtebaugeschichte 1986 EVING, Reid and HANDY, Susan: „Measuring the Unmeasurable: Urban Design Qualities Related to Walkability“, in: Journal of Urban Design, Vol. 14/1, 65–84, 2009 FYFE, Nicholas R. (ed): Images of the street: planning, identity and control in public space. London (u. a.): Routledge, 1998 GEHL, Jan: Life between buildings: using public space. Copenhagen: Arkitektens Forlag, 1996 HEISS, Gernot: Straße – Mythos von Freiheit und Leben: Zur Herkunft eines modernen Traumes. In: Aufrisse. Zeitschrift für politische Bildung. „Die Straße“ Nr. 4/1984, 37-46, 1984 HIRSCHBERG, Urs, FAKULTÄT FÜR ARCHITEKTUR TU Graz (ed.): dense cities: architecture for living closer together. Vienna [u. a.]: Springer, 2012 HOHM, Hans-Jürgen (ed.): Strasse und Strassenkultur. Interdisziplinäre Beobachtungen eines öffentlichen Sozialraumes in der fortgeschrittenen Moderne, Konstanz: Univ.-Verl. Konstanz, 1997 INGOLD, Tim (ed.): Ways of walking: ethnography and practice on foot. (Anthropological studies of creativity and perception). Aldershot [u. a.]: Ashgate, 2008 JACOBS, Allan B.: Great Streets. Cambridge, MA: MIT Press, 1993 KAUFMANN, Vincent: Rethinking the city: urban dynamics and motility. Lausanne [u. a.]: EPFL [u. a.], 2011 KOKKELINK, Günther, MENKE, Rudolf: “Die Straße und ihre sozialgeschichtliche Entwicklung”, in: Stadtbauwelt 1977/53, 354358, 1977 KRUSCHE, Jürgen, VOGT, Günther: Strassenräume Berlin Shanghai Tokyo Zürich. Eine foto-ethnografische Untersuchung. Baden, Schweiz: Lars Müller Publishers, 2011 KRUSCHE, Jürgen, ROOST, Frank, DEPT. ARCHITEKTUR ETH Zürich: Tokyo. Die Straße als gelebter Raum. Baden, Schweiz: Lars Müller Publishers, 2010 KRUSCHE, Jürgen (ed.): Der Raum der Stadt: Raumtheorien zwischen Architektur, Soziologie, Kunst und Philosophie in Japan und im Westen. Marburg: 2008

In order to develop a sustainable solution to the various problems that plague the Vienna street-level environment, it will be necessary to employ a systems-oriented view of urban structures. Such a view will take into consideration causes, effects, benefits, and costs as well as consequential costs, resulting in the factual analysis of systemic interrelations as well as identification of a suitable spectrum of key measures. Previously, secondary consequences resulting from a street space overly burdened by parked cars have not been taken into consideration. It is one objective of this study to analyze and represent this interrelation in detail. The primary objective there must be to produce a strong and convincing argument for (re)defining street space in urban centers as living space and for enacting this categorization through the law.
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A Smart Researching and Planning Tool for the Neuralgic Urban Zone: 3D-ZPA LEHNERT, Gertrud (ed.): Raum und Gefühl. Spatial Turn und die neue Emotionsforschung. Bielefeld: transcript Verlag, 2011 LEWIS, Pobert: Manufacturing Suburbs: Building Work and Home on the Metropolitan Fringe (Critical Perspectives on the Past), Philadelphia, Ph.: Temple Univ Press, 2004 LÖW, Martina: „>Jede Stadt ist ein Seelenzustand< – Städtische Vergesellschaftung und Identitätsanforderung“. In: GOETZ, Rainer; GRAUPNER, St. (ed.): Atmosphäre(n) II: Annäherungen an einen unscharfen Begriff. München. Kopaed, 55-67, 2012 LÖW, Martina: Soziologie der Städte, Frankfurt a. M., 2008 LUCHSINGER, Christoph: Zweierlei Städte. In: WOLFRUM, Sophie, NERDINGER, W. 
et al. (eds.): Multiple City, Berlin 2008 MALFROY, Sylvain: „Die morphologische Betrachtungsweise von Stadt und Territorium“. Zürich : ETH, Lehrstuhl f. Städtebaugeschichte, 1986 MEHTA, Vikas: The Street, London [u. a.]: Routledge, 2013 MOUDON, Anne Vernez: Public Streets for Public Use, New York: Columbia Univ. Press 1987 MURATORI, Saverio: Studi per un operante storia urbana di Venezia. Roma: Istituto Poligrafico dello Stato, national library; 1960 OFTERDINGER, Dieter, SCHULTMEYER, Helmut:. Grundrisstypologie der gründerzeitlichen Wohnbauten in Wien. Studie i. A. der Stadt Wien. Vienna: Koordinationsbüros der Magistratsdirektion der Stadt Wien, 1975 OSWALT, Philipp, OVERMEYER, Klaus, MISSELWITZ, Philipp: Urban Catalyst.
Mit Zwischennutzungen Stadt entwickeln, Berlin: Dom Publishers, 2013 PETERS, Margareta: „Stadtgrundriss als Arbeitsinstrument: dem Mittelalter auf der Spur“. In: Hochparterre: Zeitschrift für Architektur und Design, 1990/4: 30-31. Also available on the net: http://dx.doi.org/10.5169/seals-119191 (17.10.2012) PETERS, Margareta: „Die >Zusammenhängende Grundrissaufnahme< Zürich“. In: Ebeling, Dietrich (ed.): Historisch-Thematische Kartographie: Konzepte – Methoden – Anwendungen. Bielefeld: Verlag für Regionalgeschichte, 1999a: 137-149 PETERS, Margareta: „Elektronische Erfassung eines Industriequartiers: zusammenhängende Grundrissaufnahme in Zürich, ein Experiment“. In: Schweizer Ingenieur und Architekt, Vol.117,: 779-784. 1999b. Available for download at: http://dx.doi.org/10.5169/seals-79787 (15.10.2012) PLUNZ, Richard: A History of Housing in New York City, New York: Columbia Univ. Press, 1990 PSENNER, Angelika: „Wem gehört die Straße? Genealogie der Nutzerrechte in Wiens Straßen“. In: Sozialwissenschaftliche Studiengesellschaft (ed.), SWS Rundschau, issue 2/2013, 2013, 131-159 PSENNER, Angelika: „Mixed Building use Promotes Mixed Urbanity: Insights from Historical Use-neutral Architecture”, in: M. Schenk, V. Popovich, P. Zeile, P. Elisei (eds.) REAL CORP 2012, RE-MIXING THE CITY - Toward Sustainability and Resilience? Vienna, (2012a), 463-473. Available for download at: http://programm.corp.at/cdrom2012/papers2012/CORP2012_18.pdf PSENNER, Angelika: „Wie wollen wir das Wiener Gründerzeit-Parterre nützen?“, in: RIESSLAND, Martina, SCHEUVENS, Rudolf, SCHÜTZ, Theresa: Perspektive Erdgeschoss, Werkstattbericht 121. Magistratsabt. 18, Stadtentwicklung und Stadtplanung (ed.), 2012, Vienna, 2012b, 18-23 PSENNER, Angelika: “Integrative Diversität zu ebener Erd‘? Das Entwicklungspotenzial der stadträumlichen Struktur des Wiener Gründerzeit-Parterre“. In: Sozialwissenschaftliche Studiengesellschaft (ed.), SWS Rundschau, issue 2/2011, 2011a, 195-218 PSENNER, Angelika: “Vienna’s historic ground floor and its socio-urban potential – Integrative diversity par-terre?” In: M. Schenk, V.V. Popovich, P. Zeile (eds.) REAL CORP 2011, change for stability: lifecycles of cities and regions, Vienna, 2011b, 1119-1126. Available for download at: www.corp.at/archive/CORP2011_11.pdf (15.12.2012) PSENNER, Angelika: “The Price of Generous Ceiling Heights: The Influence of Historic Building Value on Vienna’s Gründerzeit Architecture”. In: Efe Duyan (ed): Theory, For the Sake of the Theory, Istanbul: Dakam Publishing, 2011c, 395-409 PSENNER, Angelika: Wahrnehmung im urbanen öffentlichen Raum. Vienna, 2004 RAITH, Erich: „Die Stärken und Schwächen der gründerzeitlichen Stadt, Eine umfassende Betrachtung zur Ausstellung Reinsetzen“. In: MA 18 Stadtentwicklung und Stadtplanung (ed.): Werkstattbericht 95: Reinsetzen, Bauliche Implantate in der Gründerzeit; Vienna, 6–11, 2008 RAITH, Erich: Stadtmorphologie: Annäherungen, Umsetzungen, Aussichten. Vienna (u. a.): Springer, 2000 RUDOFSKY, Bernard: Straßen für Menschen. Salzburg, Wien: Residenz-Verl., 1995 (orig. 1969) ROWE, Peter G.: Civic Realism. Cambridge et al.: MIT Press, 1997 RUEGG, Arthur (ed.): Materialien zur Studie Bern. 4. Jahreskurs 1974/75. Edited by Lehrstuhl Prof. Dolf Schnebli and Lehrstuhl Prof. Paul Hofer, Eidgenössische Hochschule Zürich, Zurich 1975 SCHEUVENS, Rudolf, SCHÜTZ, Theresa: Perspektive Erdgeschoss, Werkstattbericht 121. Vienna: Magistratsabt. 18, Stadtentwicklung und Stadtplanung, 2012 SCHOPF, Josef, EMBERGER, Günter: „Die Straße, die Fußgänger und die Stadtentwicklung. Straße als Lebensraum“. In: dèrive, issue: 50, 2013 SHELTON, Barrie: Learning from the Japanese city: looking east in urban design. London [u. a.]: Routledge, 2012 SHOUP, Donald C.: The high cost of free parking. Chicago, Ill. [u. a.]: Planners Press, 2011 SOHN, Dong Wook, MOUDON, Anne Vernez, LEE Jeasun: “The economic value of walkable neighborhoods“, in: Urban Design International Vol. 17, 2, 115–128, 2012 TECKERT, Christian: „Agonale Räume. Zur Sichtbarmachung von Differenz in der Relation von Raum und Öffentlichkeit.“ in: BOSSE, Claudia, NÄGELE, Christina (eds.): Skizzen des Verschwindens. Theatrale Raumproduktionen, Frankfurt/M.: Revolver Verlag, 2007

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reviewed paper A Visionary Study on Urban Neighbourhood Models in Kabul City Based on Actual Surveys Sofia Sahab, Rim Meziani, Toshiyuki Kaneda
(Sofia Sahab, Master Course Student, Graduate School of Engineering, Nagoya Institute of Technology, Gokiso-cho, Nagoya, Aichi, Japan, Assist. Lect., Engineering Faculty, Kabul University, Karte-Sakhi, Kabul, Afghanistan, sofiasahab@gmail.com) (Rim Meziani, Assist. Prof., Architecture Department, College of Engineering, Abu Dhabi University, Doctor of Engineering, Abu Dhabi, UAE, rim.meziani@adu.ac.ae) (Toshiyuki Kaneda, Prof., Graduate School of Engineering, Nagoya Institute of Technology, Doctor of Engineering, Gokiso-cho, Nagoya, Aichi, Japan, kaneda@nitech.ac.jp)

1 ABSTRACT This paper explores a new neighbourhood model with the primary school district. This scale is well known as Perry’s neighbourhood unit theory all over the world. So, this paper deals with (1) the spread and familiarity of Perry’s theory especially in Islamic planning context; (2) spatial analysis of current urban neighbourhoods in Kabul City through a survey in district nine; (3) measurement of densities on population, dwelling unit, household, and pupils in the case study area, and (4) visionary proposals on urban neighbourhood models based on several scenarios in the near future and its implications. The findings are: (1) Gozar is an institutionalized fundamental element of the city governance body in Kabul City; (2) there are wide ranges of spatial sizes and divisions of Gozars; (3) ‘Urban Gozar’ as an elemental neighbourhood organization in the modern sense is forming through transformation; (4) the neighbourhood unit of Perry can be an appropriate urban concept for urban neighbourhoods in Islamic cities and towns specially Kabul City. 2 RESEARCH BACKGROUND AND OBJECTIVES Kabul City, the capital and the largest city of Afghanistan is facing a chaotic urban expansion, which is caused by the migration of refugees from the outside area of the city during and after the civil war and destruction. This is slightly different from the typical urbanization process in developing countries. The city that was planned for two million population in 1978, has recently estimated around five million. As for visioning of the reconstruction of Kabul in a Least Developed Country (LDC), not only the physical aspects such as housing supply, infrastructure development and so on are to be examined, the social aspects such as compulsory education, social solidarity establishment and so on are also to be examined sufficiently. Both issues, especially the latter issue closely concerns to the urban lifestyle of Afghan citizens on their own ways. From such a perspective, our research interest is on community design in an Afghan way. We focused firstly on ‘Gozar’ as a neighbourhood organization. Gozar is a traditional district unit organized around mosques, which take important placement/ locations, and is so popular in surrounding Islamic cities and towns. However, findings from our survey in Kabul show that (1) it is institutionalized as a fundamental element of the city governance body; but (2) its activity itself does not fully depend to the religion; and (3) there are wide ranges of spatial sizes and divisions. These suggest that ‘Urban Gozar’ as an elemental neighbourhood organization in the modern sense is forming through transformation. However, the community design for urban Afghan requires a comprehensive spatial standard. Concerning the requirement for a comprehensive spatial standard and the social requirement of compulsory education, this paper aims to explore a new spatial standard as the primary school district. For this purpose, this paper addresses: (1) spatial analysis of current Gozars through a case study survey in district nine of Kabul City; (2) estimation of densities on population, dwelling unit, household, and pupils in the case study area and; (3) visionary proposals on urban neighbourhood models based on several scenarios for the ultimate urban growth in district nine of Kabul City. The visionary proposals are based on scenarios for the possible ultimate urban growth. For this purpose: firstly, the density (dwelling units per hectare) is measured through sampling within the entire city by using aerial maps. Secondly, the measured density is applied to the potential land for development (vacant land, agricultural land) in the cases of well-planned with appropriate density and unplanned as current urban growth. Thirdly, the schools required for the pupils are found in the cases of pupils’ full enrolment ratio and the pupils’ enrolment ratio as current. Finally, the neighbourhood models are proposed for the well planned and unplanned growth, in both cases of pupils’ enrolment ratio.

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THE SPREAD AND FAMILIARITY OF PERRY’S THEORY IN ISLAMIC PLANNING CONTEXT The concept of neighbourhood has existed since centuries ago in different continents of the world (Farah, 2013). The planned residential neighbourhood probably finds its most complete description in Clarence A. Perry’s monograph, ‘The Neighbourhood Unit, a Scheme of Arrangement for the Family-Life Community’, found in volume 7 of ‘The Regional Survey of New York and Its Environs’ (Dahir, 1947). Perry’s theory came in the first half of the 20th century to give some standards and unified features to the neighbourhood concept. As dimensions, number of inhabitants, services and facilities included etc. Perry’s neighbourhood unit dealt with matters such as transportation, open space, housing, and commerce. The ideal neighbourhood unit was centred on an elementary school and community centre, and bounded by arterial streets. It is an effort to create a residential neighbourhood to meet the needs of family life in a unit related to the larger whole, but possessing a district entity characterized by the strictly local factors (Dahir, 1947). In Islamic countries like in any part of the world, there were traditional neighbourhood concepts to organize the people’s settlement spatially, socially, administratively and sometimes politically and economically (Farah, 2013 and Secil, 2005). In Uzbekistan it is known as Mahallah, in Iran as Mahalleh, in Turkey as Mahalle, in Afghanistan as Gozar and in part of the Gulf region as Fareej. Despite their different names, these neighbourhoods were all organized around a religious building: the mosque and sometimes the church (Secil, 2005) and included a school, retail/shops/market, open space and spaces for the community, where not only the representative of the neighbourhood to the upper administration often met with the community to discuss their daily matters and problems (Farah, 2013), but it played a political/juridical role as a decision-making place. It also represented a cultural/spatial and educational place, where women community was also meeting. Planning these traditional neighbourhoods and setting up the optimal size and population, according to institutions such as community centres or primary schools, not only helped better performance of existing functions, but also reinforced much wider neighbourhood functions such as social relation, education and so on. Furthermore, with Perry’s theory the school represented the centre of the whole neighbourhood and all the houses were built within a walking distance. Perry’s neighbourhood unit theory has been followed all over the world, in particular with the advancement of technology, the economic development and the modernization of lifestyle. The advantages of this theory are: the reduction of vehicles’ use, hence air pollution and fuel consumption, encouragement of walkability, increase of the pedestrian’s safety during the trips between houses and school, increase of the sociability among the inhabitants and for sure ease of control and management of the urban development. The 2030 master plan of Abu Dhabi in the United Arab Emirates, for example, proposed a model inspired from Perry’s concept but based on the traditional Emirati neighbourhood. The new model includes a variety of ethnic groups representing 30% of the inhabitants (called expatriates) and 70% of the original inhabitants of the country (called locals) (Abu Dhabi Urban Planning Council, 2007). Therfore, one of the significant challenges of the neighbourhood unit is to integrate different socio-economic groups of the society and many ethnic groups together, since they will be sharing the same spaces, facilities, using the same routes, etc. In our opinion, the neighbourhood model based on Perry’s theory can successfully play the role of an urban development tool in Kabul city, facing the uncontrolled urbanization and the absence of an effective master plan. Going back to the traditional neighbourhoods and developing it according to the needs of the Afghan people, their culture, their history and identity can be an efficient tool to control the urban development of the city and organize its urbanization. Hence, this research comes to study and stimulate the best scenario for the neighbourhood model to be followed in the case of Kabul city; this represents the uniqueness and strength of this research.

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Sofia Sahab, Rim Meziani, Toshiyuki Kaneda

So, let us start by defining Gozar as the case study of this research. The term Gozar that literally means pass or passage traditionally referred to areas or divisions where homogenous guilds or people with a common interest were lived. Referring to the literal meaning and common beliefs, Gozar might have been the residences along a main pathway served by a mosque and local shops. Gradually these homogenous vocational Gozars transformed into heterogeneous Gozars of having diverse vocational groups. Besides, three factors caused the urban transformation of Gozars go through a faster and different way; (1) the expansion of the city in European style in the 20th century that resulted social class segregations; (2) the expansion, according to the master plan of 1978 which resulted planned and unplanned segregations, (3) The recent three decades of war that resulted ethnicity and religious segregations (HABIB and AKTC, 2011). Gozars now are divisions of social classes, ethnicities and settlement types. However, they are institutionalized as sub-districts of municipal governance, represented by a representative who is elected by residents, approved by district municipality and screened by police department (Kabul City Current Status Report for Urban Development, 2011). The boundaries are changed according to the extension of urban land, migration of people, and upgrading or widening of roads that sub-divide the Gozars. The changes take place by negotiations of representatives with the residents and adjacent representatives. To determine the current functions of Gozars, one of the authors, had conducted a survey within four districts of Kabul city. The survey results show that the activeness of Gozar functions (governance, social, physical and safety functions) does not depend on urbanization age or population size, but settlement type (planned or unplanned). 4 CASE STUDY (DISTRICT NINE) In this section we try to devise the primary school district and adopt it in some scenarios, although the primary school district is not yet set in Kabul. District nine is chosen as the case area for this spatial analysis, for its location in the inner city zone of Kabul, and having a variety of settlement types, i.e. Planned apartment houses, planned courtyard houses, and un-planned courtyard houses. As for collecting the data, a site survey was done in 2013. In addition, land use maps of JICA (Kabul City Current Status Report for Urban Development, 2011) and other web based maps were used.

Fig. 1: The District map of Kabul City showing the case study area

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Fig. 2: The location map of District nine

4.1 Current status of district nine District nine was originally all agricultural land, except the western end that were developed into apartment building settlements according to the 1978 master plan. The agricultural lands still remain in various locations of the district, which are rapidly and illegally changing to residential settlements. About 36% of the district land is residential land. Agricultural land occupies 20 %, vacant or bare land occupies 12% and industrial land occupies 24% of the district land. The remaining 8% of the land is occupied by some commercial or public facilities that are located outside Gozar boundaries. [Estimations are made according to measurements on Bing aerial maps (2013 Nokia, 2012 Digital Globe)] 4.2 Features of spatial elements, in this case study 4.2.1 Gozar size and boundaries:

District nine is consist of 39 Gozars. The boundaries are mainly the main alleys, streets and roads. The sizes vary from a minimum of 11.8 ha to a maximum of 111.2 ha, but the average size is 43.1 ha. (Table 1)
Basic Statistics Average Max Min Area (Gross ha) 43.07 111.24 11.84 Area (Net ha) 32.63 82.36 11.22 No. of Households 571.00 4,500.00 77.00 Population (Net) 5,938.40 46,800.00 800.80 Density (Net) 181.99 568.22 71.35 No. of Mosques 2.26 6.00 1.00

Notes: Gross Area includes potential land for urbanization (vacant and agricultural land) Net Area is the residential area, including the streets and open spaces
Table 1: Sizes of current Gozars in district nine

4.2.2

Primary schools

There are 12 high schools and three primary schools in this district. Since higher-level schools operate also lower level schools in Afghanistan, it can be said that there are 15 primary schools in this district. The results of the measurements show that pupils’ maximum travel distance to primary school is 500m in planned areas, while, in unplanned areas, this distance exceeds 2000m. For easier transportation, the schools are located near main roads. Thus, the pupils must cross dangerous streets and roads to reach schools.

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Basic Statistics Average Max Min

Total Enrolment (Pupils) 2,319.53 4,326 347

Area (Planned ha) 135.08 251.93 20.21

Area (Unplanned ha) 79.95 149.10 11.96

Population 15,464 28,840 2,313

No. of Households 1,487 2,773 222

Area excludes vacant and agricultural Land, includes the streets and open spaces
Table 2: Sizes of estimated primary school districts in district nine

4.2.3

Mosques

We cannot find the difference in the distributions of mosques over planned and unplanned areas. According to the site survey, there are 88 mosques in this district. 4.2.4 Other public services

Similar to schools, the other urban services are also concentrated in planned areas. Unplanned areas lack proper open spaces for parks and playgrounds. Children often play in the alleys, near the main roads or at the vacant lands.

Fig. 3: An example of unplanned area, left: children are playing in the alley near their houses, right: pupils walking back to home

Fig. 4: Land use map of district nine

Commercial areas are mainly taking place along the main roads, streets and alleys in both planned and unplanned areas. They are part of Gozars, and the representative acts as the commercial area’s representative, as well.

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For better access, it can be seen that some daily necessity shops are located in the vicinity of the houses, or even they are part of some houses. 5 DEMOGRAPHIC ESTIMATIONS BASED FOR PLURAL SCENARIO

5.1 Estimating the ultimate population To measure the population for the ultimate urban growth in district nine, the following steps took place. (1) Measuring the current number of dwellings: The total number of dwelling units was measured by direct counting on the map (Bing maps: 2013 Nokia, 2012 Digital Globe). The result is multiplied by the number of persons per dwelling unit that is taken from the figures by JICA (Draft Kabul City Master Plan, 2011). (Table 3) The population estimated in this step is used as the current population for district nine in all further calculations. (2) Measuring the vacant and agricultural land areas (rapidly urbanizing lands): By using the Geolocation function of AutoCAD software application, the areas were measured on Bing maps.
Demographic Indicators Area (Km2) Number of dwelling units Number of households per dwelling unit Household size (persons/household) No. of persons per dwelling unit Population (persons) * The gross area within district boundaries
Table 3: Demographic estimations for district nine

JICA 2011 25.5 1.56 6.69 10.4 -

CSO 6.33 250,100

Measurements on Map *35.8 22,271 -

(3) Measuring the gross and net density: For measuring the number of dwelling units per hectare, 35 samples having different locations were selected across the city. Those locations were sought that represent various densities. (4) Calculating the number of dwellings for ultimate urbanized case: The average density found for each type of housing is multiplied by the vacant and agricultural land. (5) Estimating the ultimate population: The result of step four is multiplied by the number of persons per housing or dwelling unit. 5.2 Measurement of school enrolment ratio (1) To measure the current primary school enrolment ratio, a school survey was done in district nine during 2013 survey, from which the accurate number of pupils currently attending school was received. (2) The urban population of the age six to twelve is found from the Afghanistan Statistical Yearbook 201213.
Pupils' Enrolment Indicators Percentage of pupil's population Pupils' enrolment percentage Pupil's number Pupils' no. in each grade Number of classes for each grade Current enrolment ratio according to school survey of 2013 (a) case 15.0% 78% 34,793 5,799 145 Full enrolment ratio according to CSO (b) case 19.2% 100% 44,471 7,412 185

Table 4: Estimation of pupils’ current and full enrolment ratio

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5.3 Scenario assumptions Considering the urban growth as planned and unplanned, and pupils’ enrolment ratio as full enrolled (100% enrolled) and enrolment similar to current state (78% enrolled), four scenarios are assumed. (Table 5)
Population growth in full-built-up state A. Estimated population in wellplanned case [current population + planned density x (vacant land + agricultural land)] B. Estimated population in unplanned case [current population + unplanned density x (vacant land + agricultural land)] Pupils’ enrolment percentage a. All the primary school aged children are to be enrolled in primary schools (100% enrolment) b. Pupils' enrolment percentage to be the same as current enrolment percentage (78% enrolment)

Aa: Scenario 1, Ab: Scenario 2, Ba: Scenario 3, Bb Scenario 4
Table 5: Scenario assumptions

Specifications Area Number of dwelling units Population 100 % Pupil enrolment ratio (a) Classes required Classes required for each grade layer Current pupil enrolment ratio (78%) (b) Classes required Classes required for each grade layer

Current State 1,272.56 22,271 231,618 44,471 1,112 185 34,793 870 145

(A) Full built-up state (Planned) 2,416.27 34,863 362,578 69,615 1,740 290 54,465 1,362 227

(B) Full built-up state (Unplanned) 2,416.27 43,544 452,858 86,949 2,174 362 68,027 1,701 283

* According to the Education Law of Afghanistan, the number of pupils per class is taken 40
Table 6: Comparisons between the scenarios and the current state

5.4 Vision proposals To analyse the school coverage for the number of classes, three variations of schools are analysed for each scenario. 5.4.1 Scenario 1

Scenario one, is assumed for the ultimate urbanization in a planned manner of development and full enrolment ratio of pupils. The primary school district for each size of the school is found by the population, the number of houses and the area that can be covered. The density used for the measurements is taken as the current gross density, which includes the roads and the open spaces. The population varies by the primary school size. A school size, having 24 classrooms, covers 5000 population. While it reaches 7500 for a school size of having 36 classrooms. The maximum travel distance is around 350m for the school size of 12 classrooms, 500m for the school size of 24 classrooms, and 600 for the school size of 36 classrooms. Which travel distance can be the optimum travel distance for the pupils, and is it possible that each Gozar cover a primary school district? To answer these questions, first the current average distance between main roads, is measured by using aerial maps, and then the current Gozar sizes are analysed. The current distance between most of the main roads in Kabul City is from 500 to 700 meters. Thus, if the school district area is considered as a rectangle of greater than 700m x700m, there is the possibility of interring through traffic in the neighbourhood. So, for the current road system of Kabul city, the safest option for the primary school size in this scenario is the primary school of having 12 classrooms.
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Scenario 1 Total number of classes Number of primary schools Primary school district population Number of households Primary school district area (gross ha) Scenario model Primary School Mosque Open Space Shops Main Road

12 classes primary school 1,740 145 2,500 240 22
500m

24 classes primary school 1,740 73 5,000 481 44

36 classes primary school 1,740 48 7,500 721 65

700m

45º 500m 45º 700m

45º 800m

Fig. 5: Vision models of school district Gozars (full-day school program) full-built-up state for full enrolment of pupils

On the other hand, if we compare the school district size to the average size of Gozar (43.07 ha with an estimated population of 4932), the 24 classroom school district size is the most appropriate size. Furthermore, Kabul Municipality tries to standardize the Gozar size to 500 houses or dwelling units (Kabul City Current Status Report for Urban Development, 2011). It can be seen that the Kabul Municipality’s standard unit size for the Gozar also fits the school district size of having 24 classrooms. Thus, it can be concluded that the all-day-program primary school size of 24 classrooms or half-day-program primary school size of 12 classrooms is the most appropriate size for the primary school district. This is the most appropriate size for the ultimate urbanization with full pupil’s enrolment ratio, according to pupil’s walking distance, the current road pattern of the city, the current Gozar size and the standard Gozar size recommended by Kabul Municipality. 5.4.2 Scenario 2

In scenario two (78% pupil’s enrolment ratio), the school district size increases for each school size. In a school of having 24 classrooms, the population reaches 6,400 and the number of households becomes 615. The maximum travel distance becomes 500m. In this scenario, the most appropriate size is the school of having 24 classrooms. Thus, one or two Gozars can be combined to make the school district Gozar centred with a primary school of having 24 classrooms.
Scenario 2 Total number of classes Number of primary schools Primary school district population Number of households Primary school district area (gross ha) Scenario model Primary School Mosque Open Space Shops Main Road 12 classes primary school 1,362 113 3,200 308 28 24 classes primary school 1,362 57 6,400 615 56 36 classes primary school 1,362 38 9,600 923 84

500m

700m

45º 500m 45º 700m

45º 900m
Fig. 6: Vision models of school district Gozars (full-day school program) in full-built-up state for current percentage of pupils’ enrolment

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900m

800m

Sofia Sahab, Rim Meziani, Toshiyuki Kaneda

5.4.3

Scenario 3

Scenario three is assumed for the ultimate urbanization in an unplanned manner of development and full enrolment ratio of pupils. In this scenario, the school size of having 36 classrooms makes an appropriate school district Gozar.
Scenario 3 Total number of classes Number of primary schools Primary school district population Number of households Primary school district area (gross ha) Scenario model Primary School Mosque Open Space Shops Main Road 24 classes primary school 2,174 91 5,000 481 26 36 classes primary school 2,174 60 7,500 721 39 48 classes primary school 2,174 45 10,000 962 52

500m

600m

45º 500m

45º 600m 45º 700m

Fig. 7: Vision models of school district Gozars (full-day school program) in unplanned full-built-up state for full enrolment of pupils

5.4.4 Scenario 4 Scenario four, is assumed for the ultimate urbanization in an unplanned manner of development, and for the enrolment ratio of pupils same as the current. In this scenario, the school size of having 24 or 36 classrooms makes an appropriate school district Gozar.
Scenario 4 Total number of classes Number of primary schools Primary school district population Number of households Primary school district area (gross ha) Scenario model Primary School Mosque Open Space Shops Main Road 24 classes primary school 1,701 71 6,400 615 33 36 classes primary school 1,701 47 9,600 923 50 48 classes primary school 1,701 35 12,800 1,231 66 00000

600m

700m

45º 600m

45º 700m

45º 800m

Fig. 8: Vision models of school district Gozars (full-day school program) in full-built-up state for current percentage of pupils’ enrolment

According to the four scenarios shown in figures 5, 6, 7 and 8, proposals for school district Gozar could be: (i) centred with a primary school of having 24 classrooms for a population of 5,000 to 6,400 in planned areas; (ii) centred with a primary school of having 24 to 36 classrooms for a population of 5,000 to 9,600; (iii) having one or two Mosques located at the centre or each half of the Gozar; (iv) the boundaries to be determined by the main roads, and the main roads should not go through the primary school districts. 6 CONCLUSION The results of the survey show a wide variety of sizes of Gozars in Kabul. These suggested that ‘Urban Gozar’ as an elemental neighbourhood organization in the modern sense is transforming through urbanization. This urbanization requires a comprehensive spatial standard on urban neighbourhood.
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Therefore, a new spatial standard is explored as primary school district and also adopted in scenarios under assumptions of planned and unplanned development for full enrolment ratio of pupils and current enrolment ratio. For this purpose, density, number of dwelling units, population and number of pupils are estimated for the ultimate urbanization (the current agricultural and vacant land transforms to residential settlements). For each scenario, three options of school districts are assumed. Among them, the most appropriate school district size is recommended by considering (i) the pupils’ minimum walking distance; (ii) the current road pattern of Kabul City, (iii) the majority Gozar sizes, and; (iv) municipality’s recommended Gozar size. It is finally concluded that one or two of the current Gozars can be combined to make an appropriate school district Gozar. 7 REFERENCES

AKTC: Kabul urbanization and development challenges. United States Agency for International Development. 2011 ABU DHABI URBAN PLANNING COUNCIL. Plan Abu Dhabi 2030- Urban Structure Framework Plan, Abu Dhabi, UAE, 2007. CSO: Afghanistan Statistical Yearbook 2012-13. Central Statistical Organization. 2013 DAHIR, J. The Neighbourhood Unit Plan: its spread and acceptance. E.L. Hilldreath & Company, Inc.1947 FARAH, H., HAMED, M. and VAHIDA, H. The concept of neighbourhood and its constituent elements in the context of traditional neighbourhoods in Iran. Advances in Environmental Biology, 7(9), 2270-2278, 2013. MOE: Education Law. Ministry of Education. 2008 HABIB, J. Urban cohesiveness in Kabul City: challenges and threats. International Journal of Environmental Studies, 363–371. 2011 JICA: Draft Kabul City Master Plan. RECS International Inc, Yachiyo Engineering Co. Ltd. 2011 JICA: Kabul City Current Status Report for Urban Development. Kabul: JICA. 2011 KHEIRABADI, M. Iranian Cities: Formation and Development. Syracuse Univ Pr (Sd). 2000 PERRY, C. A. The Neighbourhood Unit, a Scheme of Arrangement for the Family-Life Community. Regional Plan Association of New York. 1929 SECIL S. The place of neighbourhood administration in the Turkish administrative system: The case of Ankara, (Master Thesis) The Middle East Technical University, 2005.

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reviewed paper An Urban Sensing System as Backbone of Smart Cities Benjamin Allbach, Sascha Henninger, Eugen Deitche
(Dipl.-Ing. Benjamin Allbach, Fachhochschule Kaiserslautern, University of Applied Sciences, Dept. of Engineering and Dept. of Building and Design, Morlauterer Straße 31, 67657 Kaiserslautern, benjamin.allbach@fh-kl.de) (Univ.-Prof. Dr. rer. nat. Sascha Henninger, University of Kaiserslautern, Dept. of Physical Geography, Pfaffenbergstr. 95, 67663 Kaiserslautern, sascha.henninger@ru.uni-kl.de) (Eugen Deitche, Fachhochschule Kaiserslautern, University of Applied Sciences, Dept. of Engineering, Morlauterer Straße 31, 67657 Kaiserslautern, Allbach.Hiwi06@fh-kl.de)

1 ABSTRACT A complex urban ecosystem, with various local climate and air quality influences, emerges within urban structures with interacting anthropogenic and natural factors. These influences have different temporal and spatial characteristics. Human well-being is influenced by a multitude of microclimatic effects, which are elementary for urban planning. These form the basis of intelligent control and design of various processes within urban smart cities. For example, micro climatic modeling helps to get a better understanding of temperature changes in diverse urban areas. Possible consequences of different planning scenarios can be explored in advance. The required data for such scenarios are mainly collected at selected locations by multiple individuals. However, the collection of the complete urban data is expensive and time consuming. The non-standardization of data saving formats and measurement procedures leads to various deviations. In future, all relevant data of a smart city should be available ubiquitously and in real time. The aim of this paper is to present a possibility of data standardization and data saving in a worldwide accessible data base. Furthermore, it should be addressed how the data base has to be structured, where local climate data can be saved, and how the data can be made accessible. The basis for this system consists of the interface between the database and different measurement instruments, whose values are stored directly in this data base. For this reason, the data base is essential for the central data infrastructure of smart cities. In addition, this paper shows how a freely accessible system not only improves the quality of urban life, but also makes it measureable. 2 INTRODUCTION

2.1 Preface In the course of human history, information and messages have been conveyed in many ways: e. g. oral communication, gestures or pictures, written texts, acoustic or visual signals, and via wire or wireless. The meaning of communication also differs in the way the information reaches the recipient Is the message received directly? Is the message meant for a greater public, or only for one individual? Nowadays, the internet is a popular platform to receive, send, analyse, save and share information [cf. ALLBACH, 2010:3FF]. The human race is moving on from a “Gutenberg galaxy” towards an “Internet galaxy” [cf. CASTELLS, 2005:10]. Therefore, smart cities should accept and adopt the internet and networks with all their information, knowledge and data, and use the positive aspects of those new technologies. “Urban Sensing” is a modern and interesting method to collect data in smart cities. 2.2 What is Urban Sensing? The so-called “Urban Sensing” is a new method of taking measurements within urban environments. Human beings as well as mobile technical devices can be used as probes [cf. CAMPELL, 2006:1FF]. In connection with the Web 2.0/3.0, urban sensing is a new means of collecting and analysing data. Information that is collected, both actively as well as passively, promises to carry a great potential, and offers new sources of information for planning disciplines and climatology. To discover its full potential, there is a need for new algorithms and programs, that go further than merely processing the input. So, three different settings are possible: Personal scenarios, social scenarios, as well as scenarios concerning society as a whole. Monitoring and analysing one’s own vital signs exemplifies a personal scenario. In social scenarios, information is received by a (firmly) defined group of people and is processed via social networks and data services (e.g. Flickr). The scenario concerning society as a whole is open and involves the general public [cf. SRIVASTAVA; ET AL.; 2006:1F]. One of the biggest strengths of this new method of data acquisition is the potential of monitoring large areas over a long period of time [cf. HOF, 2007:1]. Due to financial aspects, this is often impossible with traditional evaluation and measuring methods. The omnipresence of mobile
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devices, which stretches all across geographical and demographical spectra, is important in order to gather precise data. There are already some projects trying to implement urban sensing. One of them is “Noisetube” (www.noisetube.net), which monitors noise levels. Another one is “Waze” (www.waze.com), which combines crowdsourcing, geotagging, traffic information, and map services in real time. In the meantime, the “Pachube Project” was sold, renamed “Cosm” and eventuallyre-entered the market as “Xively” (www.xively.com) [cf. MACMANUS 2011]. “Xively” already owns many functions necessary for saving urban sensing data, howeverthe development, accessibility, and the strategy of private sector enterprises cannot be predicted. A system that records public data should also be a public and democratic system. 2.2.1 Urban Sensing Data

In any case, it is important to be note that the data collected in such an “Urban Sensing scenario” is extremely diverse, which can pose as a problem. There is a plethora of probesbased all over the city, providing a variety of data and information, all differing in quality and conformity. A suitable method to link and blend this data is needed. blending and linking data is a sensitive topic, as it has to be acknowledged that data is available in a multitude of formats, i.e. is heterogeneous, and will need to be converted into a homogenous state. Especially temporal and local factors are often sources of error when it comes to analyzing and interpreting. This is caused by measurement imprecisions. In order to save the data in any given system, standards to convert in a homogenous format have to be defined. Indicators, including firmly defined names and notations, as well as their units of measurement need to be specified [cf. ALLBACH; HENNINGER, 2013]. 2.2.2 Why is an “Urban Sensing System” needed?

One could question if such a system is needed. Indeed, internet technology, web services, data bases, crowdsourcing are no longer ground-breaking topics. However, even these allegedly “old-fashioned” topics are still immensely important and have evolved over time (Web 2.0/ 3.0). Furthermore, it is crucial to observe and adapt them and to shake them up. Adapting these topics needs special attention, since adaption is often not as easy as it seems, and often requires a great amount of personal time and dedication. Additionally, it needs to be noted that mash-ups with synergies can develop between two separate technologies, which do not necessarily form a new invention but perhaps a new application. Ultimaltely, the hereby introduced “Urban Sensing System” offers great potential for urban sensing and the decoding of the relationships between city, human being and climate. Climatoligical and data of an individual’s vital signs, and other meta data is stored in a single system which is accessible bi-directionally. 2.2.3 Communication – XML, TCP & UDP as standards for Urban Sensing Data? To ensure communication between single computers within a network and between different networks, regulated standards are necessary. These standards as well as the group of “Internet protocols” (TCP/IP protocol group/family) regulate the conduct between them. For addressing online, an Internet protocol (IP) is used, which makes every computer addressable via its own IP address. In the broadest sense, the IP address can be seen as a personal computer’s telephone number. A current “IPv4”- version IP address typically has the following format: 192.168.1.79. Since this manner of reference is not intuitive for humans, the “Domain Name System” (DNS) is used to translate and simplify the code into a much more memorable format, e. g. http://www.uni-kl.de. Computer names, whose IP addresses are translated by DNS, feature a characteristic structure, which is known as “Uniform Resource Locator” (URL). Furthermore, the “Internet protocol”, the “Transmission Control Protocol” is located, which ensures that the sent data arrives at its desired destination. Thus, computers, networks and their data are linked through unique addresses. Documents are described by hypertext and are available within a browser by the “Hypertext Transfer Protocol” (HTTP), which uses “Hypertext Markup Language” (HTML) to display the documents’ graphic structure. In this example, the information content is saved in HTML. It is also necessary to implement XML. The “Extensive Markup Language” allows to store and process information and data. The document markup language XML is a subset to the “Standard Generalized Markup Language” (SGML) and is used to add supplementary information to text documents. This addition, called annotation or mark-up, is not part of the actual text, but describes the relation and the structure of textual elements [cf. MOSEMANN; KOSE, 2009:332FF]. Information added through annotation is called metadata. While XML defines the logical structure of
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documents, it doesn’t say anything about the way in which they are displayed. However, it is possible to use XML to define mark-up languages, such as XHTML, which is an XML-based version of HTML. Therefore, XML is not only a mark-up language comparable to HTML, but also a meta language to generate mark-up languages [cf. HITZLER; ET AL., 2008:17FF]. “Mark-ups” are information which enlargethe content of documents by marking certain parts and highlighting connections. The manner in which this is done can be compared to the design of a newspaper, in which spaces, different fonts, titles and positions are used to distinguish single articles. Furthermore, on the one hand, XML is a protocol for recording and managing, and on the other hand, it can represent a group of technologies used to format documents and filter data. On its highest tier, XML is a philosophy for the handling of data. Maximum user flexibility and comfort are achieved by limiting it to a structured and straight form of information. Several performance features ensure XML’s success (e. g. the possibility to store and organize information for actual demand). The open standard ensures that the user is not bond to companies or certain software. XML has very rigorous standards regarding the quality of its documents. It demands the strict following of syntax and offers a multitude of methods to test quality. Simple and clear syntax makes it easier to read and analyze XML for both man and machine [cf. RAY, 2002:1FF]. A program called “Parser” is used for checking. It reads XML, validates it, and forwards it for further processing. If the document indicates an error, it is not “well-formed” [cf. RAY, 2002:352]. The distribution and use of XML is supported by the “Open Source” movement with its many adherent programs and by the need for a standardized communication interface [cf. RAY, 2002:1FF]. Just as XML is one of the most popular mark-up languages, UDP (Protocol User Datagram Protocol) is one of the most used protocols for the transmission of data. Typically, it is used for simple question-and-answer protocols (e. g. DNS, DHCP, NTP). One of the characteristics of UDP is that it is a non-connected protocol which does not supervise the correct transmission of data packages. They don’t necessarily arrive in the right order and are directly forwarded to the proper application. Some of its strengths are its speed and system utilization, which is much lower in comparison to TCP [cf. NETWORK SORCERY, 2012].

Fig. 1: UDP – runtime – environment of development – sending of climate data.

For this project, UDP protocols were used. They run smoothly and reliably on the low-performance urban sensing devices (Fig. 1). A TCP-connection is not possible with “Urban Sensing System”, as this protocol builds up a firm connection, which would require the sender to wait for the server to respond. However, during this waiting period, all important data would get lost. Skirting the waiting time with interrupts is not as easy, as the regulation (e. g. maximum of seven interrupts) at the multitude of sensing device’s microprocessors also requires these interruptions. In case of a lost package, two procedures have been developed: In a first step, the whole range of packages is dismissed, before, in a second step, the vacancy is filled with a default value (“0”), which makes it possible to calculate the missing value by interpolation.

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Usually, measurements are taken in short intervals (one second), which means that losing data does not have to be a big problem.

Fig. 2: Wireshark measuring of a network between sensing device and server.

Fig. 3: “Urban Sensing System”.

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“Wireshark” allows to control data sent over a network connection. Figure 2 displays the connection between “Mobile Sensing Device” (192.168.2.3) and server (192.168.2.4.). The lower window shows the hexadecimal range where a part of the message content is visible. In this case, “?1$!sZeit in UTC (“ is the exemplified structure of a message sent via UDP. Number of package (“?!”), beginning of message (“$”) and type of variable used (“!s” - “string” in this case), are decoded in this rather cryptic command. 3 “URBAN SENSING SYSTEM”

3.1 Preface – Design The “Urban Sensing System” is based on the idea of storing geo-referenced data for urban spaces (Fig. 3). This data consists of climate data and data of individuals’ vital signs, while a wide array of sensing devices is used as “sensing media” (Smartphones, stationary weather stations, self-constructed mobile weather stations, drones, etc.) 3.2 System requirements An “Urban Sensing System” needs to fulfil many requirements, such as good availability, connectivity, processing of data volume, stability, performance, storage ability, analyzing ability, openness, expandability, usability and the potential. All of this is necessary to set up user profiles and scenario instances, as well as to create added value for the user by a specific interpretation of the data [cf. ALLBACH; HENNINGER, 2013:1FF]. 3.3 Realization 3.3.1 Web-based applications

To fulfill the system’s requirements, web-based applications appear suited as a base for later operation scenarios. Web-based applications are typically used in a web-based environment [cf. LANGNER, 2004: 20FF].

Fig. 4: 4-tier design.

Four columns, each representing an architectural tier, are shown in Figure 4: Tier I represents the client, Tier II a web server, Tier III an application server, and Tier IV represents a data base server. A standard webapplication only needs Tiers I, II and IV. However, it must be considered that compatible technologies have to be used on the different tiers. For this reason tiers I-III mainly use XML [e.g., LANGNER, 2004:21]. Diverse technologies can be used for the web servers on Tier II. At this point, it must be decided which technology should be used for the development. Java, NET or PHP are options, and each has its strengths and weaknesses. Every application supposed to accept data from Tier I is called “CGI element” (Common Gateway Interface). Usually, Tier II employs Open Source-project Linux as operation system. Java developtechnologies which have the advantage for the user of being both developer as well as platform independent.

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In a next step, a web server has to be picked. Provided by the Apache Software Foundation, the Apache Webserver is commonly chosen [cf. LANGNER, 2004:27FF]. The latter is a “servlet container” written in Java. The web-based applications are transferred by “Java Servlets” and/or “Java Server Pages” (JSP). This allows a combination of HTML with conventional Java code without special support for the browser, as needed with JavaScript [cf. SAMASCHKE; STARK, 2005:31]. Java servlets are applications running in a server which is connected with the world wide web, and they are complementary to Java Applets running on websites. Servlets are used for designing programs that receive and send information via a webserver. Java Servlets are an alternative to “Common Gateway Interfaces”, the common programming language for gathering information in the www and export data [cf. LEMAY; CADENHEAD, 2002:732FF]. Besides Java, there are also other alternatives to deploy on Tier II. On Tier III, business logic is implemented. If applications from Tier II intend to retrieve logical functionalities on Tier III, they have to use a “Remote Procedure Call” (RPC). An example for the applications server’s function on Tier III is the inquiry at a bank about where a customer owns its account. Tier II is responsible for producing and releasing a document out of this data [cf. LANGNER, 2004:31]. The lowest level, Tier VI, is the one where data is stored. Many different types and developers of data bases are available. Again, there is an open source-solution, MySQL, among many others. Therefore, theoretically, it is possible to design a high-performance, scalable, webbased application that is independent from both platforms and developers. However, it should be considered that a free-of-charge-program requires experience and a higher effort for configuration [e.g., LANGNER, 2004:35FF]. It is not absolutely necessary to use a 4-tier or 4-column design as it is done here. There are alternatives, the most simple one consists of only two tiers. In this case, the client takes on the task of presenting while the server-level stores the data [e.g., BLANKENBACH, 2007:143FF]. The following section will focus on Tier VI, the heart of data storage in general and in the “Urban Sensing System.“ 3.3.2 Data bases – Information Systems

Information systems are supposed to represent a faithful model of a fragment of reality (miniature world) on a system. If something happens that changes the circumstances, it has to be represented accurately. Objects and their relations are abstracted and transferred into the miniature world with the aim of matching the modelling and the reality as precisely as possible. State transformations must be interruptible if errors occur. This is guaranteed by transactions that follow the “ACID” (Atomicity, Consistency, Integrity, Durability) paradigm after GRAY, which uses quality assurance for model states [cf. BELL; ET AL, 2013:1FF]. To ensure current, consistent, and persistent data, the application and information systems require a number of measurements. The use of isolated data leads to some disadvantages, which means that changes in constitutions, dependencies, and relationships can only be modelled roughly. Due to the lack of a central control instance to store and update the data, erratic, missing, or contradicting information is hardly detectable. The commitment to an application creates dependencies of data and restricts the usability of data by other applications. This process leads to a high rate of redundancy which makes it impossible to modify all copies of a set in time. Modifications of operational processes require constant adaption of the application system, which can only be met by introducing further redundancies. Thus, the situation gets worse and worse. The development of data base systems (DBS) complies with a broad spectrum of requirements, which have to be met by suitable implementation and architecture. It focusses on the realization of the following aims: integration of data and its independent and logically centralized administration, independence of data and the application's neutrality by the logical and physical development of the database, application-programminginterfaces for simple and flexible use of data, integrity checking, protected transactions, parallel and efficient processing of big data volumes, maximal availability, fault tolerance, and scalability [cf. HÄRDER; ET AL, 2001:1FF]. Users of the system and many residents of smart cities are provided with a number of different networks for an infrastructure of data and information exchange. Besides HTML-pages and the simple downloading of data, interactive web-based data and services are gaining influence. Web-cartography is only one example for such a service with “Google Maps” and “Google Earth” as the most well-known ones. While the user interacts with the map, certain applications are running in the background. The request for data is received by a web-server and processed by a map server, which uses a data server to gather the information needed to

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generate a specific map. The main structure of this process can also be transferred to other requests for information; the exchange of data can be described as a statistical or interactive exchange of data via web applications. Another form of information exchange is done by standardized services, e. g. WMS, WFS and OGC. The latter “Open Geospatial Consortium” has developed a multitude of standards for such web services. It allows communication and data exchange between web-mapping applications and other programs and therefore creates interoperability [cf. MITCHELL, 2008:9FF]. Ideally, web services, which convey data through networks use international standards. One of these standards is the internet protocol as described in chapter 2, which can also be used for geo data. "Web service" describes a service, which uses the standardized XML system of communication, independent from the operation system or programming language, and is available via internet. Web services are based on HTTP as transferring protocol, while XML is used as a markup-language [cf. CERAMI, 2002:3FF]. Both are considered as a key technology for many application scenarios. The use of XML ensures a clear structure of data as well as automatic access and processing by client software. Many concurring technologies have been introduced to the market under the general term "web services" with SOAP (Simple Access Protocol) as the main representative [cf. BLANKENBACH, 2007:205FF]. 3.3.3 Structure of the “Urban Sensing System”

For the “Urban Sensing System”, a MySQL data base has been used (Fig. 5) as it is free of charge, widely spread and technically mature. In order to get better support, MySQL could be replaced by MariaDB (https://mariadb.com) in the future, which is getting more and more support by Open Source supporters.

Fig. 5: “phpMyAdmin” – MySQL data base displaying measured climate data (measured by a mobile weather station).

A prototypical web site and various prototypical web-based applications are built on the MySQL data base. Its structure is designed to store all metered data in a chart. A second chart, holding user name, IP, and MAC address of the sensing device, is included in the data base to ensure the correct attribution of the measurement data. Both charts can be linked by SQL commands (e.g., “join”). 3.3.4 “Climate data and vital function values in the “Urban Sensing System”

Climate data and values of vital signs are stored in a structure designed for the project, while ID, name, meaning, and type of values (float, int, timestamp) are also defined (Fig. 6). The option “Null” allows a space to stay empty, but it can also be designed to fill the empty space with a value.

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4

VISIONS AND USE-CASES FOR THE “URBAN SENSING SYSTEM”

4.1 Using the “Urban Sensing System” The “Urban Sensing System” will be tested by an academic hardware club in 2014. Under assistance the pupils will construct a simplified version of the mobile Urban Sensing device (microcontroller-based), which is able to determine air temperature, air humidity, air pressure, light intensity, sound intensity and the geographical position. In terms of vital functions, pulse, skin resistance, skin temperature and skin moisture will also be measured. Further metadata will be saved anonymously. Equipped with these devices, the pupils will go and explore their neighborhood, and the gained data is transmitted to the “Urban Sensing System” and analyzed. This experiment will be interesting as the pupils are all of similar age and are covering the same neighborhood. Additionally, they gain insight into the MINT area (Mathematics, Informatics, Natural Sciences, and Technology) and learn about programming, brazing, and data bases in an active, playful, and age-appropriate way.

Fig. 6: Structure of the data base: names, types, etc.

The stored data can mainly be used for planning, simulation, cartography, and displaying information. The “Urban Sensing System” allows a decoding of the complex relations found in an urban ecosystem. Many utopias and dreams can be fulfilled by a program which is able to store climate data and vital function values in a single system simultaneously. The huge spectrum of data and the multitude of sensors make it possible to detect problem and at risk areas in real time. In this manner, they can be skirted, repaired, or isolated, for instance, by warning residents of high air pollution levels. Problems caused by traffic noise could be avoided with intelligent road signs, which redirect traffic or reduce speed limits. Finally, the system could act as a signpost to areas with a high quality of life. More and more people live in urban areas resulting in increased population density. These local settlements have an influence on the global as well as on the regional climate. The question arises to what extent the settlement climate is creating invisible barriers. Furthermore, it would be interesting to examine if local climates compromise or impede particular groups while others might feel comfortable in the same zone. Are certain structures and facilities really barrier-free or do they only appear to be so? This hypothesis could be tested through an “Urban Sensing System.”

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5 CONCLUSION Currently, the “Urban Sensing System” is used exclusively by friends and relatives of the developers, because it is still in an early state of development. It is anticipated to make the system freely accessible in the future, which would require it to run smoothly, be available online, and to be difficult to be manipulated. At present only familiar devices are connected; additional information can be entered by the user on a voluntary basis. The system is bound to require the storage of MAC, Email, and IP addresses, which are not communicated to the user of the system. Therefore, privacy is at least partly guaranteed. In terms of privacy, one needs to cast a critical eye over the fact that climatological data and vital function values are displayed with geographical references. Furthermore, it is extremely time-consuming to activate all users manually. Hence, a function to automatically register and activate users needs to be introduced. A lot of time must be invested in the system’s web presence, especially for design and usability. Currently, the site is nothing but a mere playground to test different techniques. It is envisaged to launch a “Content Management System”, which could simplify registration and administration. The “Content Management System” is planned to be connected to social media, which, along with a possible reward system, motivates users to enter data and contributions to the data base. In the future, the “Urban Sensing System” is supposed to run autonomously and autarkically. Interfaces with other systems would allow open and voluntary cooperation, such as other mash-ups. Foundations for it have already been set during the developing process. Measuring the quality of life is a difficult task. In a philosophical context it is not even thought to be possible. Factors influencing the quality of living are evaluated differently by different people. And also, not all measuring values have a positive influence on the quality of life of urban residents. Noise, dust, light intensity and temperature would have both positive and negative influence on human organisms. The “Urban Sensing System” stores all this data in a single system and makes it possible to develop and test new hypotheses. The “Urban Sensing System” allows the creation of maps of all kinds, such as maps of climate functions or heatmaps. The possibility to be part of data acquisition (through the Urban Sensing App [cf. ALLBACH; HENNINGER; GRIEBEL, 2014]) allows active participation instead of simply being a passive consumer. In addition to the collection of climatological, vital, and other data in a bottom-up procedure, future versions of the “Urban Sensing System” will introduce a top-down principle to have users receive warnings or recommendations by the system. Internet and internet technologies offer a multitude of possibilities and are shaped by society, culture, science, and economics. The society is the basis for planning, and so the internet has to become part of planning processes. If a planner wants to analyze the complex system of a city, he or she needs the knowledge about programming and information systems, although bi-directional communication and exchange of knowledge, information, and news is already being simplified by the internet. Hence, the planner has to engage in these new technologies, and constant advanced training in the sphere of informatics is also necessary. Interdisciplinary projects and partnerships with institutions, faculties and companies become more and more important, because this allows the planner to participate in the development of solutions for today’s and tomorrow’s problems in a creative way. A planner who is confronted with structural and social conditions on a daily basis needs to focus on the conditions of knowledge and information. The smart city can only exist by means of smart networks, tools, planners and systems, and the “Urban Sensing System” could be one of those. 6 REFERENCES

ALLBACH, Benjamin: Augmented City Kaiserslautern - Web-basiertes Wissensmanagement in Mixed Reality Umgebungen. Kaiserslautern, 2010. ALLBACH, Benjamin; HENNINGER, Sascha: New Methods of Climate Monitoring, in: Schrenk, M.; Popovich, V.; Zeile, P.: Proceedings of RealCORP 2013, Rom, Wien, 2013. ALLBACH, Benjamin; HENNINGER, Sascha; GRIEBEL, Oliver: Mobile Tools for Urban Sensing and Climate Monitoring in Smart Cities, in: SCHRENK, Manfred; POPOVICH, Vasily; ZEILE, Peter; ELISEI, Pietro: Proceedings of RealCORP 2014, Wien, 2014. CASTELLS, M.: Die Internet-Galaxie, VS Verlag für Sozialwissenschaften, Wiesbaden. 2005. CERAMI, Ethan: Web Services Essentials, O´Reilly Verlag, Beijing, Köln, 2002.

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An Urban Sensing System as Backbone of Smart Cities BELL, Gordon; LAMPORT, Gordon; LAMPSON, Buttler: A Biographical Memoir, 2013. [Internet: http://www.nasonline.org/publications/biographical-memoirs/memoir-pdfs/gray-james.pdf]. BLANKENBACH, Jörg: Handbuch der mobilen Geoinformation, Herbert Wichmann Verlag, Heidelberg, 2007. CAMPBEL A.T.; EISENMAN S.B.; LANE N.D.; MILUZZO E.; PETERSON R.A.: People-centric urban sensing. In: Proceedings of the 2nd annual international workshop on Wireless internet. ACM; 2006 p. 18, Boston, Massachusetts, 2006. GOLDMAN, Jeffrey; SHILTON, Katie; BURKE, Jeff; ESTRIN, Deborah; HANSENH, Mark; RAMANATHAN, Nithya; REDDY, Sasank; SAMANTA, Vids; SRIVASTAVA, Mani; WEST, Ruth: Participatory Sensing. Washington, 2009. [Internet: http://wilsoncenter.org/topics/docs/participatory_sensing.pdf]. HÄRDER, Theo, RAHM, Erhard: Datenbanksysteme Konzepte und Techniken der Implementierung, 2. Auflage, Springer- Verlag, Berlin Heidelberg, 1999, 2001. HENNINGER, Sascha: Stadtökologie – Bausteine des Ökosystems Stadt. Paderborn, 2011. HITZLER, Pascal; KRÖTZSCH, Markus; RUDOLPH, Sebastian; SURE, York: Semantic Web, Springer-Verlag, Berlin Heidelberg, 2008. HOF, Hans-Joachim: Applications of Sensor Networks. In: Lecture Notes in Computer Science, Volume 4621, pp. 1-20, Berlin, 2007. LANGER, Torsten: Web-basierte Anwendungsentwicklung, Elsevier, Spektrum Akademischer Verlag, München, 2004. MACMANUS, Richard: Pachube Acquired: Why Did It Sell So Early?, 2011. [Internet: http://readwrite.com/2011/07/20/pachube_acquired]. MITCHELL, Tyler (2008): Web-Mapping mit Open Source-GIS-Tools, O´Reilly Verlag, Beijing, Köln, 2008. MOSEMANN, Heiko, KOSE, Matthias: Android. Hanser Verlag, München Wien, 2009. NETWORK SORCERY: UDP, User Datagram Protocol 2012. [Internet: http://www.networksorcery.com/enp/protocol/udp.htm]. OTTE, U.:Meßnetze, Meßverfahren. In: KERSCHGENS, Michael [Hrsg.]:Stadtklima und Luftreinhaltung. Berlin, 1999. RAY, Erik T.: Einführung in XML, O´Reilly Verlag, Beijing, Köln, 2002. SRIVASTAVA, Mani; HANSEN, Mark; BURKE, Jeff; PARKER, Andrew; REDDY, Sasank; SAURABH, Ganeriwal; ALLMAN, Mark; PAXSON, Vern; ESTRIN, Deborah: Wireless Urban Sensing Systems, 2006.

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reviewed paper Ancient Smartness of Tomorrow Cecilia Scoppetta
(PhD Cecilia Scoppetta, Sapienza University, Rome)

1 ABSTRACT While illustrating results and further implementations of an EU funded project regarding the old underground aqueduct of the Italian city of Siena, the paper proposes a rediscovery of ancient smartness as a by-product of social relation concerning the sustainable use of common goods. 2 BEYOND A MERELY TECHNOLOGICAL INTERPRETATION The concept of “smart city” is usually associated with the network metaphor (see: Castells, 1996; see also: Scoppetta, 2009) that mirrors the technological evolution occurred within the frame of both post-Fordist restructuring and (neo-liberal) globalisation (see, among many others: Brenner, 1999; 2000; 2004; Brenner & Theodore, 2002; Peck & Tickell, 2002a; 2002b; Tickell & Peck, 2003; Harvey, 2005; Brenner et al., 2010; Peck et al., 2009; see, in particular: Castree, 2008a; 2008b), so that it is often translated into the idea of urban settings where ITC enable an acceleration of actions and inter-actions among individuals as never happened before: email, mobile and land-line phones, the Internet, satellite TVs and many other functions integrated in web-based communication devices, such as smart-phones and tablet computers. Such iper-technological systems are asked to work smarter not just in the way they make it possible for cities to be intelligent in generating capital and creating wealth, but in co-evolving with these developments and creating environments that produce knowledge in innovation systems. Best (1990), and to a lesser degree Porter (1990), have explained how such flexible production networks could take the form of flexible territorial production systems, as in the well-known cases of Silicon Valley (see, e.g.: Best, 1990; Storper, 1993) and, even if in a different way, the so-called “Third Italy” (see: Becattini, 1989a; 1989b; 1987; 1990; 1991; 2000), both illustrating the context-dependent nature of knowledge (see, also: Amin & Cohendet, 2004) and the need to reject as flawed and simplicistic the distinction between “tacit” and “codified” knowledge. In the age of late capitalism, when a strong pressure exists for cities to become smarter and smarter: being strongly supported by both EU policies (CEC, 2010) and a number of technology companies (see, e.g.: IBM, 2010), devices and media, such iper-technological narrative – whose roots are to be searched into the notion of “informational cities” advanced by Castells (1996) or Graham and Marvin (1996; 2001) as well as, with a different “nuance”, Mitchell (1995; 1999; 2001; 2003) – risks to be too entrepreneurial in outlook. Also given the unavoidable market-oriented images and imaginaries they produce, the pervasive storyline of ipertechnological learning networks ends to look like the Foucault’s concept of «dispositif of power», meaning straightforwardly “apparatus” but also the arrangement or set-up of a web of practices and their attendant discourses (see: Foucault, 1994; see also: Deleuze, 1989). In fact, if we use Foucault’s lens to interpret the network metaphor, we find that it undoubtedly fits well in representing an understanding of power as disciplinary power which works throughout society rather than from a centralised source through discursive practice (and discourse-guided practices), being strictly related to knowledge. But, if detached from a vision clearly oriented towards sustainability, the iper-technological “best-dream” scenario ends to reveal the «unspoken assumption» surrounding the too often «self-declaratory» (Hollands, 2008) nature of smart cities. Sustainability, instead, implies a respectfull use of natural resources as well as appropriate knowledge to manage them: in this sense, both Castells and Graham and Marvin draw attention to the information technologies of the so-called critical infrastructures (water and drainage, energy and the like). Furthermore, sustainability also implies that ICTs can serve as communications that are smart for the way they allow cities to empower and educate their citizens, so that they can become members of society capable of engaging in a debate about their own environment and about the use of common resources «without compromising the ability of future generations to meet their needs» (WCED, 1987). 3 SMARTNESS AS A BY-PRODUCT

3.1 Smart common goods Thus, a relationship exists between smartness and common resources. This intruduces the broader issue of the commons, a term that has currently become very popular. In fact, even in relation of the ongoing
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structural crisis, in recent times the issue has emerged as a crucial matter, by highlighting the need for a rethinking of the current development model. Commons are a particular type of goods incorporating a wide range of issues that pose serious questions about the limits of commodification and the primacy of the market. When talking about goods, economists use to focus on ownership, being their reference a society mainly founded on the right of property. As a consequence, they usually distinguish between private and public goods – respectively referring to the governmental and the market sphere – by considering both the possibility of exclusion and the divisibility (or rivalry) in order to design their respective domain. But this view ends up to be challenged by certain kinds of goods that cannot be captured within such categories. On the one hand, in fact, we have the “club goods” (or “shared goods”), which are characterised by both exclusion and indivisibility, as they consist of a sort of “weakening” of the traditional private goods. On the other hand we find the common goods, whose features are no exclusion and rivalry, being them a weakening of the traditional public goods. Furthermore, we cannot consider the commons in a traditional sense, where owner’s rights fit with user’s right: in fact, free pastures of medieval time were progressively enclosed and transformed in private goods. Contemporary common goods, instead, concern more elusive “objects”, such as the quality of air, water and its quality, information and so on, for which the criterion of ownership is no more relevant, while the identification of the owner becomes important relatively to the users’ rights on these resources. The case of water – which according to Leonardo da Vinci is the “vetturale della natura” (that could be translated as “the driver of nature”) – offers interesting insights on the issue, being it the common good par excellence. But, in international laws there is not an universally accepted definition of the “right to water”. An attempt in this direction consists of the Convention on the Law of Non-Navigational Uses of International Water Courses, whose central points are the equitable and reasonable use of water by any riparian state, the harmlessness of hydrological interventions, a cooperative management and the obligation to ensure the protection of basins. However, the fact that the concept of “fair use” remains to be clearly defined as well as the non-binding nature of the principles seem to reveal how the dramatic water shortage – due both to environmental degradation and the exponential increase of consumption – may become a relevant factor in conflicts (Wolf, 1998). However, the very idea of water as a public good – i.e.: freely available for all – it is not an universally recognised notion. In fact, many believe that only giving a economic value to water, by making it a commodity like any other consumer good, could offer a real contribution to solving the problems of water scarcity: the creation of a water market could allow to trigger balancing mechanisms between supply and demand that, in turn, could make both searching and selling water really cost-effective as well as it could correctly address consumers’ choices in order to rationalise their consumption behaviour. The main argument used to support this thesis deals with the issue of waste: the lack of both adequate infrastructures and maintenance of the existing ones leads to inefficiency due to an ineffective public management, being the latter not economically viable. According to this approach, the existence of a water market would not be the point of arrival but only an intermediate step towards the final stage of efficiency, i.e.: the privatisation of water services. A number of initiatives in this regard have also been supported by international organisations (including World Bank) that have begun to affect their economic aid to developing countries by forcing them to adopt liberalisation and privatisation policies, by asking the retret of governments in favor of private companies (thus opening the way to multinationals). According to the proponents of privatisation, this would be an element of social justice, allowing a more equitable distribution, eliminating market distortions that end up hitting the weakest actors. Considering water as a common good, instead, involves a process of acknowledgement of its historical and identitary value, which cannot be measured in mere economic terms. The emphasis is placed on management, but also on those “hybrid” and “territorialised” systems which are able to “taking care” of resources that are collectively recognised as «territorial heritage» (Magnaghi, 2006) creating a durable and not just economic wealth. Key principles concern non-exclusivity and resources’ regeneration, which appear as irreconcilable with a proprietary market logic, as they refer to “ancient” cultural elements – such as the collective sharing of primary resources – but they are also able to be reinvented, being knowledge their typical by-product, i.e.: the (intentional or unintentional) «result of processes oriented towards other purposes» (Donolo, 1997).

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3.2 Underdeveloped smartness? Shifting from knowledge infrastructures to knowledge as cultural practice as well as to the relationships between the latter and natural resources means rethinking discourses on technology, by attributing a broader sense to the term. Anthropological research on the (still!) so-called “developing countries” highlight the role of traditional knowledge in achieving sustainability goals based on an appropriate use of natural resources, by establishing the harmony of architecture with the environment, the symbiosis of the techniques of organisation of space with traditions, social habits, spiritual values and the fusion between practical aspects and beauty. Pietro Laureano (1995) has shown how archaic societies, developed within economies characterised by lack of means, have linked their survival to a careful management and use of natural resources. Against the current model of existence, production and consumption – which has replaced the traditional order in the advanced countries, leading to the exhausting of local resources and feeding the hypertrophic growth of developed areas – Laureano, in fact, proposes the model of self-sufficient and small «hydrogenetic community», based on the transmission of a collective wisdom (i.e.: rules of coexistence that are essential to survive) concerning the ability to act in harmony with the environment, enhancing its potential without depleting it. This is, in essence, the model of the oasis, whose spatial and social structure is determined by the supply and distribution system of the scarce water resources. A drainage tunnel, the foggara, passes under the village thanks to underground storage tunnels and provides water for both homes and collective laundries. Ancient caves and grottos for collecting water constitute a further element of the system, which is also useful for cooling the indoor air during the warm weather. When outside the village, the water of the foggara is divided into open ducts called seguia. The latter run through the cultivated area of the oasis, by structuring the plot of the different properties through clay brick walls enclosing the soil particles, thereby accentuating the continuity between living tissue and cultivated areas. A “Master of Water” calculates the amount of water that is due to each family. He is the custodian of a complex and ancient knowledge, which is handed down from generation to generation, making him able to carry out the measurements by using specific tools. Through the divisions due to inheritances, marriages or purchases, the shares of water continue to fragment or reunify, so that an intricate system of canals, bridges and connections represents on the ground the evolving of the property system over time: a real “hydro-genealogical plot” recording the succession of generations, family ties and properties within a graph of relationship which is physically built by the network of canals. The fact that we can find again this branced graph in tissues, clothes, hairstyles and tattoos clearly demostrates how such archaic infrastructural system deeply permeates these population’s culture. According to Pietro Laureano, the model of the oasis can be found in many other situations whose complexity and dimension allow us to define them as “oasis city”. This is the case of the city of Shibam (Yemen), which is entirely made of clay, as well as the Italian city of Matera, whose “Sassi” (“stones”, i.e.: Matera’s historical houses) are an example of archaic ways of living and manage common resources in the karst areas of Lucania, Apulia and Sicily. This is also the case of Petra (Jordan), a real “oasis of stones”, now reduced to only archaeological remains, but described in the oldest texts as provided with canals, pools, fountains and gardens. Historical infrastructures of Italian municipalities of both the Middle Age and the Renaissance – such as the underground aqueduct of the city of Siena – also constitutes an example of such shared social-natural “constructs” that suggest a sustainable linkage between ancient and contemporary “smartness”. 4 THE SIENA’S ANCIENT AQUEDUCT AS A KNOWLEDGE INFRASTRUCTURE

4.1 “Concave” and “convex” old cities According to Victoria Calzolari (2003), old Italian urban centers can be classified on the basis of their particular structure, which in turn is determined by their different relationships with the water system. She distinguishes «concave» and «convex» cities: the first typology (e.g.: Brescia, Florence, Turin) receives from the surrounding mountains and hills abundant waters, which in turn feed springs and fountains, allow the creation of large parks and gardens and, finally, radiate through geometric patterns across the irrigated lowlands. “Convex” cities, instead, are located on hills and spurs from which dominate the plain and use water coming from distant sources. For this reason, water is (was) used sparingly for gardens and orchards,

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where undemanding plants are preferred. This is the case of cities such as Volterra, Montepulciano, or Todi: these are cities with an harder environmental context, where it was necessary developing a particular knowledge in order to capture, store, distribute, use and re-use water. Such a “water culture” – which today seems to be completely forgotten – not only resulted in the distinctive morphology of these centers, but also in the architectural and social forms. Thus, the aesthetic qualities of ancient cities as well as the peculiar forms of communal social life that have historically characterised them, are due to this harmonious relationship established over time with the environment. The city of Siena constitutes a perfect example of “convex city”: it is located on top of dry ridges, away from the major rivers or mountain ranges, so that it has been forced to develop over the centuries in close relationship with the problem of water supply that has determined its social organisation according to a model based on civic engagement and active and responsible participation in public life. The old Roman city, built around a probable Etruscan settlement, being isolated on the hill, did not have natural springs inside the urban walls, but only wells connected with cisterns for collecting rainwater. Only in very rare cases, because of the minor depth of the water table, wells drew directly from the latter. Outside the city walls, along the streets of the valley and on the slopes, there were instead a number of wells and springs capturing water veins of secondary water tables. 4.2 The Siena’s bottini as a structure of urban social life Although it is believed that at least some parts date back to Etruscan age as well as it is established that the first works date back to 394, it was during the Middle Age that the realisation of the underground aqueduct (the “bottini”) started, in order to meet the needs of a city that was already largely consolidated. The construction of the two bottini maestri (i.e.: the two main stretches of the aqueduct) of Fonte Gaia and Fontebranda, with their related monumental fountains, was almost exclusively aimed to productive activities and services. As evidenced by a series of archival documents dating back to 1176, a rapid population growth, which began in the 12th century, had in fact increased the need of an efficient water supply and, in 1267-68, there had been advanced a project, then set aside, aimed at the diversion of the river Merse to the city. The complex and articulated hydraulic system of the bottini, whose current extension dates back to 1466, was built in different phases between the Middle Ages and the Renaissance, with the commitment of Siena’s engineers such as Mariano di Jacopo (better known as Taccola) and Francesco di Giorgio, who left in their treatises a testimony of a real local technological skill. In these manuscripts are recorded with precision not only the techniques and tools which were used to build the network of the bottini, but also more or less imaginative projects of hydraulic engineering: not only studies for canals and river dams or apparatus for lifting and driving water, but also devices to enable man to float effortlessly. The bottini are a still existing and operating network of underground tunnels, which covers a total of 25 km. and can be intended as the “spine” of the old city center. A distinctive feature of such network consists of being connected with a system of artifacts, ranging from the monumental fountains of the different Contrade (i.e.: the ancient neighbourhoods of the city center) to the little fountains in public spaces, the wells into the palaces’ courtyards and, finally, the canals that irrigate the gardens of the valleys outside the city walls. Around these artifacts the social life was organised: public wells, monumental fountains, the “fontini” (“little fountains”), located at the intersections of streets or in representative places in the urban space (such as markets, churches, cemeteries, gateways to the city through the urban walls) are the evident manifestations of the existing inter-relationship among urban structure, social organization and the network of water supply and distribution. In addition, the effective functioning of the water system required careful and daily maintenance which formed the core of a collective wisdom to be handed down from generation to generation – as in the case of the oasis – whose custodian (originally a simple but skilled worker) assumed a prominent role within the community. Thus, one could say that the bottini really constitute the “spine” of the city not only in a morphological sense, being them the internal structure determining the urban form, but also in social terms, as clearly shown by the strict relationship historically existing between the underground acqueduct and the Contrade. It is worth remembering that such seventeen ancient neighbourhoods having names of animals or, more generally, a

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medieval sound1 are strictly linked to the famous horse race called “Palio”, where each jockey represents a Contrada, and the latter, in turn, is responsible for his funding, and also for celebrations before and after the competition. In the same way, each Contrada funded its own stretch of aqueduct as well as the construction of both its own monumental fountain and the other little public fountains in public spaces, including the one where children were baptised. Through the realisation of the bottini – which are, at the same time, an engineering and architectural work, because of the Contrade’s monumental fountains – the city of Siena, characterised by the natural scarcity of water, succeeded in its aim of uniformely providing water supply through a distribution system that was able to reach both public fountains and private wells of individual residences. Beyond a tangible improvement in the quality of life, the bottini’s network allowed the city of Siena (which was devoid of natural waters) to compete against Florence (which is crossed by the river Arno) for the primacy in producing wool, i.e.: an activity, which requires an abundant use of water. 4.3 The bottini as a sophisticated engineering and architectural artefact Underground tunnels are largely practicable and have an average size of 1.70 m in height and a width of 90 cm. The name “bottini” is due to the distinctive configuration of the barrel vault (in Italian: “volta a botte”), but there are also gable and square sections. The gutter on the ground (called “gorello”), where water can flow, is placed in a central position, but it can also be found laterally or in a niche. When they are not excavated directly into the rock (or, sometimes, into pebbles), the lining of the bottini is generally made of bricks. Along the way there are, at irregular intervals, some wells called “smiragli” or “occhi” (“eyes”), which were used in the construction phase for removing the excavated material, ventilating the tunnels and determining both direction and slope of the excavation through the use of plumb lines and a special tool called archipendolo. While the bottino maestro of Fontebranda (i.e.: one of the two main stretch of the aqueduct) was excavated starting from only one side (with the consequent disadvantage of a more slowness of the work, due to the cramped space of the galleries, where only one man at a time could work), in the case of the bottino of Fonte Gaia – the second bottino maestro, whose monumental fountain is that of the famous piazza del Campo – a different method of excavation was preferred: for each of the different wells, multiple teams of diggers proceeded simultaneously in opposite directions and finally re-joined the galleries at an intermediate point. However, the need to realise the bottino in a short time led to a tunnel placed at a too shallow level. For this reason, the bottino maestro of Fonte Gaia collects a few veins and remains always poor of water despite it measures twice as that of Fontebranda. The latter, instead, is located at a greater depth and captures a large number of veins that, even today, constitute a substantial bringing of water. The project aimed at increasing the flow of the water directed toward Fonte Gaia, getting onto the bottino of Fonte Nuova, was entrusted to Francesco di Giorgio, who played the role of “worker” in 1469 and in 1492.

Fig. 1: The city of Siena and the network of the bottini.

1

Such as: Oca (“Goose”), Aquila (“Eagle”), Bruco (“Grub”), Chiocciola (“Snail”), Civetta (“Owl”), Drago (“Dragon”), Giraffa (“Giraffe”), Istrice (“Porcupine<”), Leocorno (“Unicorn”), Lupa (the feminine of “wolf”), Nibbio (“Kite”), Onda (“Wave”), Pantera (“Panther”), Selva (“Forest”), Tartuca (“Turtle”), Torre (“Tower”), Valdimontone (“Ram valley”).
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4.4 Functional structure and social role of the monumental fountains The maximum development of this supply structure was during the 16th and 17th century, with both the documented presence of numerous private wells connected to the bottini and a growing and often unmet demand for new connections. This supply system, however, continued to live for many centuries together with a parallel one that collects and recycles rainwater. Therefore, we can talk about a mixed system, in which drinkable water is provided by fountains, by private wells connected to the bottino and by public wells, while water for domestic or craft activities is given by cisterns and agricultural works re-use the water coming from the overflow of the Contrade’s monumental fountains. The latter are configured as public facilities and constitute one of the typical architectural structures characterising the landscape of Siena. In fact, from being simple water points, located along the slopes and in the valleys surrounding Siena, over the centuries such fountains have had an evolution in their architectural forms and uses, with also periods of complete abandonment. However, beyond the architectural differences, the model of the fountains – both their functioning and their single parts – is based on similar criteria. In fact, it is possible to distinguish only two types of fountain: in the most complex typology the water flowing from the bottino was drawn on with containers for drinking and then flowed into a basin (where fish were bred) to be utilised for secondary uses. The cycle continued with the overflow of the basin, which fed a smaller tank, designed to water the animals. Then, water continued to flow into a tunnel inside the brickwork toward the guazzatoio, a tank where humans and animals could freshen up, and it ended its cycle coming up in a laundry, located at a level lower than the bottino, in order to prevent stagnation. Finally, from the overflow of the sink, it drained into the “white” sewer, which was placed in the downstream part of the complex, in order to feed mills and factories of wool workers and tanners or to irrigate the fields. The typical location of this type of complex structure was at the arrival of minor routes in the city, close to the secondary access corresponding of the valleys belonging to each Contrada, of which it constituted the common good: beyond its function as public utility, through its monumental architectural forms the fountain, in fact, was somehow also entrusted with the role of representation of the Contrada’s identity. The monumental fountain of Pescaia – located outside the city wall, close to the Porta di Malizia (one of the gates of the urban walls) – is an example of this typology. The structures of such fountain are arranged at right angles to the course of the today disappeared ditch of Pescaia and are enclosed in a narrow valley, which is bounded by the ridge of Camollia and by the plateau of Lizza. The original location of the fountain, presumably already existing during the Etruscan period, was near a Roman military road which, coming from Siena, headed towards Fiesole and Volterra. This route will then become a stretch of the Via Francigena, one of the medieval busiest routes connecting Rome with the northern and western Europe. Thus, the fountain of Pescaia was an important stopping place for this journey, which was frequented by merchants and pilgrims going to Rome. Fountains with a simpler structure were instead not far from the main ridges. Being them often hidden in a slower level of the street or along the slopes, they were reachable by means of steep roads or stairways.

Fig. 2: Scheme of functioning of the monumental fountain of Pescaia..
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5.1 The EU project “Siena city of water” In the 20th century, the Siena’s medieval aqueduct was replaced, for both civil and productive uses, with the modern aqueduct Vivo, relegating for minor uses the water of bottini and wells. Beyond the monumental fountains, the current functioning of the bottini serves about 200 registered users (although it is estimated that, in the reality, users are at least twice). However, such extraordinary system of underground architectures, which is a masterpiece of the engineering of the 14th and 15th century, is a little-known historical and architectural heritage, consisting of artifacts and documents concerning the culture of water. This poetic world – real city beneath the city, crowded with shadows, noises and invisible matches emerging on the surface with dozens of fountains, wells and tanks – was the subject of a study, funded by the EuropeansCommission as part of the Raphael Programme, aimed at understanding and valorizing such water supply system located both inside and outide the urban walls2. However, the theme of the relationship between historical and architectural heritage and water supply system – as well as the possibility to link their valorisation to a more general rediscovery of the culture of water – had already been tackled during the elaboration of the masterplan of the city. Research activities, which ended in January 2000, were oriented by the need to know, from a quantitative and qualitative point of view, the rich repertoire of “materials” that make up this complex system, highlighting the specific relations with both the configuration of the different sites and the specific rules of formation and development of the historic urban structure. Therefore, through a detailed survey (scale 1:2000) and the subsequent computerised translation, a census of the different elements of the system was carried out, in order to allow the creation of a comprehensive mapping concerning not only the bottini, which were classified according to their different types, but also the springs, the fountains and many other minor elements (wells, cisterns, tanks, etc..), by considering them as modes of supply that are alternative to the network. In this way, 58 external fountains (including both existing and missing ones), 16 (historical and modern) monumental fountains, 4 fontini, 26 little fountains, 7 (existing and missing) public wells, 135 wells or wells provided with cisterns, 36 cisterns were complexively surveyed inside and outside the urban walls. At the same time, an archival and bibliographic research was launched in order to link the results to the various thematic maps according to an hypertextual logic, which is particularly effective in terms of representation but also in translating the inter-disciplinary approach of the project, based on the contributions of a variety of specialised scholars, active in different research fields: archivists, historians, geologists, planners, architects, communicators, graphic designers, computer scientists, archaeologists, anthropologists, photographers and videographers. Beyong being the basis for specific insights, the archival research, carried out in parallel with the census, helped in individuating the structure of the whole system, also thanks to the information concerning the elements which are currently missing or modified, the uses established over the centuries, the type of ownership, etc ... In order to organise the vast collected documentation, thanks to the EU partnership, different cataloging standards have been used3. The individuation of such a multiplicity of approaches for organising the documentation derived from the heterogeneity of the collected material: unpublished manuscripts and documents, bibliographies, iconographies, old and recent photographs, historical maps and updated carthographies, videos or architectural and geological surveys. Further reasons are to be searched in the articulated research purposes: not only the creation of a specific archive of the Museum of Water (to be realized), but also a reconstruction of the urban history in relation to the theme of water, the divulging of the results by linking European institutions and organisations through virtual networks and, finally, the definition of guidelines for potential interventions on the different artifacts.

The project “Siena City of Water” was co-sponsored by the municipaality and coordinated by the designers of the Laboratorio Aqua, with the participation of the University of Siena, the Institut Francais d’Amanagement et d’Architecture of the Université de Rouen and the Museu de l’Agua of the Ayuntamiento de Salt. 3 Not only the criteria used by the Italian Istituto Centrale del Catalogo e della Documentazione (ICCD), but also those of the Fitxa “Inventori del patrimoni cultural del projecte Alba-Ter/Ave”, prepared according to the guidelines of the EU Earth program; the cataloging form of the “Inventaire Général des monuments et des richesses artistiques”, produced by the Ministère de la Culture together with the French “Institut National de Recherche en Informatique et en automatique” (INRIA), with the contribution of the ERCIM (European Research Consortium for Informatics and Mathematics) and of the European Commission.
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As regards the activities of dissemination and promotion, both on and off line products were developed. Among them, the web-site, which was prapared in order to be further implemented, updated and divided into thematic sections allowing different levels of detail. Beyond the video “Siena and its places of water”, presented at the 3rd World Water Forum, held in Kyoto in 2003, was also produced an interactive CD-Rom whereby one can virtually visit a part of the Bottino Maestro of Fontegaia and then emerge in the famous Piazza del Campo. All along the path – which is displayed on suitable maps and aerial photos giving the virtual visitor’s exact location – insights concerning historical, architectural, hydraulical and geological aspects are included. Furthrmore, the amount of collected documentation finally also allowed the creation of several thematic guides, illustrating both the whole system and its individual elements. Finally, the EU project “Siena city of water” allowed to make detailed measurements of the monumental fountain of Pescaia, by using innovative techniques (a special photographic equipment and sophisticated software of image processing) to reproduce the elevations. Starting from such survey, restoration works were carried out and a preliminary design for a Museum of Water was subsequently developed. 5.2 Further implementations: the Museum of Water (towards the territorial museum) The EU project “Siena city of water” was an important moment of knowledge and of renewed sensitivity of the public administration on a public heritage that had been forgotten for so many years. A further effect was an increased awareness towards the many issues related to water as a primary resource, as an object of nature and subject of culture, matrix of landscapes, places, systems and architectural artifacts. Such new awareness of the Administration has been manifested through the creation, into the monumental fountain of Pescaia, of the Museum of Water, opened to the public in 2007. The museum was seen not only as a structure for tourist use, but as a museum of the city, where the water system could become the fundamental key to understanding the urban structure. In addition, the museum was intended in the broadest sense as the museum of the community, i.e.: a laboratory in which the local community could identify, represent its aspirations and develop new cultural strategies towards sustainability. As the museum merges the multiple outcomes of the research conducted within the EU project, this has contributed to a successful integration of traditional museum functions (i.e.: conservation, exhibition, public services, scientific research and pedagogical purposes) and innovative communication tools (e.g.: multimedia and virtual reality). On the one hand, therefore, the fountain of Pescaia is, at the same time, both the container and the main content of the museum: the site where it is located, its architecture and the hydraulic system are made intelligible and the bottino beneath becomes visitable. On the other hand, the museum is set up as a narrative device, which is able to tell both hydrogeological features and technological dimension as well as the collective construction of the urban identity by using a variety of languages and forms of representation for re-assembling the collected fragments of memory in order the re-reading stories and uses of places. However, the idea of the museum as a multifunctional space focuses not only on the expositivecommunicative dimension, but also on its potential as a cultural means towards the possible construction of a new collective awareness about the use of resources and common goods. In this sense, it is not configured as the final point of the process initiated with the EU project, but it is rather the starting point for the creation of a territorial museum. The latter is connected to the idea of water as a landscape matrix, being it an element of creative relationship among «context, concept and work» (Calzolari, 1991). The term «context» refers to «a set of tangible/intangible, natural/cultural, historical/contemporary components, situations and phenomena constituting the background for the single elements and claiming ideas». The term «idea» means «the thought, the creative act, the image, the memory». It «refers to a single person, but can also be understood as a dominant idea in a given situation or cultural context». The term «work», finally, concerns «the created object, the action, the result of good training and technical competence, of a good design, execution and management, the expression of intuition and imagination». Through all the designed paths inside and outside the urban walls, marked by the presence of «works» – from monumental to minor fountains, from the bottini to cisterns and from these to the memory of the wool merchants’ shops; from the wells in the courtyards of palaces to the public fountains of each Contrada, to the wells of the rural farms in the valleys irrigated with the drainage water overflowing from the monumental fountains and, finally, to the springs and the most natural contexts – the goal is to build a system involving the museum, the city, the surrounding territory and the settled community, with water as a common thread.

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Cecilia Scoppetta

The idea of a territorial museum was, however, already present in the EU project, whose results included, in fact, a series of proposals and concrete indications of the feasibility of the insertion of the Museum of Water in a network of internal and external itineraries connecting the various elements of the system: it was conceived as an expositive space belonging to a larger system involving both the city and the territory. 6 SMARTNESS AS LOCAL ACTIONABLE KNOWLEDGE As conceived, the museum should trigger a process of collective re- identification, which is a prerequisite for developing a possible “active citizenship”, based on the overcoming of the dichotomy between public and private use, by introducing a notion of “common good” as related to the concept of “neighbourhood” (see: Gorz, 1994). In this sense, the historical relationship between the city of Siena, its inhabitants and water resources is an example of the possible process of building a community to be understood not as a historical fact, but as a project (Magnaghi, 2006), i.e.: as a whole of inhabitants/producers that relate in order to exercise both the care and the collective use of places where they live in durable and sustainable ways allowing “self-reproducibility”. In this sense, the focus is on the concept of self-organisation, i.e.: the interrelationship between located social actors, capable of (self-)produce representations/interpretations (projects) on their own place (ecosystem), with a widening of participation in decisions concerning the management of resources (Scoppetta, 2009). The process of social construction of the city of Siena around the theme of water of the bottini – which are, in turn, the result of the evolution of engineering techniques, but also of a collective knowledge handed down from generation to generation – can also offer interesting insights on the current rhetoric about the so-called «knowledge society» and «knowledge economy» (see, e.g.: EU, 2007), where the tendency is understanding knowledge as a resource to be sold within the context of global competition, i.e.: within a context that is different from that in which it is developed and concretely implemented. In this sense, the case of Siena is an example of Clifford Geertz’s well-known notion of «local knowledge» (1983), which is not to be generically intended as “wisdom”, but as real technical-practical knowledge which is locally developed and tested in order to solve concrete problems (such as a community’s water supply). Rediscovering the bottini as a socio-spatial structure therefore may be the starting point for the community re-appropriates its own «actionable knowledge» (Friedman, 1987) as well as for its possible re-interpretation, which takes into account of current technological developments. The proposal concerning the restoration and re-use of irrigation channelling that directed water from the overflow of the monumental fountain of Pescaia to the valley belonging to the Contrada goes precisely in this direction. It is intended as a first step of a process of collective learning that can change not only the territory and its uses, but also individual behaviors and practices within a perspective where actors and context could co-evolve (see: Scoppetta, 2009a). Knowledge, in this case, becomes a resource for the «empowerment» of the community (Friedmann , 1987), allowing the passage from «exit», which is the prototype of the market (the consumer changes product), to «voice» (Hirschmann, 1970), which is the prototype of political action. 7 REFERENCES

AMIN, A., COHENDET, P.: Architectures of Learning: Firms, Capabilities and Communities. Oxford University Press, Oxford, 2004. BECATTINI, G. (ed.): Mercato e forze locali: il distretto industriale. Il Mulino. Bologna, 1987.

BECATTINI, G. (ed.): Modelli locali di sviluppo. Il Mulino, Bologna, 1989.
BECATTINI, G.: Dal distretto industriale allo sviluppo locale. Bollati Boringhieri, Torino, 2000. BECATTINI, G.: Dal settore industriale al distretto industriale. Alcune considerazioni sull’unità di indagine dell’economia industriale. In: Rivista di Economia e Politica Industriale, Vol.V, Issue 1, pp.7-21, 1979 – Engl. ed.: Sectors and/or Districts: some Remarks on the Conceptual Foundations of Industrial Economics. In: GOODMAN, E., BAMFORD, J. (eds.): Small Firms and Industrial Districts in Italy. Routledge, London, pp.123-35, 1989. BECATTINI, G.: The Industrial District as a Creative Milieu. In: Benko, G., Dunford, M. (eds.): Industrial Change and Regional Development. Belhaven, London, pp.102-114, 1991. BECATTINI, G.: The Marshallian Industrial District as a Socio-economic Notion. In: PYKE, F., BECATTINI, G., SENGENBERGER, W. (eds.): Industrial Districts and Inter-firm Co-operation in Italy. International Institute of Labour Studies, Geneva, pp.37-51, 1990. BEST, M.: The New Competition: Institutions of Industrial Restructuring. Polity, Cambridge, 1990. BRENNER, N., PECK, J., THEODORE, N.: Variegated neoliberalisation: geographies, modalities, pathways. In: Global Networks, Vol.10, Issue 2, pp.182-222, 2010b. BRENNER, N., THEODORE N. (eds.): Spaces of Neoliberalism. Urban restructuring in North America and Western Europe. Blackwell, Oxford and Boston, 2002.

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Ancient Smartness of Tomorrow BRENNER, N.: Globalization as reterritorialization: the rescaling of urban governance in the European Union. In: Urban Studies, Vol.36, Issue 3, pp.431-451, 1999. BRENNER, N.: New State Spaces: Urban Governance and the Rescaling of Statehood. Oxford University Press, Oxford and New York, 2004. BRENNER, N.: The Urban Question as a Scale Question: Reflections on Henri Lefebvre, Urban Theory and the Politics of Scale. In: International Journal of Urban and Regional Research, Vol.24, Issue 2, pp.361-378, 2000. CALZOLARI, C.: Natura, sito, opera: il caso del parco fluviale. In: Casabella, 1991. CALZOLARI, V., SCOPPETTA, C.: Cultura dell’acqua e identità del paesaggio. Paper delivered at the IAED Conference (Rome, December, 4-6, 2013), unpublished. CASTELLS, M.: The Rise of the Network Society, The Information Age: Economy, Society and Culture, Vol. I. Blackwell, OxfordCambridge, 1996. CASTREE, N.: Neoliberalising nature: Processes, effects, and evaluations. In: Environment and Planning A, Vol.40, 153-173, 2008b. CASTREE, N.: Neoliberalising nature: The logics of deregulation and reregulation. In: Environment and Planning A, Vol.40, 131152, 2008a. CEC-Commission of the European Communities: Europe 2020: A Strategy for Smart, Sustainable and Inclusive Growth. Brussels, Belgium, 2010. DELEUZE, G.: Qu’est-ce qu’un dispositive. In: EWALD, F (ed.), Michel Foucault philosophe. Seuil, Paris, 185-95, 1989. DONOLO, C.: L’intelligenza delle istituzioni. Feltrinelli, Milano, 1997. EU.: Territorial Agenda of the European Union. Towards a more Competitive and Sustainable Europe of diverse Regions. Leipzig, 2007, http://www.bmvbs.de/en-1872.96336/Territorial-Agenda -of-the-EU.html. Accessed September 13, 2013. FOUCAULT, M.: Dits et écrits 1954–1988 (Defert, D., Ewald, F. eds.). Gallimard, Paris, 1994. FRIEDMANN, J.: Planning in the public domain: from knowledge to action. Prnceton University Press, Princeton, NJ, 1987. GEERTZ, C.: Local Knowledge. Further essays in Interpretative Anthropology. Basic Books, New York, 1983. GORZ, A.: La strada del paradiso. Edizioni Lavoro, Roma, 1994. GRAHAM, S., MARVIN, S.: Splintering Urbanism. Routledge, London, 2001. GRAHAM, S., MARVIN, S.: Telecommunications and the City. Routledge, London, 1996. HARVEY, D.: A Brief History of Neoliberalism. Oxford University, Oxford, UK, 2005. HIRSCHMANN, A.O.: Exit, Voice, and Loyalty: Responses to Decline in Firms, Organizations, and States. Harvard University Press, Cambridge, MA, 1970. HOLLANDS, R.: Will the Real Smart City Stand Up? Creative, Progressive, or Just Entrepreneurial?. In: City, Vol.12, Issue 3, 302– 320, 2008. IBM: Smart Cities, 2010, http://www-935.ibm.com/services/us/gbs/bus/html/smarter-cities.html. Accessed September 13, 2013. LAUREANO, P.: La Piramide Rovesciata, il modello dell'oasi per il pianeta Terra. Bollati Boringhieri, Torino, 1995. MAGNAGHI, A.: Gli atlanti del patrimonio e lo „statuto dei luoghi‟ per uno sviluppo locale auto sostenibile. In: BERTONCIN, M., PASE, A. (eds), Il territorio non è un asino. Voci di attori deboli. Franco Angeli, Milano, 2006. MITCHELL, W.: City of Bits: Space, Place, and the Infobahn. MIT Press, Cambridge Massachusetts, 1995. MITCHELL, W.: Equitable Access to an On-lineWorld. In: Schon, D., Sanyal, B. andW. Mitchell, W. (eds.), High Technology and Low-Income Communities. MIT Press, Cambridge Massachusetts, 2001. MITCHELL, W.: e-Topia: Urban Life, Jim but not as You Know It. MIT Press, Cambridge, Massachusetts, 1999. MITCHELL, W.: Me ++: The Cyborg-Self and the Networked City. MIT Press, Cambridge Massachusetts, 2003. PECK, J., THEODORE, N., BRENNER, N.: Neoliberal Urbanism: Models, Moments, Mutations. In: SAIS Review, Vol.29, Issue 1, 2009. PECK, J., TICKELL, A.: Neoliberalizing space. In: Antipode, Vol.34, Issue 3, pp.380-404, 2002. PORTER, M.: The Competitive Advantage of Nations. Macmillan, London, 1990. SCOPPETTA, C.: Immaginare la metropoli della transizione. La città come living machine. Campisano, Roma, 2009. STORPER, M.: Regional ‘worlds’ of production: learning and innovation in the technology districts of France, Italy and the USA. Regional Studies Vol.27, 433–455, 1993. TICKELL, A.; PECK, J.: Making global rules: Globalization or neoliberalism?. In: PECK, J., YEUNG, H. (eds.), Remaking the Global Economy. Sage Publications, London, UK, 2003. WCED-World Commission on Environment and Development: Our Common Future. Oxford University Press, New York, 1987. WOLF, A.: Conflict and Cooperation Along International Waterways. In: Water Policy, Vol.1, Issue 2, 251–65, 1998.

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reviewed paper ARchitecture – Augmented Reality Techniques and Use Cases in Architecture and Urban Planning Daniel Broschart, Peter Zeile
(M.Sc. Daniel Broschart, University of Kaiserslautern, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), Pfaffenbergstraße 95, 67663 Kaiserslautern, Germany, dbroscha@rhrk.uni-kl.de) (Dr.-Ing. Peter Zeile, University of Kaiserslautern, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), Pfaffenbergstraße 95, 67663 Kaiserslautern, Germany, zeile@rhrk.uni-kl.de)

1 ABSTRACT The current topics “Smart City” and “Smart Planning” do not just have to be about big solutions to make cities more efficient. There are also small solutions which can help planners and architects in their daily communication work, opening planning processes for more of the city’s citizens and make the processes themeselves smarter. The man-made environment affects every human who lives within it. Especially when changes are made within this environment, every citizen has to be able to form an opinion towards these changes. Not every person affected has a planning or architectural background though, so one has to expect that the spatial perception of each person is to be valued in a different way. Based on these various requirements the ways of internal and outside communication have to be adaptable, and offer an understandable transfer of relevant contents. The available tools are under constant development, resulting in new applications for communicating within the planning process. The focus concerning the communication techniques is on interactive tools. This paper gives a general overview of common augmented reality (AR)techniques and their specific characteristics and tries to show possible use cases in the fields of architecture and urban planning. Besides the view on the technical development and the resulting use cases, the consequences and effects of the expansion of the repertoire of methods for planners and architects shall be discussed. The social significance and the resulting changes for urban planning as a whole are also relevant. 2 INTRODUCTION Visualization and communication belong to the daily tasks of architects and urban planners. With different receivers for the planninginformation, there is a demand for tools which can be used in a variety of use cases. Due to the proliferation of smartphones public access to information expiriences a new dimension. Through a constant internet access, applications (short: apps) to augmented reality-browsers information is available at any time at any place. Communication in the planning process is constantly arising in new applications from these technical developments (Reinwald et al. 2013). The planers repertoire of techniques is also constantly arising because of these technical developments. So having an all time overview on the possibilities for communication by using these tools becomes one of the planers tasks. The works “Urban Planning in the Knowledge Society (Stadtplanung in der Wissensgesellschaft)” (Streich 2005, 2011) and “Real-Time Planning (Echtzeitplanung)” (Zeile 2010) give a first overview on current tools and how they can be used in the daily communication process in planning. Concerning the fast development of new techniques and tools it is necessary to stay tuned to these processes and think about new applications for planning communication. The following paper starts from this point and shows current augmented reality techniques and possible use cases in architecture and urban planning. 2.1 Communication during the Planning Process

Fig. 1: Communication in plannning processes, based on transmitter-receiver model (Zeile 2010, according to: Fürst & Scholles 2008:198)

The general view on the communication between planners and addressee in the planning process shows that the analytical categories of communication theory can be applied (Fürst & Scholles 2008:198). By using this

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theory it can be explained how a message is coded from the transmitter at the first place and has to be encoded from the receiver. A visualization is a form of coding a message, communication tools have the tasks to support the receiver in the encoding process. Starting with classical hand drawings and models to their computer aided counterpart of CAD-drawings and computer aided modelbuilding, virtual 3D-models (divided into the techniques of hand-pushed-pulled-modelling and parametrical modelling) to renderings of pictures and movies the evolution of visualization is going strong. By using only the visualization in connected planning communication processes the message within can be already encoded by the receiver. At this point, however, the question arises, if the pure visualization is enough to transport the message of the plan. Communication has to be more than just a visualization, it adds an interactive part to the process. Equivalent to the “homo ludens”-approach (Streich 2011:217) lay people learn by playing with planning information and become self-made experts. 2.2 Definition Augmented Reality The term augmented reality (short: AR) signifies the projection of an additional virtual content into the reality. Augmented reality belongs to the so called human-machine-interaction-methods (Zeile 2010:28). In general augmented reality means the augmentation of human sensory perception (Milgram, Colquhoun 1999). Therefore reality can be augmented by using visual, acoustic or haptic information (Höhl 2008:10). Zo build an augmented reality environment four elements are needed (Zeile 2011): A computer with the required software, which serves as rendering unit A tracking system, which locates the position oft he user A recording device in form of a camera and Also a display. If all elements are fulfilled, four different techniques of augmented reality can be differentiated (Höhl 2008): Projective Augmented Reality (PAR): With the use of a projector digital information are shown on a real object. Video See-Through (VST): Uses enclosed projection glasses. The additional information is shown on two small displays in front of the users eyes. Optical See-Through (OST): Uses a semitransparent mirror to show the virtual information instead of enclosed projection glasses. Monitor Augmented Reality (MAR): This technique displays digital content on a monitor. Camera and render unit play together to build a picture of the augmented environment on the screen. The latest smartphone and tablet generations are also able to realize a augmented reality environment. It is basically an advanced form of the monitor augmented reality, because the user can now move freely in reality. Only the required software in form of an augmented reality-browser has to be installed to serve the rendering unit. With the built-in sensors like compass, acceleration sensor and GPS-module the tracking unit is provided. The smartphone-camera works as recording device and the monitor displays the augmented environment. 3 AR-TECHNIQUES – STAND OF RESEARCH Current augmented reality methods can be devided by the form of localisation of the user’s point of view and also the type of memory location they use. Depending on the used technique there are some pros and cons. In the following chapters the different AR-methods are introduced and will be discussed. 3.1 Geolocalisation or Marker Based Techniques The current MAR-methods use two different techniques to locate the users’ point-of-view. The so called gelocalisation uses the smartphone integrated GPS-module to locate the user. To realize this kind of augmentation the content is linked to the geoposition, which allows the user to view it when he reaches the point of interest. But the geolocalisation has some problems with the accurancy of the GPS-signal: If the user walks through a street with high buildings or trees, the GPS-signal and the AR-content starts to „jump“. The so called marker based techniques want to solve this problem, because they do not need a GPS-signal anymore. The setting in which the content is supposed to be overlayed is saved on a server in form of an

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image that works as a marker. If the user scans the counterpart image in reality, the attached content is immediatelly streamed on the smartphone-screen after a server-synchronisation. On of the well-known augmented reality-browsers is Layar (Layar 2014). Layar combinates the two described techniques of geolocalisation and marker based localisation in one application. To view the content in a geo-layer the user just has to choose the right channel and can now on explore his environment. If he reaches a point-of-interest, the attached content can be viewed. In counter draw to this „passive“ exploration, the user has to become active and scan every single situation while using a marker based augmented reality technique to do the server synchronisation. The technical restrictions to create this kind of augmented reality environment are reduced to a minimum. It is no more limited to a small group of people who have the know-how to set up the server and build up the contents. Now there are platforms like RADAR-platform of the DFKI Kaiserslautern (Memmel 2013) which can be used for the accomplishment of geolocalised augmented reality-visualizations. The marker based ARtechniques can also be realized by using a platform that uses a graphical user-interface: Layars own new platform „Layar-Creator“ (Layar 2012) uses drag-and-drop functionalities to attach the content to the previously uploaded marker-images. 3.2 Streaming versus Local Storage The described techniques of geolocalisation and marker-based AR-techniques from Layar always use a server from which the content is streamed to the smartphones. Therefore a mobile internet connection is always required for streaming the content. Simultaneously the quality of the mobile internet connection limits the level-of-detail of the content. Another approach to solve this problem is to use augmented reality-applications which use their own local stored 3D-model-library. Applications like „AR Media“ (Inglobe Technologies 2014) and „Sightspace 3d“ are using this kind of local memory space. 3D-models can be added to the application built-in library by iTunes-synchronisation (iOS), drag-and-drop (Android) or by sending the models as a mail attachement or Dropbox-synchronisation. To build an AR Media-augmentation the 3D-model is attached to a marker by using a plugin for well-known 3D-modelling applications like Trimble SketchUp. In a second step the augmentation can be realized by scanning a printed version of this marker from within the application. The marker is important for the scaling process of the 3D-model on the smartphone-display. Sightspace 3D as a similar AR-application combines the techniques to attach a localy stored 3D-model to a marker or by using geocoordinates. If the model is not attached to a marker or a geoposition the user can also define his point of view with one touch on the screen. The application „AR-Works“ from UR-AR-Limited is third appliation which uses a localy stored model to build an augmented reality visualization. On the contrary to AR Media and Sighspace 3D AR-Works is not available as a mobile application. The AR-Works-viewer is available for PC- and MAC-users and allows to display different varietes of a model, on-and-off-switching from layers and a shadow simulation. 4 USE OF AR IN ARCHITECTURE AND URBAN PLANNING The following practical examples illustrate the use of the AR methods in urban planning and are also an example of just how well the link between research and practice works with regards to the content. 4.1 Talking Places and Urban Story-Telling Which opprotunities are offered by the mobile AR techniques with regard to ther use in the fields of architecture and urban planning? Due to the ability to show any content at a desired position, the visualization of historic buildings at their former location or the visualization of structural projects is a given. The aim of the projct “Talking Places” is to enable the reliving of destroyed buildings, either destroyed in the Second World War, or simply temporarily demolished, in the city of Kaiserslautern. Their influence on the city’s history is to be preserved bby using this virtual project (Hesch 2011). Another filed of application is describing events within the area: By linking audio files to the appropriate geo-position in the urban area, stories can be implemented in the urban space and offered in an audio walk through the city (Dörrzapf 2012).

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Fig. 2: Talking Places (left), Location-based audio (right), (Broschart 2013 using Hesch 2011 (left), Broschart 2013 using Dörrzapf 2012 (right))

4.2 Discover and experience Architectural Culture with all your Senses In the project “Discover and experience architectural culture with all your senses”, a digital tour was created with the use of Layar, in this case leading the users down the “Eisenbahnstraße” in Saarbrücken. The content of the project, conducted in cooperation with the city of Saarbrücken, was to raise the awareness of the architecture from the 50s, since their special features are anot often seen at first sight. Especially in terms of the upcoming modernizations the people’s awareness had to be lead towards the preservation of these specific structures. Due to some “bad” reconstructions in the past, the exaggerated details of the 50s had to be restored.

Fig. 3: Architectural culture meets technology (Broschart 2013)

The results were presented to the people during the opening of the “Tag des offenen Denkmals 2013” in Saarbrücken. The digital tour was offered as a guided tour of the “Eisenbahnstraße”, also a central information booth with additional information in the form of augmented posters and flyers was offered. For those people, who could not participate in the tour, these contents were also shown in form of an AR Media model placed on a marker ath the information booth (Biwer et al. 2013).

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4.3 Discussion of Variants based on different Markers

Fig. 4: Discussion of variants based on different markers (left); shadow simulation with AR-Works (right) (Broschart 2013 using Jost 2013 (left), Broschart 2013 (right))

Working with marker-based systems and local storage systems of AR Media or AR-Works, an ongoing exchange during the development of a project would be possible. The customer simply prints out the marker and downloads the latest model. By placing various models on several markers the different variations can be discussed. If these markers are placed in a physically built environment, the effects of the individual variations can be seen and evaluated. 4.4 AR Development Plan In a development plan determiniations are made which influence individual citiziens on how they can build on their own property. Despite the obligation to publish the plans, the problem remains of a layman understanding the presentation. How should a person from his own opinion on a development plan and express it within the participation process, if he cannot understand the content of the development plan in the first attempt?

Fig. 5: The augmented development plan (own source)
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Based on this difficulty, different possibilities on how building symbols can be transferred into a 3D counterpart were developet into a thesis. With the intention to support citizens in translating the twodimensional information there must be an adjustment of the dimensionality to reduce the level of abstraction. Not only the presentation of the 3D development plan in virtual environments and virtual globes, but also the area of augmented reality offers a way of communicating the contents of the plan: The plan itself acts as a marker on which the planned constructions are shown superimposed directly on a 3D model (Broschart 2011). 5 DISCUSSION AND CONCLUSION Each of these techniques has its right to exist, but depending on which one, it might not make sense to use it to display and communicate the requred content. The choice of the tool to be used must therefore always depend on the specific content which is to be communicated. If streaming can be used to make information of a low level detail accessible to a large group of users, the possibilities of local storage can provide a higher level of detail in terms of file size and complexity of the displayed content. In contrast to the limitation through the mobile internet connection, the AR-presentation in this option is simply restricted by the hardware configuration. If even the possibilities of smartphone or tablet presentations are exceeded, AR-techniques can be used, which are processed by notebooks ore desktop-PCs. If the limitations of the actual AR-model are passed, a higher level of detail can be implemented in a pure virtual environment (Virtual Reality, short: VR).

Fig. 6: Realizable level-of-detail and use cases depending on the applied method (Broschart 2013)

Depending on the possible levels of detail, which can be presented by the according applications, corresponding use cases can be derived. Not only textual information, audio or video files, as well as 3D models with GPS or marker based streaming options, but also detailed 3D representations of buildings on a local storage and detailed interiors in a VR environment can be shown. 5.1 Meaning from a social Perspective What is the use of the presented visualizations and communication techniques from a social perspective? The communication between experts and interested people has the goal of sensitizing the general population for topics concerning architecture and urban planning. Like this, population groups that have only shown slight interest or possibly no interest at all for these topics can be reached. With the playful approach to planning contents, people can learn about topics, which they where not familiar with before. This allows them to form an opinion, which can be expressed in the further planning process. This is of great importance when the planning affects people directly or indirectly and they want to express their concerns in the participation process. With the use of smartphones, tablets, and all digital media in communication processes, it must be held in mind that this is another option to communicate plans. Social groups, who (still) do not have the needed device, must not be ruled out from the planning and participation process only due to a technical barrier. To prevent this digital dividing, but at the same time offering the people the benefits of new media in the plan communication, guided tours, commented visualizations, etc. could be a solution. In this case the planner

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takes the role of a mediating notary, whose role is to impart important and relevant information of the planning process for the citizens, so that their own opinions can be formed. At the same time it must be considered that the presented techniques for the communication in the planning and developing processes are not a one-way street. That means that the flow of information should not only go from the experts to the people, but that the people’s opinion of a project is of great importance for a planning office. The combination of these visualization and communication techniques with social media platforms offers the possibility of such a response system. After the local citizens inform themselves with the communication techniques, initially directed as a one-sided flow of information, they can then send their opinion back to the original sender in form of comments. The requirements for a successful communication are therefore guaranteed if the elements of visualization, possibility of interaction, additional comments by the expert (transmitter) as well as a feedback function for the citizen (receiver) are equally respected and used. Despite the euphoria of the technical possibilities for new communication technologies, the principle should always be kept in mind that the online does not work without the offline! The techniques are to be regarded as an addition to the tools already used by architects or planners. With the use of these techniques, the communication in a planners or architects daily work will be supported, but should not replace the direct conversations and interaction with the people involved! 5.2 Meaning for Urban Planning By introducing rather serious issues in urban planning in a playful matter, the interest of laymen toward these topics is to be inspired. Like this, they can form their own opinion and in a certain perspective, be made to the experts of the topics cencering themselves. This represents a first step of a development that goes even further: By using smart technologies, which can be used by every person, the field of urban planning is made into a kind of “do-it-yourself-planning”. Especially with regards to the combination of social networking technologies and the social desire to communicate, a network society will develop, which will change the understanding of urban planning and thus the area of responsibility of city planners fundamentally. All social groups can use smart technologies with the georeferences, (tag-cloud driven planning), to independently identify problems which they can then discuss among themselves and develop opinions and suggestions in a bottow-up approach. The role of the planner will have to change, since he is the expert who has to implement the solutions coming from the “bottom-up” approach and check them in terms of accuracy, correctness, and completeness. He therefore needs to adapt to the role of notary or lawyer in the matter of verifying the ideas coming from the citizens (Streich 2012). 6 ACKNOWLEDGEMENT The authors are grateful to the support of the University of Kaiserslautern, which enabledthese research studies by suporting this department and the faculty of spatial and environmental planning with financing the “Laboratory for Monitoring and Spatial Sensing”. The authors would like to express their gratitude to German Research Foundation (DFG – Deutsche Forschungsgesellschaft) for supporting the project “Development of methods for spatial planning with GeoWeb and Mobile Computing (Städtebauliche Methodenentwicklung mit GeoWeb und Mobile Computing)”. 7 REFERENCES

ALLBACH, B.; MEMMEL, M.; ZEILE, P.; STREICH, B.: Mobile Augmented City – New Methods for urban analysis and urban design processes by using mobile augmented reality services. In: SCHRENK, M.; POPOVICH, V.; ZEILE, P.: Proceedings of RealCORP 2011, Zeche Zollverein Essen, Wien, 2011. BIWER, J.; BRACK, C.; BROSCHART, D.; SCHNEIDER, M.; ZEMLA, A.: Baukultur mit allen Sinnen entdecken und erleben. Masterproject, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), University of Kaiserslautern, Kaiserslautern, 2013. BROSCHART, D.: Bebauungsplan 3D? – Die Möglichkeiten der Visualisierung planerischer Festsetzungen, Bachelor thesis, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), University of Kaiserslautern, Kaiserslautern, 2011. BROSCHART, D.: ARchitektur – Die Fortentwicklung der Visualisierungs- und Kommunikationsmethoden in der Architektur und Stadtplanung. Master thesis, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), University of Kaiserslautern, Kaiserslautern, 2013.

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ARchitecture – Augmented Reality Techniques and Use Cases in Architecture and Urban Planning DÖRRZAPF, L.: Location-based Audio – Einsatzmöglichkeiten, Entwicklungstrends und konzeptionelle Ansätze am Beispiel der Stadt Wien, Diploma thesis, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), University of Kaiserslautern, Kaiserslautern, 2012. FÜRST, D.; SCHOLLES, F.: Planungstheorie – Wissenschaftliche- und kommunikationstheoretische Grundlagen der Planung. In: Handbuch Theorien und Methoden der Raum- und Umweltplanung, Dortmunder Vertrieb für Bau- und Planungsliteratur, 2008. HESCH, G.: Talking Places Kaiserslautern – Making the invisible visible. Bachelor thesis, Department of CAD & Planning Methods in Urban Planning and Architecture (CPE), University of Kaiserslautern, Kaiserslautern, 2011. HÖHL, W.: Interaktive Ambiente mit Open-Source-Software: 3D-Walk-Throughs und Augmented Reality für Architekten mit Blender 2.43, DART 3.0 und ARToolKit 2.72. 1.Auflage, Springer, Wien, 2008. INGLOBE TECHNOLOGIES: www.inglobetechnologies.com (01.02.2014). JOST, N.: Frankfurt Nordend, Großer Entwurf, Fachbereich Architektur, University of Kaiserslautern, 2013. LAYAR: www.layar.com (01.02.2014). MEMMEL, M.; GROß, F.: RADAR – Potentials for Supporting Urban Development with a Social Geocontent Hub. In: SCHRENK, M.; POPOVICH, V.; ZEILE, P.: Procedings of RealCORP 2011, Zeche Zollverein Essen, Wien, 2011. MILGRAM, P.; COLQUIOHOUN, H.:, A Taxonomy of Real and Virtual World Display Integration. In: OHTA, Y.; TAMURA, H.: International Symposium on Mixed Reality. Berlin, 1999. REINWALD, F.; SCHOBER, C.; DAMYANOVIC, D.: From Plan to Augmented Reality Workflow for Successful Implementation of AR Solution in Planning and Participation Proccesses. In: SCHRENK, M.; POPOVICH, V.; ZEILE, P.: Proceedings of RealCORP 2013, Casa dell’ Architectura, Rom, Wien, 2013. STREICH, B.: Stadtplanung in der Wissensgesellschaft. 2. Auflage, VS Verlag, Wiesbaden, 2011. STREICH, B.: Benötigt die Netzwerkgesellschaft eine neue Stadtplanung? Vortrag von Prof. Streich beim 5. Internationalen Symposium des Planungsnetzwerkes geo-Innovation in Karlsruhe am 19.04.2012, 2012. ZEILE, P.: Echtzeitplanung – Die Fortentwicklung der Simulations- und Visualisierungsmethoden für die städtebauliche Gestaltungsplanung, Dissertation im Fachbereich Raum- und Umweltplanung, University of Kaiserslautern, Kaiserslautern, 2010 ZEILE, P.: Augmented City – erweiterte Realität in der Stadtplanung, in: Stadtbauwelt 24/2011, Berlin, 2011.

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reviewed paper Assessing Smart Locations – the MORECO Project Susanne Franz, Ulrike Reutter, Eva Haslauer, Dagmar Schnürch, Thomas Prinz
(Dipl.-Ing. Susanne Franz, Institute for mobility and transport, University of Kaiserslautern, Paul-Ehrlich-Straße 14, 67663 Kaiserslautern, susanne.franz@imove-kl.de) (Prof. Dr.-Ing. Ulrike Reutter, Institute for mobility and transport, University of Kaiserslautern, Paul-Ehrlich-Straße 14, 67663 Kaiserslautern, ulrike.Reutter@imove-kl.de) (DI Eva Haslauer, Research Studios Austria Forschungsgesellschaft mbH, Schillerstraße 25, 5020 Salzburg, eva.haslauer@researchstudio.at) (MSc. Dagmar Schnürch, Research Studios Austria Forschungsgesellschaft mbH, Schillerstraße 25, 5020 Salzburg, dagmar.schnuerch@researchstudio.at) (Dr.-Ing.Thomas Prinz, Research Studios Austria Forschungsgesellschaft mbH, Schillerstraße 25, 5020 Salzburg, thomas.prinz@researchstudio.at)

1 ABSTRACT A main criterion of intelligent and smart locations is the fact that they support a resource-saving way of life of the residents. Beside other aspects, the mobility of the residents is a very big part of this lifestyle. In big agglomerations the level of motorization is already decreasing, but in rural regions there is often a lack of public transport options which can be used from the inhabitants instead of their own car. The European co-funded Alpine Space project “MORECO Mobility and residential costs” aims to improve sustainable mobility and to foster better accessibilities by supporting an optimized polycentric settlement development. The mainly addressed target groups are private households, planners, and mobility actors as well as politicians and decision makers. To fit all different needs, special tools were arranged and developed for each target group during the MORECO project. These provided tools within the MORECO tool kit are generally possible to be used in every region or municipality to be a part of an overall and strategic mobility management. The adaption level of the tools can be fitted to all local framework conditions as far as the necessary data is available. In regions where the mobility behavior is mainly car-oriented the tools can be helpful and motivating to improve sustainable mobility offers, especially because there is mostly no possibility to stop directly future urban sprawl according to law. The practical results out of the project can be an incentive for other European regions and municipalities which also prioritize an improvement in the field of sustainable mobility. 2 THE CHALLENGE Economic and demographic dynamics lead to a decomposition and a change of long-known and traditional planning principles and individual behaviors. Trends like globalisation, an increasing number of older people, an increase of single households, more flexible working forms, and opening hours1 cause peri-urban areas, rising rents, and changing requirements on public transport services. To counter this development it is more and more important to support a ressource-friendly way of life. This becomes evident in the increased demand for smart cities, a paradigm which shall solve these problems. When we talk about smart cities or locations, we have to think about the following questions: • • • What are smart locations? Are smart locations always smart? For everybody? How can people be encouraged to move to smart locations?

Referring to the “European Smart Cities” project2 a smart citiy is defined as “a city well performing in a forward-looking way in these six characteristics (see Fig. 1), built on the ‘smart’ combination of endowments and activities of self-decisive, independent, and aware citizens”. This definition can also be adapted for regions or municipalities.

1 2

VCÖ (2003): Mobilität 2020. Trends – Ziele – Visionen, p.21. http://www.smart-cities.eu/index2.html
ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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Fig. 1: Characteristics of a smart city (source: http://www.smart-cities.eu/download/smart_cities_final_report.pdf, page 11.)

When we now think about the parts “smart mobility” and “smart living” we realize that one part influences the other very intensely. An important criterion of Smart Living (e.g. Quality of life) covers beside others cultural facilities, social cohesion, and quality of housing. Smart Mobility involves local and (inter-)national accessibility,3 which is especially important when making a long-term residential location choice. In the end, a city or a region is smart if the inhabitants and people in charge act smart. Corresponding to the question “what are smart locations?” it means that house-hunting individuals or families should choose the location which fits the best to their special needs, especially when it comes to accessibility of work place, school, leisure activities, or shopping facilities. This also includes a sustainable aspect and leads to the next questions: “Are smart locations always smart? For everybody?” A location which fits perfectly for one household referring to the daily ways done by the household members could be inappropriate for another household. It always depends on individual needs and standards of living. Smart locations are defined by the needs of their inhabitants and so there is no common answer or statement if one location is smart in general or smarter than another. Furthermore, people often tend to move to suburban areas because real estates and rentals are often cheaper than in denser areas. This behaviour is the opposite of smart because the aspect of induced mobility costs is mostly not considered. Moving to suburban areas works fine if daily destinations are also in the surrounding area. But in many cases it causes long travel times to city centres which also means high costs for mobility. Although living space in city centres and other dense areas can be more expensive, it is compensated by decreased mobility costs because of improved accessibility. This knowledge leads to the third question “How people can be encouraged to move to smart locations?” The intention has to be asked here to provide information and tools for a better transparency of the relevant circumstances; not only for individuals or households which choose a location, but also for the responsible persons which have to plan or decide about the future of cities and regions. The main goal of MORECO is to develop some strategies for these challenges. 3 THE PROJECT The EU co-funded Alpine Space project “MOR€CO – Mobility and Residential Costs” started in June 2011 and lasts until June 2014. It is a cooperation of 10 project partners located in Austria, France, Germany, Italy, and Slovenia. Municipalities, regions, provinces, or institutes which work togheter with local, regional, national political, and administrative institutions are additionally involved as partners and external experts. All partners bring in different needs, experiences, skills, and backgrounds. Dense areas like the cities of Munich and Salzburg are presented in the project as well as sparsely populated and shrinking regions like Val Belluno. Especially this mixture is necessary to reach a winning mix of tools and strategies and to ensure transferability into Alpine Space regions or other areas. It is the declared aim of the partnership to find new solutions and reach an improved governance process for a better steering of spatial and mobility planning.

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http://www.smart-cities.eu/download/smart_cities_final_report.pdf, page 12.
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4 THE TOOLKIT To guarantee usable results at the end of the project, special target groups were defined in the beginning. Each target group should be supported by the MORECO tools to tackle their needs in the field of residential location choices. All tools applied together are the foundation for an overall strategy. 4.1 Households Beginning on the individual level the MORECO toolkit involves a mobility and residential cost calculator for households to communicate the relation between a residential location choice and the induced mobility costs. Private households shall be motivated to analyze their mobility costs and shall be influenced to choose the most sustainable residential location. There already exist a few mobility costs calculators. Especially in Austria and Germany one can find some very in-detail developed cost calculators for smaller or bigger regions. Of particular importance are the mobility and residential cost calculators for the metropolitan areas Hamburg and Munich, which were developed from the privat planning office “Gertz Gutsche Rümenapp”, as well as the Austrian Mobility Pass for Residential Real Estate, developed from the research institute CEIT Alanova, since these calculators included essential requirements which were also used for the MORECO tools later on . These calculators are characterized by a well-designed, web-based user interface, and a big data base in the background. Beside these highly qualified web calculators of course other mobility and cost calculators do exist which were mostly designed for other (often special special) requirements. All calculators have in common that a big amount of technical computer skills, money, and working hours is needed for the realization. Since MORECO is an EU Alpine Space project, the intention is to transfer and implement common knowledge to the attending pilot sites. So, creating another tool to calculate residential and mobility costs for individual housholds was not the professed goal, but rather to create a simple tool foundation which all pilot sites can use and work on. This is the reason why the tool for the individual households was created in Microsoft Excel, a programm which is easy to get and work with. This Excel document can be downloaded for free on the project website http://www.moreco-project.eu/ and offers a quick and easy possibility for everybody to get a rough overview about individual mobility and residential costs. As it is not linked with local data to a special region it is not as detailed as one of the mentioned calculators above. However, the benefit is the transparent calculation presented in a separate tab of the Excel document. This calculation can be used for any further development, for example in a detailed local web-based version or a mobile application.

Fig.2: “WoMo” calculator Munich (source: http://womo.mvv-muenchen.de/mobilitaet)

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Fig. 3: Mobility Pass for Residential Real Estate (source: http://www.mobilitaetsausweis.at/advanced_tool/modul2.php)

Fig. 4: MORECO Excel-based Cost Calculator for households (source: own graphic)

4.2 Planners and mobility actors The second tool designated for the target group of planners and mobility actors aims to help the responsible persons to identify suitable locations for settlement development and to compare different locations regarding the level of local supply and public transport accessibility etc. The tool should help to support a sustainable settlement development by using geographical information systems (GIS), models, spatial indicators and geospatial data.4 This tool framework is divided into three parts: • Regional Analysis This part of the tool describes core indicators like public transport structure, land use, demographic and commuting data etc. Outputs are maps, diagrams and additional explanation texts. The tool indicators are for example distances in minutes and km, number of population, fuel prices, or density values of settlement. • Settlement Assessment

4

See: Haslauer, E.; Prinz, T.; Schnürch, D.: Frameworks of MOR€CO Tools for Planners and Mobility Actors, p.3.
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The settlement assessment analyses local areas concerning their suitability for residential locations linked to future induced mobility costs for the inhabitants. To producequalified results the tool analyses distances between residential locations and possible work places, shopping facilities, schools, and other public infrastructure facilities. • Mobility Planning The third tool part aims to support sustainable mobility planning based on a well-working and wellconceived public transport system. Short ways and a mixed settlement structure are a foundation for an efficient and affordable mobility. Thus the tool tries to foster short ways by showing potentials for future expansion of transport axes or additional stations. The outputs are indicators like for example the accessibility potential, potential number of users (walking distance), or service areas.

Fig. 5: MORECO tool for planners (source: MORECO Brussels Think Thank Poster, designed by ispace 2014)

During the development it was also the aim to create guiding frameworks for implementing the tools in the different pilot sites. 4.3 Politicians For the target groups of local and cross-municipal policy makers, MORECO provides a lot of information material, like a broad slide pool to inform themselves and brief other stakeholders or inhabitants concerning the topic of sustainable mobility. This target group was chosen because of their responsibility for the future development of the local settlement structure which includes decisions concerning zoning or public transport aspects. These policy makers are usually politicians or other professionals which have to make themselves familiar quickly with expert knowledge for special occasions. They do not only have to inform themselves, but also transport important messages in a simple and understandable way to the population. The MORECO information tool, that came as a broad power point slide pool, can be a helpful assistance in the field of mobility and residential costs. These power point slides are available for free and are structured into the following subchapters. • • • The MORECO project Why is MORECO of interest to you? Facts, background, trends

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

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• • • • •

Impacts on actors Good practices/Opportunities for the future Practical MORECO tools/MORECO tools for households MORECO tools for spatial planners and mobility actors MORECO tools for policy makers

Fig. 6: MORECO slides for policymakers (source: MORECO Power Point deliverables, designed by SIR 2014)

Fig. 7: The household calculator version implemented in the Salzburg pilot site (source: www.moreco.at)

It is possible to use the whole slide pool or just selected files or images. The slides are designed in English language, but also available in German.

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5

THE IMPLEMENTATION PROCESS

5.1 State of implementation Within the MORECO project the pilot sites decided on their own which tools they want to implement. Depending on their local problems and potentials they did not only select the tools, but also decided about the way of implementation which was mostly important for the household calculator. There are already running several versions of the MORECO cost calculator for households in five different pilot sites. From simple translated Excel versions up to detailed developed web-versions various adaptions have been implemented. In the Salzburg region for example a web-based calculator was drafted which includes live interfaces to the local public transport organisation. The results includes suggestions for different public transport tickets which raises the quality of the usability. In comparison to the Salzburg pilot site, the Slovenian project partners decided to provide at first a simple calculator version of the translated Excel document without live interfaces or maps. It is destined to develop another sophisticated version of the tool in a second step, but it was their intention to provide a fast and simple solution for private households. In the field of the household calculator the adaptions are very diversified, because the further technical development of the Excel version has to be done from the pilot site stakeholders themselves.

Fig. 8: The household calculator version implemented in the Slovenian pilot site (source: http://moreco.uirs.si/Domov.aspx)

However, the planners tools of the pilot sites are designed as technical frameworks and the pilot sites have to deliver the respective data to the project partner iSPACE (an Austrian research institute) which is the designer of the tool. iSPACE implements the delivered data into the tools and provides the local version for the pilot sites. 5.2 Transferability In general it is possible for each region or municipality to implement and use all developed MORECO tools. Especially the household tool and the slide pool for policy makers can be used without any great effort. The tool for planners and mobility actors also can be implemented everywhere – according to the available data, different levels of implementation are possible. There already exist a lot of Europe-wide surveyed data, but in a few countries there is still a lack of exhaustive information and in an international comparison the data availability becomes increasingly different. Therfor a general version without any data running in the background was developed as well as a more automatic version with some local data on municipality level was integrated resulting in a trird, almost fully automated version with a large database behind.

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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Fig. 8: Implemented planner tools (source: MORECO Brussels Think Thank Poster, designed by ispace 2014)

6 THE CONCLUSION Out of the MORECO project resulted a handful of tools to raise awarness of the relation between mobility and residential costs from an overall perspective. By defining target groups at the beginning of the project it was ensured to focus on the needs of differently concerned people. The intenstion was also to offer possibilities to each municipality, organization. or other stakeholders which want to implement the tools regardless of their personal or financial ressources. The aim of the project, namely raising awareness of the relation between mobility and residential costs as well as developing tools to inform and visualize, was thus achieved. Furthermore, the implementation process of the tools was part of the common work. Nevertheless, it becomes more and more important now to foster the target groups to use the tools. These tools are a good foundation to support smart cities and regions, but there still remain some unsolvable problems like for example unlogical decisions: individiuals and households which are bonded to areas or places, maybe due to their family, friends, or other social networks, will probably not choose another residential location just because it is more cost-efficient. Social aspects play an important role in this context; but, on the other hand, it can also just be an image of a special area which enhances the attractiveness to live there since the responsibles do not always decide in an altruistic way: Growing regions still have a better image than shrinking ones and this often leads to designations of new building zones in peripheral areas without a good accessibility to public infrastructure. In general, the long-term goal of the project is to make the topic “mobility and residential costs” a daily matter for (re-)planning of settlement structures. These aspects influence the quality and smartness of residential areas a lot and MORECO can help to assess these smart locations. 7 REFERENCES

VCÖ (Hrsg.): Mobilität 2020. Trends – Ziele – Visionen, Wissenschaft & Verkehr 3/2003, Vienna 2003. VCÖ (Hrsg.): Mobilität und Transport 2025+, VCÖ-Schriftenreihe “Mobilität mit Zukunft” 2/2013, Vienna 2013. CENTRE of Regional Science (SRF), Vienna, University of Technology: Smart cities – Ranking of European medium-sized cities, Vienna, 2007. HASLAUER, Eva; Prinz, Thomas; Schnürch, Dagmar: Frameworks of MOR€CO Tools for Planners and Mobility Actors, MORECO Project deliverable, Salzburg, 2012. CADUS, Sebastian: A Housing and Mobility Cost Calculator for the Province of Salzburg, Master Thesis at the Interfaculty Department of Geoinformatics Paris-Lodron University of Salzburg, Salzburg 2013.

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reviewed paper Assessment of BIM Potentials in Interdisciplinary Planning through Student Experiment and Practical Case Study Iva Kovacic, Lars Oberwinter, Christoph Achammer, Michael Filzmoser
(Assistant Prof. Dr. Iva Kovacic, Vienna University of Technology, Industrial Building and Interdisciplinary Planning, iva.kovacic@tuwien.ac.at) (DI Lars Oberwinter, Vienna University of Technology, Industrial Building and Interdisciplinary Planning, loberwinter@industriebau.tuwien.ac.at) (Univ. Prof. DI Christoph Achammer, Vienna University of Technology, Industrial Building and Interdisciplinary Planning, christoph.achammer@tuwien.ac.at) (Assistant Prof. Mag.rer.soc.oec. Michael Filzmoser, Vienna University of Technology, Institute for Management Sciences, michael.filzmoser@tuwien.ac.at)

1 ABSTRACT It is argued that Building Information Modelling technology bears significant potentials for enhancement of more integrated design and planning process, and further more for life cylce managament of built environmet. Through creation of a joint model, serving as common knowledge base for parttaking disciplines, the knowledge from the design pahse can easily be transferred into the operational phase. BIM offers a powerfull tool for monitoring, optimization and simulation of building operation, building as such a platform for data transfer and management necessary for the management and governance of the smart city. This paper will presens the results of the empirical research – a multidisciplinary student experiment carried out at the Vienna University of Technology, with the students of architecture, civil engineering and master of building science. In the course of the empirical research a multidisciplinary design for energy efficient building structure is simulated, using various BIM tools (for architectural and structural modelling and simulation, thermal and light simulation) and testing the interoperability as well as the process integration. The special focus lies on the test of interfaces, as crucial factor for process integration, satisfaction and efficiency, which was demonstrated in the pilot experiment. Two BIM models “one-platform-BIM” using proprietary interfaces and “open-BIM” using IFC interface will be evaluated and compared in terms of efficiency of data-exchange and transferability, as well as in terms of satisfaction with process and collaboration. Finally, the results obtained from the experiment will be compared to the experiences gained from the practical case study – BIM use in two planning firms – in order to identify optimization potentials for the planning practice as well as key performance indicators for integrated design supported by BIM tools. 2 INTRODUCTION

2.1 Why Building Information Modelling The AEC (archtecture, engineering, construction) industry is under growing presssure in terms of reduction of time and cost, and upkeeping of quality with simultaneous increased requirements in terms of energy and ressources efficiency. New tools are needed for increasing of process integration on the one side and for the successful life cycle management on the outher. BIM (Building information Modelling) Tools as emerging technology has been advocated to be able to meet all of the mentioned requirements. C. Eastman (1976), a BIM pioneer, introduced building modelling concept based on the notion of a database of building elements (building description system) in the seventies. The early technology has been developed in 1980, through introduction of ArchiCAD as the first BIM software, however the break through on the market was only possible in the new millenium, due to the maturing of ICT, which again enabled the data exchange between different toos (HVAC, RFM, cost calculation time sceduling – 5D BIM). Numerous BIM definitions are used by academics and practitioners, ranging from the view as software application, as a process for design and management of the building through out the lifecycle (Aranda-Mena et al, 2008), or as a whole new approach to the practice based on so called integrated project delivery (Prins and Owen, 2010). There is a joint agreement that successful BIM implementation is supported by technology (software, interfaces, data mangement), people, process and policy and carried out in several stages (Succar, 2009): pre-bim, modelling, collaboration and finally integration.

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Through integration of the multiple models of different parttaking disciplines and through capapility of visualization, simulation and management of the building through out the life cycle BIM is a promising tool to support life cycle oriented integrated planning. 2.2 Problem Statement BIM is experiencing much slower utilization by the AEC practice than the CAD at the time, especially in the Central European region. Even the Western European market is lagging behind the US market in BIM implementation – according to the McGraw Hill (2009) study, the BIM utilization in Western Europe is 36% where as in North America 48 %. The architects are identified as main BIM adopters. What are the possible reasons? One of them is the still highliy fragmented planning practice, lacking the integrative experience, which is a precondition to successful BIM implementation. Secondly the standards and policies are lacking, differently so in e.g. the United States (Penn State 2012, AIA 2014) or in the UK where BIM is obligartory in publc projects from 2016 (Kiviniemi, 2014). Further on, the investors are important driving force for BIM break through on the market – as long as IFC models are not required by the public investors such as it is the case in the Scandinavian countries (in Finland since 2007, in Norway since 2010) (Wong et al 2010) it cannot be expected that BIM use will be accelerated in the AEC market. 3 RESEARCH DESIGN

3.1 Research intention This paper presents the first results of the research project BIM_sustain, funded by FFG, carried out as cooperation of Vienna University of Technology and seven BIM software developers and consultants. Through the project the strategies for time- and cost-efficient BIM-supported planning should be developed, where by not only technology issues (software compatibility, data exchange and transfer, information losses) but also people (skills, knowledge) and process (organization of work-flow, model building, coordination, change management) should be assessed, and finally serve as basis for policy making and standardization on national level. The cooperation with the industry enables immediate compilation of customized software solutions and improvement of the tools after identification of the deficits through research. In order to identify potentials and deficites of BIM in interdisciplinary building design, we organized a student experiment. We simulated a BIM supported integrated design of energy efficient structure in interdisciplinary teams consisting of architecture-, structural engineering- and building science students. The teams worked with different software constellations, two teams in so called one-platform BIM using proprietary interfaces, the other 10 teams in open-platform BIM, using IFC interface. We analysed the people-process-technology triangle, testing process- and software satisfaction (people), efficiency and workflow organization efforts (process), respectevly software compatibility and data exchange (technology). The simulation thereby enabled quantitative (time sheets, activity protocols, inquiry) and qualitative (focus group interwievs) assessment of the BIM supported planning. In the next step we analysed the BIM use in two large general planners’ offices (both comprising the architectural, structural and HVAC modelling); where one of the offices works with open BIM and the other in one-platform BIM environment. The analysis was carried via open-ended interviews with BIM managers and responsible planners, and the results were compared with the data we obtained from the experiment. 3.2 Student experiment Through explorative research - an experiment with the students of architecture, structural engineering and master of building science in the framework of the BIM-Sustain research project - we simulated different a collaborative, interdisciplinary design for sustainable building of complex geometry. Thereby an architectural, structural and thermal model should be compiled and optimized by the student teams using various BIM tools. In the winter semester 2012/13 the first experiment was organized serving as pilot, and in the winter semester of 2013/14 the subsequent experiment has taken place. The experience gained through the pilot experiment especially related to the team building, modelling and model exchange, and software combinations was used for the improvement of the following experiment. In this paper we will present the results of the first experiment, and compare these to the BIM perception in the AEC practice.
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In the pilot experiment 40 students took part, forming 11 teams. Each team was using different set up of software combinations for architectural, structural and ventilation modelling, structural calculation, dimensioning of ventilation and thermal simulation, thereby testing the software and the interdisciplinary data exchange (Table 1). Special emphasis was on the assessment of the benefits of one-platform BIM (teams 1 and 2) versus the open-platform BIM combinations (teams 3-11). Through the analysis of the primary BIM data and related process documentation we were able to identify the heterogeneous problems of BIM supported planning.
Team Architecture CAD 1 2 3 4 5 6 7 8 9 10 11 Allplan Revit ArchiCAD ArchiCAD Revit ArchiCAD Allplan Revit ArchiCAD ArchiCAD ArchiCAD Structural Engineering CAD Allplan Revit Tekla Allplan Allplan Allplan Tekla Tekla Revit Allplan, Tekla Tekla FEM Scia Engineer Sofistik Dlubal RFEM Dlubal RFEM Scia Engineer Dlubal RFEM Sofistik Scia Engineer Dlubal RFEM Dlubal RFEM Sofistik HVAC (Ventilation) (Simulation in TAS) CAD Allplan Revit Plancal Plancal Plancal Revit Revit Allplan Plancal Revit Revit Calculation Allplan Plancal Plancal Plancal Plancal Plancal Plancal Allplan Plancal Plancal Plancal

Table 1: Teams and software combinations used in experiment

Through so called fault-tree analysis the data flow diagrams were compiled for each group, describing data transfer and software compatibility issues. The fault-tree analysis shows, that transfer to the building physis software (EDSL TAS, Dialux, Archyphysik) is equally difficult in one-platform as in open-platform BIM, resulting with numerous problems, due to the fact that most of the software does not support IFC interface, but the proprietary interfaces, e.g. Gbxml. Reported problems: roomstamp does not work, software crashes at import, walls are not recognised correctly, blinds are missing, building elements not recognised, missing elements, windows not imported, result with remodelling or complete new modelling in the building physics software. (Fig.1, Fig.2). In terms of model transfer for structural engineering the one-platform BIM (via proprietary interface) teams report less difficulties, however even here problems appear with complex geometry (round walls) and creation of simplified architectural model is necessary. The transfer-analysis in HVAC modelling displays as general problem in data transfer via IFC that room stamps are not recognised, or interpreted wrongly.

Fig. 1: Fault tree analysis for data transfer to structural engineering and building physics software for Team 2 (one-platform BIM)

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Fig. 2: Fault tree analysis for data transfer to structural engineering and building physics software for Team 5 (open-platform BIM)

For the detailed process-analysis the time sheets were used for the analysis of activities and related timeefforts. This allows drawing the conscusions on the workflows and efficiency of the planning process as well as the identification of the problems. Next to the inquiries for the evaluation of the satisfaction with the software and the planning process, the focus group interviews were conducted for the tree functional groups of architects, structural engineers and building scientists. The content analysis allows the identification of the concrete problems of the each discipline in the context of interdisciplinary cooperation and in the nexts step the compilation of best practices for the improvement of the planning processes.

Fig. 3: Results of the inquiry for the technology aspects

Fig. 4: Results of the inquiry for the people aspects

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Iva Kovacic, Lars Oberwinter, Christoph Achammer, Michael Filzmoser

Focus group analysis shows that the topic of interoperability and content related discussions dominate the focus groups, the early cooperation (team, organization and software) are seen as positive for future work, which implies on necessity of a teaming workshop for the future experiment (or planing practice). Positive experiences outnumber the negative ones, especially with the successive disciplines (structural engineering, HVAC). The stress and time pressure in the latter planning phases require for better time management, which can be met by more careful design of the planning process, through definition of workpackages and milestones. The inquiries show that interoperability is of great importance for structural engineers and building scientists in the interdisciplinary team, but is seen as very problematic. They are also satisfied with the process and result, where as the architects are less satisfied with the cooperation. (Fig. 3, Fig. 4). 3.3 Case Study – BIM in the planning practice In order to verifiy the data obtained through the student experiment, we conducted a research of the BIM-use in the planning practice on the cases of two large firms, which both pioneered BIM on the market (early users). Via open ended interviews with BIM managers and responsible planners, following issues were questioned: 1. Which software do you use in the office for: Architectural design, Structural Modelling, Sturctural Modelling/Calculation, Building Physics, Cost Estimation Simulation/Calculation, HVAC

2. Describe the BIM work-flow in your firm - for which constellations you use 3D data transfer, for which other (2D, lists)? How does the information flow back in the originary model? 3. Where are you experiencing the largest data losses? How do you solve this problem? 4. Where do you see the largest improvement potentials? 5. Can you clearly identify the benefits of BIM in your company? 3.3.1 Case A

Case A is an integrated building design and planning firm, counting to the largest in Europe, using BIM since 2008, comprising architecture, structural and HVAC engineering, construction mangement however no building physics.The services range from the programming, architectural competition till project turnover, including architectural, structural and HVAC building design, planning and management (cost planning and management, site management). The firms’ focus is on collaborative integrated design involving architectural, structural and HVAC design. The firm employs app. 500 engineers and architects and is located at several locations across Europe, distributing the work along locations. The firm works in oneplatform BIM using Revit for architectural, structural and HVAC modelling. Interviewed were BIM manager and BIM responsible planner (Table 2). The company works in one-platform BIM (Revit) employing Revit Architecture, Revit Structure via proprietary interface in Dlubal REFEM or RSTAB for calculation, Revit MEP with PlugIn Magi Cad with all of the object libraries for HVAC modelling, Solar and Gebis for Ventilation calculation 5D BIM (cost planning and scheduling) is carried out via ITwo and RIB, by automated calculation through extraction of masses, interfaces for bidding procedure are still in development. Quality control is carried out using Solibri check for clash detection, check of loadbearing elements, using IFC interface. The firm does not employ BIM assesment management tools or instruments. 3.3.2 CASE B Case B is a general planer, offering full scope of services from construction planning till project turnover; structural engineering, HVAC, building physics, fire protection; construction management, cost planning and management. The firms’ focus is on engineering services and construction management, less on architectural design. The firm employs app. 180 mainly engineers and some architects, consisting of the headquater and two futher smaller locations, also using joint ICT infrastructure and joint project set up. The firm is using BIM since 2011, as open-BIM, which allows working in heterogenous software environment allowing data exchange among specific tools of each discipline.

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Interviewed was BIM manager, who was responsible for BIM introduction, implementation and setting of firm’s standards (Table 3).
Interviewees Categories DATA LOSSES BIM Manager The largest data losses towards building physics, since these do not read IFC. Further dataloses are experienced towerds all firms out of the house – construction companies etc. A benefits is better integration, everybody needs to communicate with each other, less clashes (Solibri), finally possibility for quality management, BIM Planner It is simplier in the house – all use the same model, more difficult out of the house – problems with construction companies the interfaces do not work, data loss. Time-reduction in project-execution, some projects would not be possible without BIM, due to the time pressure. Design phase is faster. Calculation of structure is faster due to the premodelled structure from architectural model. Benefits for subsequent planners – e.g indusrial planner can use the digital building model and for the positioning of 3d machines, which before BIM was not possible. Quantitative assesment is difficult. Satisfaction – the education is important, easier handling increases satisfaction Largest amount of time is used for the decision making, which cannot be taken over by Revit Definition of the level of deatiling –a lot of effort was put in to too high level of detailing for design model Life cycle management : BIM as built who should update the planning stage BIm model? Data exchange across locations does not work well, technical problems with central model Inhouse: bi directional BIM; out of the house one way BIM

BENEFITS

IMPROVEMENT POTENTIALS

Improvement is necessary towards building physics; it takes huge effort to remodel when data is transferred. There is still a break between competition and architectural planning (competitions are not modelled in Revit).

Table 2: Categorised statements Case A
Interviewee Categories DATA LOSSES BENEFITS BIM Manager Greatest data losses are experienced in the REFM transfer (structural simulation). The greates advantage is the workflow systematization as well as the automatised project set up, which substantially contribute to the improvement of collaboration and data exchange. Very difficult to asses quantitative BIM benefits – every project is different, how to compare? The highest improvement potentials can be identified in data exchange between building model and building physics, since these do not work with IFC. Still dificult is to generate usable 2D drawings from digital modells, that would go along with e.g. ÖNORM standard.

IMPROVEMENT POTENTIALS

Table 3: Categorised statements Case B

The firm is using a wide spread of different software. Building modelling is carried out in ArchiCad (as originary model), structural modelling in Allplan, calculation in Scia and Tower; HVAC modelling as well as the calculation in Cats (Autocad Plugin), cost planning uses BIM modell for automatised mass and volume extraction for customised xls-based calculation, building physics is using Archphysik, TAS (which is de-coupled from the BIM process) and Dialux. All of the models are coupled in one joint project-set up in Navisworks or Tekla BIMsight, which carries out collision proof and quality management, directly adressing the affected planners via mail. Basis for this procedere is the standardised structure for all projects and all disciplines, using the same project set up. The advantage of such set up is, that every user is working in the existing, already known software environment, however in structured way, which enables data transfer and exchange.

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Iva Kovacic, Lars Oberwinter, Christoph Achammer, Michael Filzmoser

From the originary Archicad model both 3D and 2D data is transferred to the structural engineering and HVAC; bidirectional exchange is given between structural model and ventilation model into the originary model. The firm does not employ BIM assesment management tools or instruments. 4 CONCLUSION The examined cases, seen in the context of one-platform BIM versus open-platform BIM show similarities in identifed benefits and deficites. In both cases the improvement of data exchange towards building physics tools is seen as the most important issue. Both cases see as largest BIM-benefit the enhancement of integration and collaboration. Both cases identify the necessity of standardization and policy (level of detailing, modelling normative or standard). The cases confirm the experiment findings, where the transfer towards the building physics software (thermal simulation, daylight simulation) was burdened with numeous problems. Further implication from both experiment and cases, is the necessity for thorough work-flow and process organization - more intensive than in 2D CAD design and planning - in order to gain full BIM benefits. The experiment and case study could not identify significant advantages in terms of data transfer efficiency of one platform BIM over open-platform BIM. In the experiment, the teams 1 and 2 must employ other BIM software as intermediate step or use Gbxml interfaces to transfer data to thermal simulation software, both cases resulting with data transfer losses, team 1 even experiences problems in the ransfer of structural data using proprietary interface in own family. The case A, despite working in one-platform environment, uses IFC for quality control via Solibri, and leaves thereby the Revit platform. The BIM manager of the case A even sees a necessity for the building physisc software to support IFC interface, as the universal interface enabling standardized data exchange. It is questionable if the one-platform BIM as closed system is a viable concept in the practice - as soon as additional consultants or companies are parttaking in the project, a standard must be met to be able to exchange the data bi-directionally, which again is the strenght of open-BIM concepts which allow for infinite expansion and data exchange in the planners network. The research implies that a thorough analysis of firms’ demands, workflows and working procedures is needed as the first step in BIM implementation. Customized solutions for each firm, based on careful design of workflows and communication, generation of joint data-structures and project-set up play crucial role for sucessful implementation. There is no ideal solution (one-platform or open-platform) or out of box solution. None of the cases is employing a measurement methodology or assesment procedure in order to evaluate BIM benefits or perform benchmarking, which is a wide spread and recognised problem (Barlish and Sullivan, 2012, Bercerik-Gerber and Rice 2010). Therefore, is still difficult to quantitatively determine the business value of BIM, especially in the Central Europan region where the experience with BIM in interdisciplinary planning is limited. In the next step, a metrics system for measurement of BIM benefits and strategies for stage-wise BIM implementation suitable for Austrian market should be developed. 5 ACKNOWLEDGEMENTS This paper is a result of an on-going research project “BIM-Sustain” funded by FFG (Austrian Research Funding Agency) and following BIM-software vendors: A-Null, Artaker, b.i.m.m. Gasteiger, Construsoft Tekla, Dlubal REFM, Nemetschek Allplan and Plancal. We gratefully acknowledge the work of the academic partners: Institute for Management Sciences, Prof. S. Köszegi and Institute for Building Physics and Ecology, Prof. A Mahdavi, L. Skoruppa and K. Kiesel, and to the students taking part in this project of Vienna University of Technology. 6 REFERENCES

AIA: AIA Digital Practice Guide and Samples, http://www.aia.org/contractdocs/AIAB095713, last access Feb. 2014 ARENDA-MENA G., CRAWFORD J., CHEVEZ A., FROESE T.: Building information modelling demystified: does it make business sense to adopt BIM? CIBW78. 2008 International Conference on Information Technology in Construction Santiago. Chile. 2008. BARLISH K., SULLIVAN K.: How to measure the benefits of BIM — A case study approach. In: Automation in Construction, Issue 24 (2012). pp. 149–159. 2012.

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Assessment of BIM Potentials in Interdisciplinary Planning through Student Experiment and Practical Case Study BERCERIK-GERBER B., RICE S.: The perceived value of Building Information Modelling in the U.S. Building Industry. In: Journal of Information Technology in Construction. ISSN 1874–4753, at http://www.itcon.org/2010/15. 2010. EASTMANN, C.: General purpose building description systems. In: Computer-Aided DesignVolume 8, Issue 1, pp. 17–26. 1976. KIVINIEMI A.: Challenges and Opportunities of BIM in Life Cycle Assesment. In: BIM for LCS, Achammer C., Kovacic I. (ed.), NWV Wien.2014 McGRAW HILL. The business value of BIM: getting to the bottom line. Retrieved from: http://www.bim.construction.com/research/2009. 2009 PENN STATE Computer Integrated Construction Research Program: BIM Planning Guide for Facility Owners, Version 1.01, May, The Pennsylvania State University, University Park, PA, USA. http://bim.psu.edu, 2012 PRINS M., OWEN R. Integrated Design and Delivery Solutions. In: Architectural Engineering and Design Management. 6(4), 227– 231, 2010. SUCCAR B. Building information modeling framework: a research and delivery foundation for industry stakeholders. In: Automation in Construction 18 (2009) 357–375.2009. WONG A., WONG F., NADEEM A.: Attributes of Building Information Modelling Implementations in Various Countries. In: Architecural Enginnering and Design Management, Integrated Design and Delivery Solutions. Vol. 6, Issue 4, pp.288302. 2010.

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reviewed paper Automated Urban Management Processes: Integrating a Graphical Editor for Modular DomainSpecific Languages into a 3D GIS Michel Krämer, Andreas Stein
(Michel Krämer, Fraunhofer Institute for Computer Graphics IGD, Fraunhoferstraße 5, 64283 Darmstadt, Germany, michel.kraemer@igd.fraunhofer.de) (Andreas Stein, Fraunhofer Institute for Computer Graphics IGD, Fraunhoferstraße 5, 64283 Darmstadt, Germany, andreas.stein@igd.fraunhofer.de)

1 ABSTRACT In this paper we present the results of integrating a graphical editor for geospatial processing workflows into a 3D GIS. We use modular domain-specific languages (DSLs) that are tailored to specific application domains. The vocabulary consists of so-called recipes that are grouped into cookbooks representing the language for a certain application domain. Recipes can be reused in multiple cookbooks. This approach allows for a good usability as the user quickly becomes familiar with the domain-specific languages by recognizing common recipes. In this paper we also describe guidelines for choosing the right granularity for recipes which allows for complex rules while using simplest possible recipes. We also describe a workflow for domain-specific language design based on ontologies to identify the correct domain vocabulary. Our approach can be used to automate processing of geospatial datasets in the area of urban planning. To evaluate our approach we use the implemented graphical rule editor in a practical scenario and present it to a user group from the urbanAPI project. 2 INTRODUCTION Geospatial data is used in a wide range of applications. One of them is urban planning where spatial data is used for urban assessment or simulation of planning decisions as well as environmental and disaster management, etc. These applications often require the domain expert to integrate or harmonize data, to process it in order to derive new information, to use it as input for simulation algorithms, and finally, to visualize data in order to assess the results. Today these steps are mostly performed manually using standard GIS software. This can be quite tedious, especially if the planning scenario is complex and is subject to discussion—be it amongst urban planners and municipal decision makers or even in public. Discussion is inevitable in urban planning and of course a useful instrument to improve urban development. However, expectations of stakeholders often change through discussion. If this happens constantly, urban planners will likely have to process all the spatial data again and again. If they have to do that manually, new iterations will be rather lengthy and presumably expensive. Automated processes can help alleviate this problem. Today, the amount of spatial data to be analysed and processed grows continuously. For example, modern satellite imagery produces more data per day than it produced during several months a few years ago. There is a growing need to analyse this information for applications such as urban planning. For example, satellite images showing development over several years can be used to estimate or simulate urban growth. Searching LIDAR data for special geological formations can not only help assess areas for urban development but also recognise environmental risks such as landslides. The larger the data to analyse becomes, the more the domain expert depends on automated processes. One way to automate processes in today’s GIS software is to use scripts written in a general purpose language—for example Visual Basic or Python as seen in the proprietary software solution ESRI ArcGIS. On the other hand there are some products such as Safe Software FME Desktop that try to ease the process definition by using graphical elements such as diagrams or graphical workflow representations. However, in recent years another approach—which is actually well-known for quite some time in computer science—has become more and more prominent. In order to allow users with non-IT background to specify complex configurations, rules and workflows, so-called domain-specific languages (DSLs) are used. Such languages have a limited vocabulary that is tailored to specific application domains or even single use cases. DSLs allow the domain experts to express problems in their own words, in fact to program complex workflows without the need for a background in computer science or a deep understanding of programming. To summarize, for urban planning large amounts of data have to be processed over and over again. Current automation solutions use general purpose languages or other graphical representations that are quite complex, probably hard to understand for non-IT personnel and hence error-prone. Domain-specific
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languages can help reduce the complexity of a specific problem to an application domain that is well-known to the user—i.e. the domain expert. In this paper we present the results of integrating a graphical editor for domain-specific languages into an existing 3D GIS. We use chainable production rules to allow the user to create sequential workflows. We describe the basic grammar for our languages and the UI elements we implemented. Finally, we evaluate if our solution can be used reasonably in a selected scenario. 3 STATE OF THE ART Domain-specific languages (DSLs) are languages with the following properties: • • • They are tailored to a specific application domain or even to a single use case; The language’s vocabulary contains words well known to the domain expert; The language’s expressiveness is rather limited.

The latter means the language cannot be used for general purpose—that’s why it is indeed called a domainspecific language—but instead it is a lot easier to understand and to use for non-IT personnel. In computer science, domain-specific languages have been used for quite some time already. In the IETF protocol specifications, for example, DSLs are very often used to facilitate interoperability because they avoid machine-dependent minutiae such as encoding issues. Apart from that, in the UNIX operating system you can very often find DSLs in configuration files. For example, the Apache HTTP server configuration files are written in a special language using words from the domain of web server configuration—e.g. RewriteRule, Redirect, Proxy, etc. Furthermore, DSLs are also used in database management systems. SQL, for example, is in fact a domain-specific language. DSLs can be created in various ways. Martin Fowler gives a comprehensive overview over domain-specific language design (Fowler, 2010). He differentiates between internal DSLs and external ones. Internal DSLs are embedded into a host language, most often a general purpose language. External ones have their own custom syntax and grammar. Modern dynamic languages such as Groovy or Ruby allow developers to create internal DSLs very easily. In Groovy you can even alter the language’s syntax by building and traversing arbitrary abstract syntax trees (ASTs) with compiler plugins. Static languages often do not provide such means, but Scala, for example, is known to have been used already for a lot of internal DSLs. For example, Lee et al. developed the Delite Compiler Framework which uses a DSL embedded into Scala (Lee et al., 2011). Delite can be used to execute parallelized code on multiple platforms. The DSL abstracts the code from the actual platform it is executed on. Lee et al. use a technique called language virtualization (Chafi et al., 2010) which allows them to reuse existing Scala compiler components such as lexer, parser and type checker. Apart from that, you can also find embedded DSLs in Java. Albeit being restricted by the host language’s syntax so-called fluent interfaces have been widely adopted. Fluent interfaces are often referred to as being internal DSLs. Compared to internal DSLs, external ones are not restricted by the host language. With the right tool, the language designer is able to do almost anything. Just like general purpose languages, external DSLs are typically created using language recognition tools such as Lex/Yacc or ANTLR, but they can also be created with sophisticated language workbenches such as Xtext. Graphical DSLs use visual elements. They can be found in areas such business process modelling. For example, BPEL (Business process execution language) and XPDL (XML process definition language) are domain-specific languages defining the execution semantics of business processes. The MIT App Inventor is a tool that allows developers to create Apps for the Android operating system using graphical programming elements. However, App Inventor tries to mimic a general purpose language and therefore goes beyond the scope of typical a DSL. There are existing tools containing a graphical editor that can be used to specify geospatial operations. For example, with ESRI’s ArcGIS ModelBuilder (which is part of the ESRI’s ArcGIS Spatial Analyst) users can perform operations such as classification or colourisation on data that matches given criteria. The ArcGIS ModelBuilder is targeted to geospatial applications and therefore only contains operations needed in this domain. This includes spatial indexes (and operations such as “near” or “inside”) as well as geometrical operations (such as building buffer polygons). The tool supports 2D data and 2,5D raster data, but lacks support for higher dimensions. 3D city models are nowadays an integral part of the urban planning process.

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Michel Krämer, Andreas Stein

Such kind of data cannot be processed with the ArcGIS ModelBuilder. The approach presented in this paper, however, can be applied to 3D data. The use of domain-specific languages in the area of urban planning is rather novel. In one of our previous papers we present a first approach of performing urban policy modelling and making with the help of ICT enabled tools, in particular domain-specific languages (Krämer et al., 2013). We use DSLs to define policy models that can be used during the planning phase, and also for automated evaluation of policy implementations later on. Compared to the approach in this paper, we use textual DSLs—instead of graphical ones—to define the policy model which makes it very readable and easy to understand for domain experts (i.e. urban planners). In order to specify automated workflows, however, we suggest using graphical DSLs consisting of simple conditions and processing steps tailored to the urban planning application domain. With the graphical editor presented in this paper, specifying a workflow is a matter of selecting the right conditional blocks and actions, putting them in the correct order and specifying some parameters if necessary. 4 LANGUAGE SPECIFICATION In our implementation geospatial processes are described using so-called production rules. They consist of two parts (cf. figure 1): • The condition (or left-hand side) selects objects from the dataset. In our case, we essentially use a chain of filters here that is applied to the whole dataset. Objects that pass the filter chain will be selected. The rule’s consequence (or action, or right-hand side) specifies what should be done with the selected objects. In our implementation you can use various pre-defined actions for data manipulation.

•

Production rules are event-based and can be chained. Executing a rule may alter the dataset. This might let the condition of another rule become true which will then be executed as well. This process is typically called forward chaining. It is an integral part of production rule systems which allows the user to create complex processing workflows.

Fig. 1: A production rule consists of a condition (left-hand side) and an action (right-hand side), both containing recipes (here symbolized with ‘R’). If the condition evaluates to true, the action will be executed.

In our implementation, rules are specified with pre-defined, reusable components that we call recipes. To improve usability we implemented so-called cookbooks which group recipes by the application they are used in. For example, our rule editor provides a number or recipes to assess data quality. All of them are kept in a cookbook called ‘Quality Assurance’. Basically, cookbooks represent different domain-specific languages. The ‘Quality Assurance’ cookbook, for example, represents the language that contains the vocabulary of the ‘quality assurance domain’ (cf. figure 2). Most of the recipes in this cookbook use terms specific to this domain, others are rather generic and can be reused in various domains. They are hence assigned to multiple cookbooks. This allows for a good usability as the user quickly becomes familiar with the individual domainspecific language vocabulary by recognizing common recipes.

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Fig. 2: Recipes (conditions and actions) are grouped into application-specific cookbooks. In this case, there is a cookbook containing recipes related to quality assurance and another one containing recipes for urban planning.

The recipes that can be used in a rule’s condition are functional filters without side-effects. This allows them to be used in arbitrary order. The recipes on the rule’s right-hand side are imperative actions that must be executed in the order specified since one recipe might depend on the results of another. In order to achieve good usability we designed our rule editor as follows: • • The recipes are intended to be self-explanatory for the domain experts. They use domain vocabulary and they do not expose too many technical details to the user. The rule editor detects conflicting input and therefore helps users to create correct rules. For example, the rule editor disallows the user to append a recipe to a rule’s right-hand side if there is already a recipe that deletes the selected data. Any other recipe would be useless after that. We have defined guidelines for granularity (see section 5) in order to enable complex rules while using simplest possible recipes.

•

Some of the recipes require additional information from the user. Hence the recipes can have parameters. For example, there is an action to extrude a plane from 2D to 3D which needs the user to specify the height. Our rule editor provides forms for the recipe parameters. 5 GRANULARITY In order to achieve a good usability we took special care to create recipes that are as simple as possible but at the same time as powerful as needed, so rules will be understandable for the domain expert and not too large (i.e. powerful). Condition recipes and action recipes should be categorized as follows: • • • Location. Recipes from this category operate on the location of objects in the dataset. For example, the data source (web service, file, etc.), the layer the object is assigned to, and so on. Property. This category contains recipes that operate on object attributes such as colour, texture, metadata, level of detail (LOD), object type, etc. Geospatial. Recipes from this category are related to geospatial properties of objects in the dataset. For example, height, width and depth of an object, geospatial coordinates, etc.

Each recipe can only be assigned to one category. That means condition recipes cannot filter for properties from more than one category. Action recipes should also only alter properties from one category. For example, it would be violating to create a recipe called ‘Colourise and move’ which at the same time changes an object’s colour and its geospatial coordinates. A better solution would be to create two separate recipes. In addition to the described categories the actions are divided into three types: add, update and delete. An action recipe which adds an object to a layer is in the ‘location’ category and is of type ‘add’. The three types are similar to CRUD (create, read, update, delete; known from database management systems) and are used to visually differentiate the recipes in the user interface.

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Fig. 3: UML class diagram of the implemented recipe model. Categories help developers to separate concerns and therefore to find the right granularity for new recipes.

6 LANGUAGE MODELLING BASED ON ONTOLOGIES A domain ontology is a set of concepts (things that exist in that domain), their classification, relations, and terminology/taxonomy (i.e. the words used in the domain to describe the concepts). The definition of a formal ontology is considered an essential step for domain-specific language design or even for any software project (Gašević, 2006). In this work we aim for creating domain-specific languages that use terms from the user’s domain. Ontology building is used in the area of semantic web to identify concepts and relations from a given application domain (Nicola, Missikoff, & Navigli, 2009). Ontologies can be useful for the definition of domain-specific languages where they act as the basis from which the taxonomy, vocabulary, and parts of the grammar are derived. Note that in our approach, ontologies are only used for this specific purpose. We do not need them anymore after we defined the domain-specific language. They are just one step in our modelling process. In order to create a domain-specific language we suggest the following workflow: (1) Analyse the application domain. (2) Create scenarios/storyboards. (3) Analyse storyboards and look for subjects and objects. Create an ontology and use the subjects and objects as concepts. (4) Look for verbs. Use them in the ontology as relations to connect subjects and objects. Free verbs that are not related to concepts become actions in your language. (5) Build sample DSL scripts that use the created ontology and the free verbs. (6) Review and reiterate if needed. It is crucial that language modelling is performed in strong collaboration with domain users, so the final language contains the vocabulary that is actually used in the targeted domain and can in fact be understood by the domain experts. In the following example use case a workshop was held where we designed domain ontologies and a domain-specific language on the whiteboard together with the users. 7 EXAMPLE USE CASE In this section we are going to discuss a use case from the research project “urbanAPI” which is funded from the 7th Framework Program of the European Commission. One of the project’s consortium partners is Vitoria-Gasteiz, the capital city of the Basque Country and of the province of Álava in northern Spain. Vitoria-Gasteiz is the European Green Capital of 2012. A network of public zones, green spaces, parks, and boulevards extends over the entire city. It is surrounded by the Green Belt, a narrow semi-natural green area

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which plays an important role in improving citizens’ health and quality of life, as well as raising general environmental awareness throughout the public. The municipality plans to extend urban green areas and, in particular, to implement an Interior Green Belt that encompasses the city’s inner core. For this, parts of the city need to be restructured. For example, the Avenida Gasteiz—one of the main traffic routes—will be refurbished by adding grass, trees and plants. Of course, such a construction project has a high impact on public life. The municipality tries to raise awareness of this project within the public by providing 3D visualisations showing the planned restructurings of the Avenida Gasteiz. In order to create a 3D visualization the city of Vitoria-Gasteiz needs a 3D city model. They can provide at least two datasets that can be used as a basis to generate such a model: a digital terrain model (DTM) and a dataset containing 2D building footprints from the cadastre. The latter includes various attributes that are useful for this use case. The attribute ‘NumberOfFloors’, for example, can be used to approximate a building’s height by multiplying it by an average floor height of 3 meters. The municipality wants to build up an automated process that ensures the city model is updated whenever the base datasets have changed. In order to create a domain-specific language that can be used to describe such an automated workflow we have to perform an ontology analysis as described in section 6. One of the first steps is to create a storyboard for this workflow, which—written from the perspective of the domain expert—can be summarized as follows: “As an urban planner I want to automatically create a 3D city model. As base data I want to use two layers, a digital terrain model (DTM) and a dataset containing 2D building footprints. For each building in the city I know its number of floors from the building footprints dataset. In order to create a 3D representation of a building, I copy its footprint polygon and put it on the DTM. Then I extrude it by the number of the building floors multiplied by 3 meters. I add the extruded footprint to the 3D city model, but only if a respective building does not already exist there.” By analysing the storyboard and looking for subjects, objects, and verbs that act as concepts and relations respectively, we can create an ontology that contains the domain vocabulary needed for this workflow. Figure 4 depicts this ontology. Note that in this paper we only focus on one workflow. The Vitoria-Gasteiz use case is much larger, and so is the final ontology. Figure 4 only depicts a small part of that, in particular the concepts and relations needed to understand the example.

Fig. 4: Domain ontology derived from the example storyboard. Note that the complete Vitoria-Gasteiz use case is larger than the example use case presented here and that this ontology is just an excerpt from the complete one.

There are some free verbs such as ‘copy’ or ‘extrude’ that do not appear in the ontology. They are translated to actions in our domain-specific language directly. The recipes that make up our example DSL are summarized below. They are based on the ontology and the guidelines described in sections 4 and 5 dealing with usability and granularity. Note again that in this paper we can just present a part of the complete Vitoria-Gasteiz use case, and the recipes presented below are just the ones needed to perform this specific workflow.

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Conditions Is in layer This recipe is for filtering layers. You can specify a layer here and only objects inside this layer will be selected. In this scenario there are two layers, one for the terrain (DTM) and one for the footprints. We use this recipe to select only footprints. Does not exist in You can specify a layer and this filter skips all objects which are already part of this layer. With this recipe we can avoid extruding already processed footprints again. Actions Copy This recipe creates a copy of all selected objects, so original ones will not be affected by any of the following action recipes. The copies will be selected while the original objects will be unselected. The Copy recipe is a simple way to back up the original data, in this case the original footprints. Put on DTM With this recipe you can lift or lower objects to the height of a digital terrain model. It requires no parameters, because it takes the terrain model below or above the object. Extrude This recipe extrudes a 2D footprint polygon with two parameters: the amount of floors obtained from the footprints metadata—i.e. the attribute ‘NumberOfFloors’—and the height for a single floor. For example, a footprint with 3 floors and 2.5 meters per floor would be extruded to a height of 7.5 meters. Move into layer This recipe moves all selected objects to a specified layer. This recipe is very useful in combination with the copy recipe in this scenario (see rule #1 below). 7.1 Rules The rules that need to be created for this workflow are as follows (in the order of execution; each rule’s condition and action are separated by an arrow ‘→’): 7.1.1 Rule #1

Is in layer → Copy; Move into layer The 2D footprints selected with the condition recipe ‘Is in layer’ are copied and moved into a new layer. After executing this rule there are three layers: the original footprints, the copied footprints and the DTM. 7.1.2 Rule #2 Is in layer → Put on DTM; Extrude This rule takes the footprints from the copied layer, lifts them to the height of the DTM at the respective geospatial location and then extrudes them as described above. These rules can be executed to initially create a city model. Later, new footprints can be added. The following additional rule can then be executed repeatedly to keep the city model up-to-date. It affects the dataset similar to the second rule but ignores already extruded footprints. 7.1.3 Rule #3

Is in layer; Does not exist in → Put on DTM; Extrude The recipe ‘Is in layer’ selects the original layer of footprints. The ‘Does not exist in’ filter avoids multiple objects in the layer of already extruded footprints (i.e. the city model). Therefore no 3D building will exist multiple times in the final layer. The actions are exactly the same as in rule #2.

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8 INTEGRATION INTO A 3D GIS The CityServer3D1 is a client-server system for the storage, visualisation, and processing of spatial data. Geo information from different sources is integrated into an object-relational database and placed in the web at the disposal of different clients. The CityServer3D is most often used for managing 3D city models in the urban management and planning domain. The CityServer3D AdminTool is a desktop application providing features, such as importing and exporting spatial data into the local workspace or into the CityServer3D database. The tool also offers features for data editing, 3D visualization and quality assurance. The user interface of the AdminTool can be customized with different views, depending on the customer’s requirements. The most used and most important views are the explorer view for an hierarchic overview of the loaded spatial data, the 3D view for visualization and the 2D view for orientation (see figure 5 from left to right). In addition there are pre-built perspectives representing the various views in different alignments. We integrated the graphical editor in the so-called ‘project perspective’ (see figure 6). This perspective allows users to create several projects to integrate data sources and to apply automated, geospatial processes to them.

Fig. 5: The CityServer3D AdminTool consists of a data explorer, a 3D visualization and a 2D map (from left to right).

Fig. 6: The CityServer3D AdminTool’s project perspective
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The report view (on the bottom of figure 6) is used for feedback while executing a rule. If an object could not be changed or filtered by the rule for any reason, a report will appear in this view with a feedback message and a link to the said object. The project view (on the left of figure 6) offers the possibility to link specific data sources and grant an overview of all created rules. The graphical editor itself is subdivided in three parts (see figure 7). The tool bar on the left side contains all recipes available in the selected cookbook. The brown recipes are conditions. They filter objects by different criteria—e.g. appearance, location, size or metadata. The other recipes are actions and differ by their function. Blue recipes are for editing, green ones are for creating and red ones are for deleting data. The action recipes are placed on the lower right side of the editor.

Fig. 7: The user interface of the graphical rule editor

9 EVALUATION In order to evaluate the usefulness of our implementation a workshop with urban planners from the user community of the urbanAPI project was held. We presented the graphical rule editor and asked participants to design their own workflows with it. We then provided a questionnaire where we asked them to evaluate the rule editor. From a technical perspective, the evaluation shows that our implementation helps users automate processes and that it is relatively easy to use. They understood its functionalities and purpose and were able to use it to design selected workflows. However, at the current state the editor only provides a small set of recipes that are targeted to use cases in urbanAPI specifically. Due to that, the editor is not yet flexible enough to be used in more advanced scenarios. Consequently, one of the next steps will be to implement more recipes that target a wider range of geospatial/urban use cases. Additionally, users pointed out that there has to be some introductory material for the rule editor in order to make it easier for new users to understand its concepts and functionality. In the future we will create tutorials that will guide the user through a simple example in order to make them familiar with the rule editor. Finally, the usability of the individual recipes can be further improved by implementing additional features such as greater/less comparison for metadata, selection of extents out of a 2D map, etc. 10 CONCLUSION In this paper we presented the results of integrating a graphical editor for domain-specific languages into a 3D GIS. We described language elements and how we categorized them into recipes and cookbooks. Recipes are language constructs that can be used in various applications. In order to achieve good usability, we

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grouped these recipes into cookbooks which actually represent the vocabulary tailored to specific application domains or use cases. In order to allow the user to specify complex workflows we used production rules that can be chained. Geospatial processing can be rather complex and time consuming, especially if the same process has to be performed over and over again. We think that production rules can help alleviate this problem. However, typically rule-based systems are quite generic and very flexible. This makes them hard to use for domain experts with no background in computer science. We expect domain-specific languages to help domain experts to express geospatial processes in their own words. This makes specifying workflows easier, especially when the language constructs are grouped into recognizable, reusable elements like the recipes we proposed. In this paper we also presented guidelines for choosing the right granularity while designing new recipes. In our experience, these guidelines lead to recipes that are reusable in a wide range of applications and at the same time very understandable for domain experts. We also described a workflow for domainspecific language design that makes use of storyboards and ontologies to identify the right domain vocabulary. In order to show how our approach works, we presented the implemented user interface and how we applied our approach to a practical scenario. Feedback gained from urbanAPI community was positive and we will continue to develop this approach in the future. 11 ACKNOWLEDGEMENTS Research presented here is partly carried out within the project “urbanAPI” (Interactive Analysis, Simulation and Visualisation Tools for Urban Agile Policy Implementation), funded from the 7th Framework Program of the European Commission, call identifier: FP7-ICT-2011-7, under the grant agreement no: 288577, started in October 2011. 12 REFERENCES
CHAFI, H.; DEVITO, Z.; MOORS, A.; ROMPF, T.; SUJEETH, A. K.; HANRAHAN, P.; ODERSKY, M.; OLUKOTUN, K.: Language virtualization for heterogeneous parallel computing. In Proceedings of the ACM international conference on Object oriented programming systems languages and applications - OOPSLA ’10, vol. 45, no. 10, page 835, 2010. FOWLER, Martin: Domain-Specific Languages. Addison-Wesley Longman, Amsterdam, 2010. GAŠEVIĆ, Dragan; DJURIĆ, Dragan; DEVEDŽIĆ, Vladan: Model Driven Architecture and Ontology Development. Springer, Berlin-Heidelberg, 2006. KRÄMER, Michel; LUDLOW, David; KHAN, Zaheer: Domain-Specific Languages For Agile Urban Policy Modelling. In Proceedings of the 27th European Conference On Modelling and Simulation (ECMS), edited by Webjørn Rekdalsbakken, R.T. Bye and H. Zhang, 673-680. Ålesund, Norway, 2013. LEE, H.; BROWN, K.; SUJEETH, A.; CHAFI, H.; ROMPF, T.; ODERSKY, M.; OLUKOTUN, K: Domain-Specific Languages for Heterogeneous Parallel Computing. IEEE Micro, vol. 31, no. 5, pages 42-53, 2011. NICOLA, A. D.; MISSIKOFF, M., NAVIGLI, R: A software engineering approach to ontology building. Information Systems 34, pp. 258–275, 2009.

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reviewed paper Building Smart Applications for Smart Cities – IGIS-based Architectural Framework Alexander Vodyaho, Nataly Zhukova
(Dr. Alexander Vodyaho, LETI, 5, Popova str., St. Petersburg, 197376, Russia, aivodyaho@mail.ru) (Dr. Natalia Zhukova, SPIIRAS, 39, 14th Line, V.O., St. Petersburg, 199178, Russia, gna@oogis.ru)

1 ABSTRACT To solve different kinds of complicated problems which arise in context of intensive development of modern cities a great number of various applications are constantly being developed. The most part of these applications are based on processing big volumes of heterogeneous data gathered from different types of available sources in real time. In the report an architectural framework oriented on building applications for smart cities in shortest time and with minimum spent of resources is suggested. The framework is based on intelligent geo information technologies and includes architectural and technological solutions along with many different computational libraries for building intelligent adaptive applications. Special attention is paid to information and knowledge organization. Different aspects of use of ontologies in the framework is discussed. Main directions of further development of proposed approach are defined. 2 INTRODUCTION Software applications build for needs of cities have almost always been one of the main consumers of new solutions developed in the sphere of information technologies (IT). Moreover they often define direction for development of technologies and force the IT to onrush continuously to meet constantly increasing requirements. Unfortunately, the current state of IT as a whole is much more poor than it was several years ago. Following negative tendencies are observed in the IT sphere nowadays. (1) The sphere of IT gradually loses the status of the sphere in which business is ready to make essential long-term investments without taking into account short term expenses. Today for the majority of enterprises the IT is one of many services which should be estimated in the terms of ROI and moreover, a number of investors want to return earlier invested funds. (2) Complexity of the developed information systems is permanently increases. One can say that the Moore’s law can be applied to information systems. (3) The level of qualification of IT specialists is gradually decreasing. During last years popularity of technical education significantly decreased. That leds to reduction of the number of highly qualified specialists. IT companies mostly prefer to employ rather cheap foreign programmers. Along with negative tendencies there are several positive trends caused by two main factors. The first factor is that during the period of information technologies active development many architectural and technological solutions were proposed, implemented and approved. The second factor is that high performance tools, including tools that use artificial intelligence technologies, were build and they have become an essential part of the advanced information systems. The bright example of such systems is intelligent geoinformation systems (IGIS) [1]. Means and tools integrated in IGIS include inference engines, expert systems, libraries of various intelligent algorithms, instruments for data, information and knowledge management. As a response to this situation industrial approach to software application development and support has been worked out. The main features of the developed approach are following. (1) Wide use of best practices that are represented in the form of the frameworks. (2) Use knowledge-oriented technologies for software development. (3) Assembling information systems using large-scale program modules. (4) Use various agile decisions and practices [2]. Agile decisions are decisions that can be easy adapted to the specific conditions (contexts). Agility can be presented in different forms, in particular: (4a) agile software development – the process of software development that allows working with constantly changing requirements;

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(4b) agile architecture – architecture of software that allows develop architecture of systems oriented on solving specific problems of the subject domains; (4c) agile algorithms – algorithms that are context sensitive and self adjustable. Nowadays the industrial approach is already successfully applied for building applications in different subject domains [3]. It has become quite obvious that technologies for constructing, developing and supporting agile applications will be further developed. So it is time for specialists in information and communication technologies for smart cities to look towards the industrial approach for building applications and to adapt the proposed solutions to their needs. Information and communication technologies in modern smart cities are of primary importance as they form the backbone for all integration processes that take place inside and between such spheres as social, economic, industrial, environmental and etc. The following consequences of integration processes influence directly on requirements imposed to IT solutions: (1) many software applications were integrated using various technologies and formed a net of interconnected applications that are poorly managed and supported; (2) in the integrated domains dynamics and complexity of both internal and external processes exponentially increases, furthermore processes as a rule can not be formalized and are unpredictable; (3) established interbranch relations provide possibility to solve multidisciplinary problems that are much more complicated; besides, experts in one subject domain are forced to solve specialized tasks from the subject domains that are not in the area of their competence. To meet the requirements of software applications for smart cities, that are capable to support integration processes, IT solutions for smart applications must be developed according to the principles defined below. (1) Smart applications must be knowledge-centric applications in order to provide possibility for a user to work effectively with them. (2) Construction of applications must be oriented on integration of technologies. (3) It is necessary to use a unified high level base platform that can be adapted to concrete subject domain. Using base platform for building applications provides a unified information space, mechanisms of platform adaptation will allow to develop applications in conditions of limited resources. Taking into account the current state of IT sphere and smart cities, the developed framework must be a knowledge-centric agile framework. Also an unified approach for creation and support domain-oriented applications using the framework and the base platform must be worked out. In the paper the knowledge based domain-oriented architectural framework for smart cities applications is proposed. In the following section existing frameworks and possibilities of their application are discussed. In the fourth section an architectural approach for constructing domain-oriented applications with the help of the developed framework and the base platform is considered. In the fifths section questions of knowledge management and usage in the framework and the end applications are discussed. Implementation of the framework is described in the last section. 3 ARCHITECTURAL FRAMEWORKS – COMMON SOLUTIONS In terms of an architectural framework an approach to development software applications is considered [4]. Architectural frameworks are used, first of all, for creation architectural descriptions of end software products, families and lines of products and for developing architectural modeling tools both for one or for groups of organizations. The architectural description is an artifact or set of artifacts that describe the architecture of the developed application. An architecture is an abstraction, that includes concepts and properties of an application. By today many architectural frameworks have been developed. The most well known and widely applied are the following frameworks: Zachman Information Systems Architecture Framework [5], UK Ministry of Defense Architecture Framework [6], The Open Group’s Architecture Framework (TOGAF) [7], Kruchten’s “4+1” view model [8], Siemens’ 4 views method [9], Reference Model for Open Distributed Processing (RM-ODP) [10] and Generalized Enterprise Reference Architecture (GERA) [11].

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The term architectural framework is closely connected with such terms as platform, paradigm and pattern. A paradigm describes the concept, basic states and terms used for developing applications. A platform is an implementation of the framework that provides building blocks for end applications and tools for applications development. Following types of platforms are usually considered: technological, integration and domain-oriented platforms [3]. Domain-oriented platforms are platforms aimed for creating applications for one or several related subject domains or for solving a certain group of tasks. Patterns are complete fragments of program code that can be used many times without modifications and improvements. Along with typical frameworks listed above a wide range of specialized platforms have been developed. From the point of view of problems that are solved in modern cities it is interesting to consider two of them. The first framework is an intelligent geo information (IGIS) framework described in [1]. This framework provides scientific and technological solutions for a wide range of highly demanded tasks such as monitoring and decision making support at the levels of objects and situations as well as tools and means of artificial intelligence. Along with that IGIS framework allows to organize a convenient workspace for end users. The second essential framework is a framework for data processing and analyses (DPA) [12]. This framework allows processing various types of data including complicated time series of measurements. Results of measurements are continuously gathered using different kinds of specialized instruments that are by now installed almost everywhere both in urban and invironmental areas. For the IGIS and the DPA frameworks corresponding platforms have been build. Below a brief description of each platform is given. IGIS platform. The IGIS platform incorporates the following list of basic components: an inference machine and expert system, a knowledge base system (ontology), visual environment for developing classes and objects of subject domain, visual environment for developing models (script) of the objects behavior in GIS, system for scenario implementation in real time or/and user-defined arbitrary scale with visual display of symbols or images on the background of electronic maps, a decision making support system that provides recommendations during the scenarios playing. In the IGIS platform an expert system and ontologies are considered as a system of artificial intelligence. Expert systems are used for solving two main tasks: assisting a decision-makers and managing various processes working under control of a scenario. A scenario is the selfsame algorithm with a capacity for parallel execution of some of its branches, it has ontological representation and can be interpreted by inference machine. DPA platform. The DPA platform contains following basic components: an ontology of measurements and ontology of methods and means of data processing and analysis, means and tools for knowledge extraction from historical data, means and tools for working with business processes, mathematical and empirical methods and algorithms for processing and analysis of large volumes of data, methods and algorithms of preliminary data processing, algorithms of prospecting data analysis, a set of visual tools that can be used for graphical representation and modification of initial data streams, as well as time series and single measurements and the results of their processing. Special attention in the DPA platform is paid to two moments. The first moment is development of agile algorithms for multidimensional measurements processing received from natural and technical objects in real time and in the delayed mode. The second moment is wide usage of implemented intelligent data processing and analysis technologies, based on both original and commonly used algorithms and patterns. The IGIS and DPA frameworks are considered to be the core elements of the framework for building applications for smart cities. The specialized frameworks developed for applied domains, for example for the industrial domain [3], can be considered as extensions and included into the described framework for smart cities. 4 DOMAIN-ORIENTED ARCHITECTURAL FRAMEWORK FOR SMART CITIES The proposed architectural approach is focused on development of a framework for the domain of management and planning of modern cities economy oriented on solving applied problems in various spheres that are a part of cities economy. The framework is described according to the international standard ISO/IEC/IEEE 42010:2011 [13]. The framework is developed using the following basic solutions for constructing software applications (SA) for smart cities:
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(1) for constructing architecture of the SA for smart cities Model-Driven Engineering (MDE) methodology [14], based on hierarchy (stack) of architectural models is used. Models are containers for architectural descriptions. The stack contains models of four different levels of architectural descriptions; (2) SA for smart cities must be implemented according to their architectural description using base program platform that contains program components, modules, common means and tools; (3) in the process of SA construction available architectural knowledge, including knowledge about best practices is to be obligatory used; (4) constructing SA includes development of the knowledge base required for solving end user problems and for supporting applications. To make the first two moments of the listed solutions realizable it is necessary to develop a base program platform and a stack of architectural models, adapted for subject domain of cities economy. The architectural models are build according to the object oriented (OO) models. Thus, it is supposed, that before each system is constructed, an OO model for the application according to [16] is created. The two last points make the developed applications and the processes of their constructing knowledge oriented. For dealing with knowledge a system of ontologies and solutions for their transformation were developed. The description of the proposed system of ontologies is presented in the corresponding section. The framework allows to create architectural descriptions for the end applications on the base of their objectoriented descriptions, that can be implemented using the base program platform. The relations between the framework, the object oriented model of an application, the architectural model and the base platform are shown in Fig. 1.
Architectural model corresponds Architectural descriptions of the domain-oriented applications (Level M3) corresponds UML, OWL Architectural framework Domain (general) meta framework forms the architectural descriptions of the application defines the application UML, OWL Object oriented model of application Base (general) model for the applications of the subject domain detailing Sphere-oriented (subdomain) meta frameworks Models, adapted for the sphere of use of the application detailing Models oriented on supporting contextdependent behavior of the application detailing Special frameworks Models oriented on fulfilling the specialized requirements to the application

Architectural descriptions of the product line (Level M2) corresponds Architectural descriptions of the end applications (Level M1) describes

Product line frameworks

Takes into account End applications (Level M0) implements Base program platform describes corresponds

Fig. 1: Main elements used for constructing applications with the help of the domain-oriented architectural framework

Object-oriented model of an application. An object oriented model of an application includes the description of the subject domain, where the application is going to be applied, the tasks that are supposed to be solved and the requirements to the application. The model contains descriptions at different levels of abstraction. The description, that corresponds to the lowest level, is the description of the end application. The description of the highest level is the general description of all applications for the defined subject domain or subdomain. At the middle levels peculiar features of the application that are defined by the possible spheres and contexts of its usage are described. Architectural model. The stack of the architectural models that are described in a general form in the MDE methodology are adapted for constructing software applications for smart cities. The lowest level of the models hierarchy (level M0) corresponds to the architectural descriptions of the constructed applications. The descriptions reflect requirements imposed to the applications taking into account the groups of users and their specific needs. The level M1 is the level at which descriptions of the applications architecture are defined according to different contexts in which the applications are supposed to be applied. At the level M2 descriptions of the applications adapted for a certain group of tasks or one of the spheres of the subject domain, where the application will be used are constructed. The level M3 is the level, at which the general descriptions of the applications for the subject domain of cities economy or its subdomains are provided.

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All models used, at levels M1, M2 and M3, are abstract models. The result architectural description that is created using the proposed hierarchy of models contains a complete architectural description of the developed application including the description of the stakeholders and their concerns, all architectural viewpoints, types of models for each of the viewpoints and architectural rationales [13]. The model types define the language and main notions such as modeling techniques that are to be used for describing view points. For the stack of the architectural models operations for models transformation based on the developed technique are provided [14]. Application of transformation operations allows to create a new model on the base of one or several existing models. A transformed model and a result model can belong to the same or to different levels. In the first case horizontal transformations are executed and in the second – vertical transformations. Results of horizontal transformations are models of a higher level of abstraction than the transformed models. Links between different models at one level can be established with the help of binding operations. Almost all elements of models including classes, objects and their properties as well as relations between them can be linked. To support both transformation and binding operations corresponding set of transformation and binding models according to [14] were developed. The models are represented in a form of patterns and rules. Architectural framework. The architectural framework is developed according to [13] and adapted to current needs of modern cities. The framework is organized as a hierarchy of frameworks that has the following structure. At the highest level a general domain-oriented framework (DF) is located. The DF is a problemoriented meta framework that does not apply any restrictions on the architectural solutions of the developed software applications. The domain framework is used for building sphere-oriented meta frameworks (SF) that are aimed to solve problems of one or several related subdomains. The SF form the base for special frameworks. Two types of special frameworks are used – the frameworks for constructing lines of products (LF) and for constructing end software applications (F). The architecture of each end application can correspond only to one F-framework. LF-frameworks and F-frameworks can be build on the base of several SF-frameworks inheriting different concerns, viewpoints and etc. In case a product line is developed Fframeworks are always based on LF-frameworks. Each LF-framework can be used to build multiple Fframeworks, but one F-framework corresponds only to one FL-framework. The distinguishing features of the DF-framework is that the constructed architectural descriptions allow building knowledge-centric software applications where the applied problems of cities economy are solved using data fusion technologies along with the commonly used technologies implemented in earlier developed applications for the considered subject domain. The data fusion technologies are based on JDL model [15]. Two implementation of JDL model are supported – implementation, oriented on extraction of information and knowledge from initial data that is gathered from measurement instruments or received from data centers developed for the DPA platform, and implementation oriented on solving complicated applied tasks including decision making support provided by the IGIS platform. Main advantage of the proposed DF-framework is that on its base software applications that provide principally new quality of data processing, information and knowledge about cities economy on the base of existing solutions implemented in IGIS and DPA platforms can be easily constructed. The subdomain meta frameworks provide means and tools for defining following elements of an architectural description: • • • main types of stakeholders, including end-users, operators, acquirers, owners, developers, builders, maintainers and software architects; the system of typical interests, including serviceability, cost, maintainability, stability, analyzability, changeability, testability, dependability, modularity, distribution and concurrency; viewpoints, including general, algorithmic, capability, system viewpoints, data, information and knowledge viewpoint, object, services, project and standards viewpoints.

Between the enumerated elements main relations such as relations between interests and stakeholders, stakeholders and architectural viewpoints, types of models for each of the viewpoints are considered.

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The LF-frameworks are aimed for building a limited set of the architectural descriptions elements that are formed using the information about the supposed users of the produced software products. At the level of F-frameworks architectural styles that are supposed to be used for constructing end applications are defined. The following common architectural styles and corresponding architectures are considered: object (component) oriented architectures [16], service-oriented architectures [17], multiagent architectures [18], combined (mixed) architectures. In addition service-agent-service (SAS) architecture was developed that refers to combined architectures. The SAS architecture fits best in most cases for building end applications for smart cities. Base program platform. The base program platform is a software application, that is used for implementation of the developed architectural descriptions. The platform provides core elements, that are required for building end applications and a wide range of various mathematical libraries, as well as extended means and tools of artificial intelligence inherited from IGIS and DPA platforms and from other integrated platforms. A SYSTEM OF ONTOLOGIES FOR THE ARCHITECTURAL FRAMEWORK FOR SMART CITIES Ontologies in the SA developed for smart cities are widely used at all stages of the applications life cycle: at stages of SA construction, development, functioning and support. At the stage of application construction experience acquired during the previous developments is actively used. Experience is represented in the form of knowledge using standard formats, in particular, the OWL format [19]. Knowledge-based descriptions of the developed SA supplement the architectural descriptions, build according to the MDE methodology. Thus, the result architectural descriptions of the end applications are sets of descriptions in UML and OWL formats. The OWL descriptions provide information about the main tasks and the developed architectural solutions as well as the descriptions of possible ways of the application further development and modification. The UML descriptions contain detailed information about the solutions of the tasks, in particular the structures of the SA. It is important to note that the two considered descriptions can be transformed one to the other. The problems of the direct and indirect transformations of the descriptions have been worked at for a long time. As a result such means as Metadata Interchange (XMI), Ontology Definition Metamodel (ODM), UML Profile (OUP), that allow to create ontologies using UML descriptions, are available now [20]. The structure of the developed system of ontologies is defined by the hierarchy of the architectural models and frameworks discussed in the section 4. The ontologies provide descriptions of the applications life cycles at the domain level, at the subdomain level and at the level of applied tasks, that are used for describing architecture at the third, the second and the first levels of the architectural model correspondingly. Along with the main task of building knowledge based architectural descriptions, one can use ontologies for solving following tasks: (1) ontologies that describe the subject domain are used by analysts for defining problems of the SA construction; (2) a data base structure can be created from the ontological descriptions of the subject domain; (3) an architectural descriptions of the user interfaces can be created by converting the information that contains in the ontologies; (4) in multiple cases architectural descriptions of the constructed applications or their separate components can be build by converting information from ontologies; (5) using ontological descriptions a system of rules can be defined, that describes behavior of the objects of the subject domain and can be interpreted and executed using standard tools; (6) ontologies are used as a dictionary that provides descriptions of the main definitions of the subject domain to all stakeholders. When SA are constructed, a set of ontologies and ways of their usage at the stage of the applications functioning is defined. The ontologies are build partly at the stage of SA construction and partly at the stage of SA development. 5

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At the stage of applications functioning ontologies are used for solving two main groups of problems. To the first group refer problems of data, information and knowledge transformation, to the second – problems of management of the transformation operations. For SA support and modification special ontologies are developed, that are a kind of slices of ontologies, build at the stage of the SA construction. These ontologies contain limited amount of information that allows understand in short time the general architecture of the applications, estimate their current state and make well-founded decisions about the further changes of the applications structure and/or business logic. At all stages of the SA lifecycles the following techniques for working with knowledge presented in the form of ontologies are used: i) acquiring knowledge from data (data mining); ii) acquiring knowledge from log files about executed business processes (process mining); iii) enlarging ontologies by adding new knowledge provided by experts; iv) performing logical deduction; v) transformation of knowledge presented in the form of ontologies (aligning, merging, building profiles); vi) representation of knowledge in the form of production rules; vii) building UML and ER descriptions from ontologies. In the architectural framework the process of building systems of ontologies for end applications is organized on the base of the developed ontological model. The levels of the model and the artifacts of the levels are shown in Table 1.
Level of the ontological model Domain / subdomain level Level of product line Level of the end applications Main artifacts of the level Domain / subdomain ontologies Ontologies that contain information about the solved tasks Ontologies required for the applications functioning, support and modification

Table 1: Artifacts of the ontological model at different levels of application construction.

An ontological model has three levels, that correspond to the SA construction at the domain / subdomain levels, at the level of products line and at the level of end applications. At the third level ontologies for the subject domain or its subdomains are developed. Ontologies for product lines are domain ontologies that additionally contain information about the problems, that are supposed to be solved using developed applications. The main goal of the first level is to build ontologies that are to be used during the stage of the SA functioning as well for the needs of SA support and modification. Ontologies of the domain and subdomain levels are commonly developed by the experts of the corresponding subject domains. In the processes of the ontologies development in most cases analysts and knowledge engineers are involved as well. Ontologies for product lines and ontologies, used for the software application support and modification, are build by analysts and IT specialists on the base of domain ontologies. The list of ontologies, applied at the stage of the SA functioning, includes ontologies for solving both specialized and common tasks. Ontologies, oriented on solving specialized tasks, are build by experts The ontologies for solving common tasks are constructed on the base of the higher level ontologies, that are provided by the corresponding domains. For example, for the domain of data processing and analyses a set of developed ontologies contains general formalized descriptions of data of different types and results of its processing, of available algorithms, methods, means and tools for data processing and rules for their application, of the processes that can be used for solving various problems, of the program modules that can be included in the applications, possible providers of the modules and etc. 6 IMPLEMENTATION OF THE ARCHITECTURAL FRAMEWORK FOR SMART CITIES Proposed solutions for implementing end SA using the architectural framework are agile solutions [2], that are developed within the industrial approach. The solutions are based on the following main principles: (1) multiple use of knowledge is preferable in comparison with multiple use of program code; (2) the developed applications have to be based on the integrated set of the existing ready to use technological solutions. Much less desirable but still admissible is to integrate existing solutions at the level of program components and modules. New modules are developed only if there are no other alternatives;

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(3) the implementation of the new program modules must be organized from the point of view of possible subsequent use of the modules. The resources spent on the modules that can be multiply used are significantly more justified than the resources spent on the development of the unreusable modules; (4) solutions for application implementation have to provide opportunities to modify developed applications structures and business logic on the fly by both IT specialist and applications themselves. For this the description of the applications must be represented using standard interpretable formats. For describing applications in most cases ontologies are used, as, on one hand, they can be considered as means of standardization, and, on the other hand, as means capable to deal with knowledge. Implementation of SA based on the agile solutions that are supported by the architectural framework are based on the following notions: A - system (agile system), A - process (agile process) and A- application (agile application). A – system is a set of integrated A - applications. A - process is the knowledge-based process of constructing A - applications. A - application is a self-adjustable application that contains a knowledge base and means of artificial intelligence. Two types of A-applications are allocated: static and dynamic A-applications. Both static and dynamic A-applications are constructed using A-processes. Main difference between these types of applications is that static applications don't use ontologies at the stage of their functioning meanwhile in the dynamic applications ontologies are often considered as a core element. Agile applications have a hierarchical structure. At their top level two subsystems are located, that are represented in the form of containers for modules. The first container (B - container) provides implementation of business functions which define functionality of the applications. The second container (A - container) implements functions of management and control of the B - container architecture. A and B containers in separate cases can be considered as modules. Five types of modules are used in A – applications: A-modules, B-modules, AB-modules, R-modules and Vmodules. A-modules are modules with the dynamic architecture that support A-interfaces which provide access to the functions that assure module agility. These modules are executed under control of the Acontainer. B-modules support B-interfaces and define system functionality. These modules have static architecture and are managed by a B-container. B-modules are able to provide information about their state. AB - modules support both types of the interfaces and interact with the A and the B containers. This type of modules is used most frequently in the applications. R-modules are aimed for working with various types of repositories were initial data as well as meta data is stored. The V-modules contain the implementation of visualization functions and support interaction of an application with an end user. The considered agile solutions don't impose any restrictions on implementation of interfaces, or on implementation of the containers. Interfaces are described in terms of applied technologies. The containers implement functions of modules integration, their management and control during their life cycle, and, respectively, the containers have to support the chosen technologies. The concrete technologies for each end SA are selected within F-framework used for constructing end applications. Usage of the object-oriented approach [17] for building applications supposes that B-containers are business objects (B-objects) described using the high level language or represented in the form of components (.net, CORBA, EJB). A-containers are sets of A-objects that are responsible for managing B-objects and gathering data about the applications functioning. Data processing and analyses is organized in a special subsystem of an A-container or a separate external subsystem. Service-oriented approach (SOA) [18] can be used for implementation both static and dynamic architectures. Implementation of static SOA implies that a set of service modules (S-modules), which include business services corresponding to B-objects, and agile services corresponding to A-objects are developed. For implementation of SA, business logic on the base of dynamic SOA services can be organized with the help of semantic web services. Usage of agent technologies in end applications assumes that A-subsystem is a set of agents, that includes personal assistances, business agents, agent managers, agents for agility support, agents for access to metadata and data, agents for support of B2B interactions [19]. Implementation of the enumerated technologies is supported by the base program platform.

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7 CONCLUSION The paper aims to find an approach for building SA oriented on solving different problems in various spheres of modern cities economy. The approach must be able to deal with challenges of modern smart cities in conditions of the quite poor state of information technologies. In the paper the architectural framework for building SA for smart cities is proposed. Distinguishing features of the framework can be summarized in the following points: a) the framework is knowledge-based. It means that knowledge is used at all stages of the SA lifecycle (construction, functioning, support and modification); b) the framework allows to construct SA by means of integration of existing solutions at technological level and at the level of program modules; c) solutions provided by the framework are agile: • • architectural description of a SA is built on the base of object oriented descriptions; architectural descriptions built with the help of the framework can be implemented using the base program platform;

d) the framework is developed according to the actual architectural and technological standards. The proposed architectural framework described within the paper was developed as a generalization of the developed architectural, technological and program solutions, that were implemented as product lines and separate products and have been successfully used for a number of years already. The following software products defined the structure of the framework and its functions: - the Ontomap series developed in the Research laboratory of object-oriented geo-information systems of St. Petersburg Institute for Informatics and Automation of the Russian Academy of Sciences. The Ontomaps are used in Russian Navy for more than five years as the information base of Navy control systems. They are operated in Russian Navy fleet command centers, naval bases and combat information center of Coast Surveillance System; • the series of software applications for telemetric information processing from space rockets developed in the Research Center of Saint-Petersburg Electrotechnical University. The total number of developed application is more than fifty. The applications are widely used for processing and analyses of initial data, calculation of flight, ballistic and navigation characteristics; a set of separate applications oriented on processing environmental parameters. For example, the Decision Making Support System for Arctic Exploration, Monitoring and Governance [21] was developed. The main goal of the system is to synthesize ocean/ice/atmosphere observations and model-based products for the purpose of fast access to the available information on the Arctic environment.

•

Future work needs to be carried out in the direction of further adaptation of the framework for the domain of cities economy. Adaptation assumes building ontologies on the base of available knowledge provided by existing software products and integration into the framework the earlier developed specialized solutions represented in the form of technologies, program components or modules. It is also reasonable to analyze the possibilities of adaptation and usage of new technologies developed for the spheres not related to the cities economy for processing, analyzes and management of data, information and knowledge of modern smart cities. 8 REFERENCES

1. Intelligent geographical information systems for sea situation monitoring [in Russian / Eds. Usupov R. & Popovich V. Nauka, St. Petersburg, 2013. 2. Hazzan O., Dubinsky Y. Agile Software Engineering. Springer, London: 2008. 3. Duffy D. Domain Architectures: Models and Architectures for UML Applications. John Wiley & Sons, New Jersey, 2004. 4. Kaisler S. Software Paradigms. John Wiley & Sons, New Jersey, 2005. 5. Zachman, J.A., A Framework for Information Systems Architecture, IBM Systems Journal, 26(3), 1987. 6. Ministry of Defence Architecture Framework (MODAF), http://www.modaf.org.uk/ [Electronic resource]. 7. The Open Group Architecture Framework http://www.opengroup.org/togaf/ [Electronic resource]. 8. Kruchten, P.B., “The ‘4+1’ View Model of Architecture”, IEEE Software, 12(6), 1995. 9. Hofmeister C., Nord R., Soni D. Applied Software Architecture, Reading, Addison-Wesley, MA, 1999.

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Building Smart Applications for Smart Cities – IGIS-based Architectural Framework 10. Standard ISO/IEC 10746 Reference Model for Open Distributed Processing (RM-ODP) http://www.iso.org/iso/support/faqs.htm [Electronic resource] 11. Standard ISO 15704. Generalized Enterprise Reference Architecture http://www.iso.org/iso/support/faqs.htm [Electronic resource] 12. Vitol A., Deripaska A., Zhukova N. & Sokolov I. Technology of adaptive measurements processing. SPbSTU «LETI», SaintPetersburg, 2012. 13. Standard ISO-42010. http://www.iso-architecture.org/ieee-1471/docs/ISO-IEC-IEEE-latest-draft-42010.pdf 14. Zivin B.E, Jouault J., Valduriez P. On the Need for Megamodels // Procs of the OOPSLA/GPCE: Best Practices for ModelDriven Software Development. Workshop, 2004. 15. Steinberg A., Bowman C. & White F. Revisions to the JDL Data Fusion Model. Sensor Fusion: Architectures, Algorithms, and Applications. Proceedings of the SPIE, vol. 3719, 1999. 16. Booch G., Object-Oriented Analysis and Design with Applications (2nd Edition), Addison Wesley, MA, 1993. 17. Erl T. Service-Oriented Architecture: Concepts, Technology, and Design. Prentice Hall, N.Y, 2005. 18. Walton, C. Agency and the Semantic Web: Oxford University Press Inc. N. Y., 2007. 19. Calero C., Ruiz F., Piattini M. Ontologies for Software Engineering and Software Technology. Springer, Berlin, 2006. 20. Gasevic D, Djuric D., Devedziс V. Model Driven Architecture and Ontology Development, Springer, Berlin, 2006. 21. Zhukova N., Smirnova O. Atmosphere and ocean data processing in decision making support system for Arctic exploration // The 6th International Workshop on Information Fusion and Geographic Information Systems: Environmental and Urban Challenges (IF&GIS' 2013), St. Petersburg, Russia, May 12-15, 2013.

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reviewed paper Challenges and Opportunities to Develop a Smart City: A Case Study of Gold Coast, Australia Bhishna Bajracharya, David Cattell, Isara Khanjanasthiti
(Assoc Prof Bhishna Bajracharya, Bond University, Gold Coast Australia, bbajrach@bond.edu.au) (Assoc Prof David Cattell, Bond University, Gold Coast Australia, dcattell@bond.edu.au) (Mr Isara Khanjanasthiti, Bond University, Gold Coast, ikhanjan@bond.edu.au)

1 ABSTRACT With the rapid growth of information and communication technologies, there is a growing interest in developing smart cities with a focus on the knowledge economy, use of sensors and mobile technologies to plan and manage cities. The proponents argue that these emerging technologies have potential application in efficiently managing the environment and infrastructure, promoting economic development and actively engaging the public, thus contributing to building safe, healthy, sustainable and resilient cities. However, are there other important elements in addition to technologies which can contribute to the creation of smart cities? What are some of the challenges and opportunities for developing a smart city? This paper aims to answer these questions by developing a conceptual framework for smart cities. The framework is then applied to the city of Gold Coast to identify challenges and opportunities for developing the city into a ‘smart city’. Gold Coast is a popular tourist city of about 600,000 populations in South East Queensland, Australia, at the southern end of the 240km long coastal conurbation that is centred by Brisbane. Recently, IBM has nominated Gold Coast as one of the three cities in Australia for its Smarter Cities Challenge Grant. The grant will provide the Gold Coast City Council with the opportunity to collaborate with a group of experts from IBM to develop strategies for enhancing its ICT arrangements for disaster response capabilities. Gold Coast, meanwhile, has potential to diversify its economy from being centred on tourism to a knowledge economy with focus on its educational institutions, investments in cultural precincts and high quality lifestyle amenities. These provide a unique opportunity for building Gold Coast as an important smart city in the region. As part of the research methodology, the paper will review relevant policies of the council. Finally, lessons will be drawn from the case study for other cities which seek to establish themselves as smart cities. 2 INTRODUCTION With globalisation of cities, and move towards knowledge and information economy, a number of cities are now competing with one another to attract investments, knowledge workers and promoting themselves as smart and intelligent cities. Some of these cities are promoting themselves for attractive lifestyle (such as cultural and natural amenities), knowledge infrastructure (such as universities and businesses) and technologies (such as sensors, mobile technologies and Internet of things (IoT)). Larger cities such as Glasgow, Vienna, Edinburgh, Melbourne, Portland, and Seattle have been at the forefront of these trends (Deakin, 2014). However, now there are also a growing number of smaller cities such as Gold Coast which are showing interest in developing as smart cities. What are the challenges and opportunities for these small cities for developing them as smart cities? What are the competitive advantages they have in terms of manpower, amenities, governance, active private sector initiatives? Is this driven by technologies alone or more seen holistically in terms of people, resources as well as institutions? Is there a strong strategic focus on developing smart cities or are they part of opportunistic and ad-hoc approach to smart city development? These are some of the questions the paper aims to address. The key objective of the paper is to identify the challenges and opportunities to develop a smart city using a case study of Gold Coast. Based on the review of literature on smart cities and local case study, the paper will develop a conceptual framework for developing smart cities. The paper is primarily an exploratory paper based on review of theoretical literature and policy documents of local government in Gold Coast. 3 TOWARDS A CONCEPTUAL FRAMEWORK FOR SMART CITIES There has been extensive growth of literature on smart cities in the last two decades (Deakin, 2014; Townsend, 2013; Hollands, 2008; Castells, 1996: Mitchell, 1999; Florida, 2002; Florida, 2004; Graham and Marvin, 2001; Bajracharya and Allison, 2008). Hollands (2008) highlighted the importance of people and human capital rather than just application of information and communications technology (ICT) in improving and transforming cities. Although smart cities are ‘wired cities’, the use of ICT by itself does not
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make cities smart. While the focus of smart cities in the past has been related to meeting corporate marketing needs, there is a need for the transition to utilising social intelligence for cities by grounding community led information and communication for cultural and environmental development (Deakin, 2014). Along with focus on technologies, there have been recent works by Landry (2008) and Florida (2002, 2004) who argued for a need to develop knowledge regions and creative cities. Deakin and Allwinkle (2007) summarised the evolution of smart cities from focus on static and limited information via city websites in the 1990s to dynamic and interactive services allowing service transactions to develop platforms for online citizen engagement in 2004/5. Since then, smart cities have focused on the development of digitally inclusive advanced visualisation and simulation. These developments illustrate an evolution from informational to intelligent to now smart city (Deakin, 2014). In recent years, there have been several technologies integrated into smart cities such as cloud computing, mobile devices, radio-frequency identification (RFID) and drones. There is now also a move towards data services being made more openly accessible, democratic and serviceoriented around the needs of the local community. There are a number of useful conceptual frameworks for developing smart cities. For example, Nam and Pardo (2011) identified three key dimensions of smart cities which include technology, people and institutions. They also argued for the need for integration of infrastructures and technology-mediated services, social learning for building human capital and governance for public participation and institutional capacity building. A pan-European research project IntelCities (Paskaleva, 2014) found that governance in terms of collaborative decision-making and action can play an important role in building a smart city and highlighted the importance of boosting local competitiveness by using knowledge networks and integrated eservices and governance. The current thinking is moving away from just a technological approach towards smart cities that utilise a more holistic concept of capitalising on social, cultural and environmental capital as well as higher education, creative talent and the knowledge workforce. Furthermore, local quality of life and local amenities for urban attractiveness and development have been proposed as smart city components (Rappaport, 2009). Another useful concept comes from IBM’s Smarter Planet, an initiative which proposes the use of smart meters, networks and data modelling for making city systems interconnected, instrumented and intelligent, thereby making them more efficient and effective (IBM, undated). It suggests the need for different parts of a city’s system to be interconnected and able to communicate to one another. Likewise, it suggests the need for instrumentation of a city’s system to be measurable with instruments and meters. Lastly, it suggests the need for intelligence to use the data gathered to automate many related services as well as develop predictive models of likely outcomes for better decision-making in the future. IBM is working with a number of local councils in different parts of the world, including three cities in Australia (Gold Coast, Geralton and Townsville), through their Smarter Cities Challenge Grant, a philanthropic initiative. The areas they work on as part of the program include economic development, public safety, environment and public transport. IBM is pilot testing this concept and framework of instrumentation to reduce waste and develop energy efficiency. Like IBM, other multinational companies such as CISCO and Siemens are all developing projects for smart cities. A number of cities have taken important steps towards developing smart city initiatives. For example, Amsterdam has emphasised collaboration between government, business and community to develop smart projects on energy savings. It uses instrumental intelligence through smart devices and wireless sensors for enabling citizens and organisations to optimise their practice (for activities such as energy consumption of appliances). It also initiated crowdsourcing, co-creation and open innovation to engage the community to develop solutions for public space and mobility. Southampton City Council has focussed on integrated eservices through the use of smart cards. Melbourne, on the other hand, has focused on developing knowledge precincts with advanced ICT infrastructure and business parks near universities as university-businessgovernment partnerships (Yigitcanlar et. al 2008). Likewise, Hong Kong has developed Cyberport as an enterprize zone for nurturing local and global ICT start-ups and entrepreneurs. With more than 189 ICT incubatees in 2013, the development contains state-of-the-art ICT facilities, shopping mall and five star hotel as well as large residential complex and park with fibre optic and broadband connections (Hong Kong Cyberport Management Company Limited, 2014). Smart cities have the prospect of being efficient, transparent, resilient, secure and sociable (Townsend, 2013). Townsend (2013) provided a number of suggestions regarding smart cities such as the need to connect

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and crowdsource everyone with care. Townsend also dealt with issues associated with data such as privacy, data access by poorer communities versus commercial operators, and public ownership. According to him, we need to consider social sustainability in planning for smart services and benefits of open data should also extend to the poorer communities. As part of earlier debates on the ‘information age’, Castells (1996) argued that there could be growing concerns about the struggle between networked global economies and social identities of the people. Likewise, Graham and Marvin (2001) point out that emerging ICTs and private ownership can contribute to digital divide and splintering of urbanism. Based on the literature review above, five key themes emerged as important considerations for creating smart cities. These include: (1) Cultural and Natural Amenities – local amenities that enhance quality of life (2) Technology – implementation of ICTs for improvement of city systems and functions (3) People and Skills – attraction and retention of and support for knowledge workforce and businesses (4) Knowledge and Innovation Precincts – facilities for attracting and generating knowledge workforce (5) Governance – arrangements and plans for creating smart cities The five themes above, which are interrelated and not mutually exclusive, are summarised in Figure 1, along with potential factors applicable to each theme.

Fig. 1: Conceptual framework for smart cities

The paper now applies the framework to a case study of Gold Coast. Opportunities and challenges in developing the city as a smart city are presented based on the five themes articulated in the framework. 4 INTRODUCTION TO GOLD COAST Located as part of the larger South East Queensland region with Brisbane and Sunshine Coast, Gold Coast is a coastal city with a population of about half a million. It is the sixth largest city in Australia with rapid growth of population in the past, which has slowed down slightly in recent years. The city’s population is expected to grow to about three quarter of a million by 2026. Its economy is primarily based on tourism and construction. Gold Coast promotes itself as a city with natural beauty and relaxed lifestyle as well as an ideal location to live, work and play. While tourism has been an important attraction of Gold Coast, the city also has a foothold in industries such as education, sports, film, marine and IT. As part of its economic development, the Gold Coast City Council (GCCC) aims “to make its mark on the world stage, where knowledge, innovation and commercialisation are the key drivers for growth” (GCCC, 2014). It sees itself as a ‘city of opportunity, on the cusp of a transformation change’ with the forthcoming hosting of the Commonwealth Games in 2018. To this end, the GCCC has recently begun its journey to develop Gold Coast into a smart city. Figure 2 shows an aerial view of Broadbeach and Surfers Paradise, key activity centres of Gold Coast (Gold Coast Convention and Exhibition Centre, 2014).

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Fig. 2: Aerial view of Gold Coast

The paper now identifies key opportunities and challenges for developing Gold Coast into a smart city under the five identified themes of the smart city framework. The discussion below is based on critical understandings of the city’s existing context as well as various policies of local and state governments. 5 CULTURAL AND NATURAL AMENITIES The first theme is Cultural and Natural Amenities. It is associated with amenities, events and attractions which can enhance quality of life for local communities, thereby attracting knowledge and ICT workers. 5.1 Opportunities 5.1.1 Attractive Climate and Settings

Gold Coast has a subtropical climate with more than 80 kilometres of beaches on the eastern end and ecologically diverse national parks and hinterland on the western side. Gold Coast is home to several historically significant sites and World Heritage Listed rainforests, which are open to the public for visits. As a major tourist destination in Australia, Gold Coast also contains a range of entertainment facilities such as theme parks and wildlife sanctuaries. The city is also rich in sports and recreation facilities for activities such as go karting, skydiving, golf, surfing, ice skating and bowling. 5.1.2 Cultural Precinct and Facilities The GCCC is facilitating the development of a Cultural Precinct in Surfers Paradise, the city’s major tourist destination. The objective of the Cultural Precinct is to showcase local culture, arts and creativity of the Gold Coast community to the world. The project was initialised due to the recognition by the GCCC (2013d, p. 5) that the Commonwealth Games event in 2018, which will attract significant number of visitors to the city, is an opportunity for the city to culturally “shine on the world stage.” In addition to the Cultural Precinct, expected to be completed by 2018, there are a number of existing art galleries and museums throughout Gold Coast, which have served as the city’s attractions. 5.1.3 Variety of Events

Gold Coast is a city of events where events are organised on a weekly basis. In addition to smaller events which are free or low-cost, the city also holds a number of major events every month. These major events, regularly organised every year, encompass many themes and activities such as filming, sporting competitions, music festivals, animal expos, careers expos, and marathons. A key major event the city is set to host is the Commonwealth Games 2018, for which several programs have been put in place by the GCCC. These initiatives focus on better equipping the city additional transport and community infrastructure, including a light rail system, a Commonwealth Games residential village and additional sporting venues. In addition to the wide range of events the city hosts, Gold Coast is also rich in event venues and spaces. Some of these venues include the Gold Coast Convention and Exhibition Centre, universities’ and hotels’ function centres, and sporting stadiums, which have hosted various events in addition to sporting matches.

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5.2 Challenges 5.2.1 Public Safety during Events

Public safety during events, particularly major ones, has been a challenge for Gold Coast. One example of an event where public safety is a significant concern is Schoolies, an annual event spanning across three weeks during which more than 50,000 teenagers across Australia visit Gold Coast to celebrate their high school graduation. Schoolies on Gold Coast has been associated with activities such as illegal and excessive intake of alcohol and drugs as well as harmful behaviours (Lam et al., 2013). 5.2.2 Unaffordable Housing Market

According to the 10th Annual Demographia International Housing Affordability Survey, the housing market in Gold Coast is classified as “severely unaffordable” with a Median Multiple1 figure of 7.7 (Bertaud, 2014, p. 2). Median weekly rent in Gold Coast, meanwhile, was $350 in 2012, requiring young parents to pay up to 80% of their income on rent (Knight, 2012). The lack of affordable housing is a major barrier for Gold Coast to attract knowledge workers. 6 TECHNOLOGY The paper now considers the Technology theme, which is related to the implementation of several ICTs to improve the manner in which the city functions. Technologies can also play a vital role in attracting knowledge and ICT workers to a city. 6.1 Opportunities 6.1.1 Integration of Smart Technologies

More than 600 wireless sensors have been installed at Springbrook National Park, a 6725-hectare World Heritage-listed rainforest in Gold Coast. The sensors have been monitoring a range of environmental variables in order to track biodiversity restoration progress in the area. The award-winning monitoring system was developed through a joint initiative between Queensland Government, CSIRO and other government agencies (Queensland Government, 2013). The GCCC established a Safety Camera Network in 1998 to ensure Gold Coast would have a safer environment for local communities and visitors. With 150 cameras operating in key activity centres, the cameras are continually monitored to ensure crime is detected and reported in a timely manner. In 2013, the council funded a trial of mobile cameras to further improve the city’s public safety (Stolz, 2013). Moreover, Metricon and Cbus Super, two major sports stadiums in Gold Coast, may be incorporated with spy cameras in the near future. The cameras, which can automatically recognise banned sports audiences at the gate and promptly inform the security, are expected to improve public safety during events (Wilson & Rolfe, 2014). Provision of better local parking management and infrastructure is one of the key actions in the Gold Coast City Transport Strategy 2031. The council is currently investigating models for integrating ICTs such as wireless sensors into the parking infrastructure throughout Gold Coast. It is expected that data generated from the integrated technologies will be made available to the public. By doing so, the council intends to encourage smartphone apps to be created by local communities for local communities (Tozer, 2014). 6.1.2 IBM’s Smarter City Challenge Grant

In 2013, Gold Coast was awarded with IBM’s Smarter City Challenge Grant. As part of the grant’s arrangement, six experts from IBM cooperated with the GCCC for three weeks. The collaboration is expected to lead to recommendations for improving the city’s public safety as well as disaster response capabilities through smarter use of technologies. As the third city in Australia to receive a Smarter Cities Challenge grant, the award is a key opportunity to improve the city’s ICT arrangements for public safety.

1

Median Multiple is the ratio between median house price and gross annual median household income (Bertaud, 2014).
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6.2 Challenges 6.2.1 Funding

With a current annual budget of AU$1.1 billion, the majority of the council funds (79.25%) is planned to be spent on council’s operating expenditure (GCCC, 2013a). The council, under the new leadership and system, has been reducing its yearly rate increase since 2012. Therefore, the GCCC’s funds will be increasingly limited to services which “ratepayers can afford” (GCCC, 2013a). Implementation of ICTs for creating smart cities can be an expensive process (Bajracharya et al., 2013). As such, there may be limited funding available for developing Gold Coast into a smart city in the future. 6.2.2 Privacy and Security of Data

Data generated and collected from ICTs are subject to privacy and security concerns. Privacy, which arises from data pertaining to individuals, can affect not only personal identity, but also physical wellbeing, personal behaviour and personal communication (Bartoli et al., 2012). It is important to protect the privacy of data relating to individual community members as mishandling of personal information is taken as serious offence by both the government and community. Strict protocols and precedures will need to be employed in order to filter raw data from ICTs and ensure that privacy of individuals is protected. Data are also susceptible to cyber-vandalism which can lead to inappropriate ownership and usage of personal or sensitive data (Hancke et al., 2013). Cisco has revealed that there has been significant growth in cyber attacks, which now pose a “threat to life” (ABC, 2014). Appropriate systems and procesures should therefore be applied to minimise the possibility of cyber-vandalism on any smart technologies implemented in Gold Coast. The GCCC has recognised the need to ensure privacy and security of data in their smart city vision (Tozer, 2014). 6.2.3 Technology Adaptations by community

As part of the smart city process, data can be crowdsourced from local residents and information products can be disseminated to communities through several ICTs such as smartphones and social media (Bajracharya et al., 2013). Adaptations to these technologies, however, can be a challenge. As a popular retirement destination, Gold Coast is experiencing ageing population. While senior residents aged at least 65 years accounts for 14.4 per cent of Gold Coast population, this figure is projected to increase to more than 20.2 per cent of the city’s inhabitants by 2031 (GCCC, undated). Furthermore, due to Gold Coast high costs of living as well as the unaffordable housing market discussed previously, poverty is also an increasingly prominent issue affecting the city’s residents (Kane, 2012). Ensuring adaptations to smart technologies among older and lower income groups within the local community in Gold Coast could be a challenge with digital divide in technology adaptation. 7 PEOPLE AND SKILLS The third theme the paper now examines is People and Skills, which is related to the attraction and retention of knowledge workers and ICT businesses to a city. 7.1 Opportunities 7.1.1 Local Availability of ICT Businesses

A number of ICT start-ups and businesses are located on Gold Coast. As mentioned above, Anittel and CoastalCOMS are located in Gold Coast. CoastalCOMS has been collaborating with the GCCC in monitoring conditions of the city’s beaches through the use of cameras, which show live images of the beaches on a web portal. The images are intended to show existing ocean and beach conditions, which assist local residents with planning their beach visits. The website provides real-time information on other environmental variables such as wind directions and temperature. It also collects and displays historical data on Gold Coast’s beaches, thereby creating opportunities for future research projects (CoastalCOMS, 2010). 7.1.2 Support for ICT Start-Ups and Workers

Silicon Lakes, a non-profit organisation, is an incubator for ICT start-ups and provides co-working spaces as well as programs for supporting ICT entrepreneurs. It collaborates with other start-up incubators around the

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world. The company seeks to promote Gold Coast as a “desirable location to start, develop and operate ICT applications, businesses and resources” (Silicon Lakes, 2014). Gold Coast TechSpace provides workshops for community members to learn about different technologies such as robotics, green technology, hardware and software. Residents of all age groups are invited to join the workshops, which are run weekly. The company provides different levels of memberships to cater for different levels of interests and needs of the community (Gold Coast TechSpace, 2013). With the GCCC as a Founding Partner, TechSpace plays a vital role in creating local ICT workers for the city. 7.2 Challenges 7.2.1 Attracting and Retaining Knowledge Workers Gold Coast has relatively limited employment opportunities and options. In 2011, Gold Coast’s unemployment rate was 7.4% in 2011 in comparison to the national average of 5.6%. Moreover, Gold Coast currently contains the highest number of inter-city commuters among all Australian cities, with more than 26,000 workers commuting to Brisbane, the capital city of the Queensland state, on a daily basis (KPMG, 2014). The limited employment opportunities in Gold Coast may affect the city’s ability to attract and retain tertiary students as well as knowledge and ICT workers. 7.2.2 Local Knowledge and Skill Base According to the 2011 census data, 56.2% of Gold Coast population of at least 15 years of age had not acquired a post-school qualification.2 Additionally, the majority of local workforce (27.5%) was employed as blue-collar workers, including: traders; machinery operators and drivers; and drivers (Australian Bureau of Statistics, 2011). Improving local knowledge and skill base among current and future generations of workers in Gold Coast is a challenge the city needs to address in its transition into a smart city. 8 KNOWLEDGE AND INNOVATION PRECINCTS The fourth theme to be applied to the analysis of Gold Coast is Knowledge and Innovation Precincts, which are facilities for attracting and generating knowledge and ICT workers. 8.1 Opportunities 8.1.1 ICT Office Parks

Gold Coast currently offers several office parks which specifically cater for ICT businesses. As part of the GCCC’s Pacific Innovation Corridor strategy, Varsity Lakes, a master-planned community adjacent to Bond University has been designated as a specialised IT hub. To this end, it contains Varsity Central which provides offices and spaces for ICT businesses. Several ICT firms are now located in Varsity Central. Examples of IT-related firms in Varsity Central include Anittel, an ICT consultant company which provides IT support to organisations, and CoastalCOMS, which specialises in environmental monitoring via video content analytics. In addition to Varsity Lakes, Southport, the city’s Central Business District, has also been designated as a technology hub. 8.1.2 Gold Coast Health and Knowledge Precinct

The state government of Queensland implemented a project to establish the Gold Coast Health and Knowledge Precinct, comprising Gold Coast University Hospital and Griffith University, in Southport. The precinct, now completed and operational, offers cutting-edge healthcare services to local communities. It also provides opportunities for the university’s medical students to undertake hands-on training at the hospital. The health and knowledge precinct will not only promote Gold Coast as a desirable location to live for knowledge workers due to availability of high quality health services but also generate additional high quality knowledge workers in the healthcare industry.

2

Post-school qualifications include qualifications at the following levels: certificate; diplomal; advanced diploma; bachelor degree; graduate diploma; graduate certificate; and postgraduate degree.
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8.1.3

Links between Universities and Hospitals

In addition to the Gold Coast Health and Knowledge Precinct, the other two universities in the city are colocated with hospitals. Bond University, located in Robina, is situated in proximity to Robina Hospital, another major state hospital. Southern Cross University, meanwhile, is situated in close vicinity of John Flynn Private Hospital in Coolangatta and Tweed Hospital in Tweed Heads. These universities have been collaborating with the hospitals in providing practical training experience for medical students. 8.2 Challenges 8.2.1 Lack of Connectivity between Knowledge Precincts

As discussed above, the three major knowledge precincts in Gold Coast are located in Southport, Robina and Coolangatta. Due to the oriented design of Gold Coast transport infrastructure, there is currently lack of direct connectivity, particularly by walking, cycling and public transport, between these knowledge precincts (O’Hare et al., 2012). By strengthening transport links between these key precincts, greater links between universities and hospitals can be established. 8.2.2 Lack of Research and Development Collaboration There is a need for the council to further collaborate with the three universities located in the city, namely Bond University, Griffith University and Southern Cross University. Currently, there is only single focus on one knowledge and health precinct around Griffith University in Southport, which concentrates on the field of health sciences. By collaborating with the universities, greater synergies between universities, local businesses and the council can be developed in order to stimulate the city’s research and development (R&D) activities in various fields of knowledge. 9 GOVERNANCE The paper now looks at the final theme of Governance, which relates to arrangements and plans for creating smart cities. 9.1 Opportunities 9.1.1 Council’s Economic Strategies

The GCCC has adopted three primary strategies to promote Gold Coast as a smart and economically sustainable city. These strategies are Economic Development Strategy, Digital Strategy and Pacific Innovation Corridor. Through Economic Development Strategy, the council aims to promote the city as an international destination of choice for businesses. One of the key themes of the strategy is Innovation, which seeks to encourage establishment of new start-up businesses and utilise ICT as part of the city’s systems more effectively. The strategy’s Cultural theme, meanwhile, seeks to “attract new talent, knowledge workers and investment” by strengthening the city’s unique culture (GCCC, 2013c, p. 17). The GCCC has recognised that a focus on digital economy and strategy can lead to substantial economic benefits for a city. To this end, it has adopted a Digital Strategy, in which ways ICTs and advanced technologies can be integrated to the city’s construction, manufacturing and tourism industries are identified. The strategy also outlines the council’s approach to enhancing the city’s ICT infrastructures. Pacific Innovation Corridor is a long-term economic development program which has designated 13 precincts across the city as key economic centres. Technology focus has been given to three of the precincts, namely Robina, Southport and Varsity Lakes. Therefore, future planning and development in these communities will have strong emphasis on ICT infrastructure and services. All three strategies discussed above will provide Gold Coast with an attractive environment for ICT workers and businesses. 9.1.2 Digital Enterprise Program The GCCC applied for and secured funding from the Australian Government to run Digital Enterprise Program workshops. The workshops, available and tailored to individuals and groups, aim to improve the manner in which organisations conduct businesses and deliver services online. The workshops cover a range of topics, including cloud services, teleworking, cyber security, and online presence (GCCC, 2013b). The program plays a vital role in supporting local businesses by capitalising on the potential that ICTs offer.

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9.1.3

Open Data Access Project

The GCCC has “committed to publishing priority datasets, in an open manner that facilitates transparency and the development of solutions and tools by Gold Coasters for Gold Coasters” (IT Gold Coast Forum, 2014). To this end, the council has recently implemented an Open Data Access Project to establish a framework for distributing data collected by government authorities to the public. The project aims to ensure the data distribution will allow innovative information products to be available to local communities of Gold Coast. It also seeks to build local capabilities of ICT businesses and provides commercial opportunities for local ICT start-ups (GCCC, 2013e). In late 2013, the GCCC hosted an Open Data Forum, attended by data enthusiasts and developers. The event solicited innovative ideas on how locally collected data can be used and distributed. Another topic covered in the forum was the types of data that would be useful to local ICT businesses and local community members. There needs to be greater involvement of local community in this project, in terms of understanding their needs and concerns, as well as identifying ways in which they can contribute to the project. 9.1.4 Public-Private Collaboration

The GCCC has been actively collaborating with a number of private businesses to spearhead the development of the city’s ICT industry and infrastructure. As discussed previously, the council has been working with CoastalCOMS in monitoring beach conditions and acted as a Founding Partner for TechSpace. The Open Data Access Project also strongly involves the private industry in order to ensure appropriate types of data are available publically for the most innovative and useful outcomes for the community. 9.1.5 Opportunistic Approach for Smart City The GCCC has displayed an opportunistic approach to promoting Gold Coast as a smart city. The council successfully applied for and secured the IBM’s Smarter City Challenge Grant to acquire input for its smart city initiatives from the private sector. The council also won the bid to host the 2018 Commonwealth Games, which represents a major prospect to promote the city’s profile as well as developing smart infrastructure for events. In 2013, Gold Coast hosted the Intelligent Cities Summit, a two-day conference on smart cities attended by academics, decision makers and corporate executives. The event promoted Gold Cast as one the places “central to the creation and commercialization of innovative new products, processes, and services for global markets” including the development ICT infrastructure and workers (Future Cities Institute, 2013). 9.2 Challenges 9.2.1 Ownership of Data During the Open Data Forum, data ownership was identified by local ICT businesses as a major barrier to creating innovative information products. While some data on local environment conditions belonged to the local council, others were exclusively owned by state or federal governments. Due to the data ownership arrangements, local developers were unable to create smartphone apps which provide information such as weather warnings in real time. The ICT businesses also cited the need for all data to be available publically in real time in order to create useful products for local communities. 9.2.2 Lack of Strategic and Statutory Directions for Smart City While the council has displayed an opportunistic and collaborative approach to establishing the city as a smart city, it has not incorporated its intention in this regard in its Corporate Plan 2009-2014, the document charting the city’s strategic directions. Likewise, the draft City Plan 2015, the new planning scheme which outlines statutory requirements for planning and development throughout the city, does not specifically mention developing the city as a smart city. As such, there is lack of strategic and statutory directions for creating Gold Coast as a smart city. Figure 3 summarises the challenges and opportunities for developing Gold Coast as a smart city.

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Fig 3: Challenges and opportunities to develop Gold Coast as a smart city

10 CONCLUSION With cities becoming increasingly globalised and competitive and moving towards knowledge and information economy, the concept of smart cities is attracting interest from city officials, the private sector, local communities and academics. This paper has examined the nature of smart cities through a literature review of the idea. The use of ICTs alone does not make cities smart – other dimensions including cultural and natural amenities, people and skills, knowledge precincts and governance are equally important. These factors were collectively integrated into a smart city framework, which was then applied to the case study of Gold Coast to identify challenges and opportunities in developing the city as a smart city. Five key lessons for developing smart cities have emerged from the case study analysis. First, to attract and retain knowledge workers, public safety, housing affordability and employment opportunities are important considerations. Second, privacy and security concerns of the community associated with collected data need to be addressed when implementing ICTs for monitoring the built environment. Third, given universities create knowledge workers for the city they situate in, there is a need to establish collaborative links between these universities and other stakeholders, including local council and businesses. Such links can create opportunities for R&D activities and provide practical training to university students, thus providing them with effective transition from the academic environment to the industry. Fourth, data collected by ICTs should be publically available in real time to facilitate the creation of information products and services for local communities. Lastly, while programs and collaboration between the private sector and the public sector are important, smart city development should be embedded as a key objective in strategic and statutory plans for a city and local community needs to be actively engaged in the planning process. By doing so, not only will the transition of the city into a smart city become a planning priority, but the city’s future development, driven by the private and community sector, will also be supportive of the smart city objectives. 11 REFERENCES
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reviewed paper Checking Smartness “On the Ground”: Historically Rooted Dilemmas, Future Challenges and Visions for a Smarter Metropolitan Area of Rome Cecilia Scoppetta
(PhD Cecilia Scoppetta, Sapienza University of Rome)

1 ABSTRACT Without establishing a link between theoretical reflection and empirical inquiry, “smartness” as well as “smart development” risk to be nothing but what Star and Griesemer (1989) would call a «boundary object» (i.e.: something that can be interpreted in so many different ways). On the one hand, in fact, three main different smart urban development approaches can be distinguished; on the other, existing resources and local weaknesses, possible opportunities and challenges play a relevant role. The aim of the paper thus consists of checking “on the ground” the concept of “smart development” by using as a case-study the city of Rome and its metropolitan area. 2 SMARTNESS AS A “BOUNDARY OBJECT” Contradictions, ambiguities and even unexpected consequences implicated in concepts, ideas, images and imaginaries rotating around “smartness” require a link between theoretical reflection and empirical inquiry: checking “on the ground” existing resources and local weaknesses, possible opportunities and challenges to be considered for a city – in this case, the metropolitan area of Rome – in order to become “smart” is of paramount importance for assessing the present state and the future perspectives of smart cities. In fact, by using a notion originally proposed by Star and Griesemer (1989), we could say that “sustainable development” – as well as the ITC “declination” of smart cities – is nothing but a «boundary object», i.e.: an “object” (which can be constituted by material objects as well as texts, ideas, programs and so on) that can be interpreted differently, given the different perspective and interests, by the actors involved while retaining a core set of shared meanings, allowing mutual understanding or productive misunderstanding. As well-known, the very idea of “smart development” was first proposed by Meadows et al. (1972), but its “official” roots are to be searched in the concept of sustainability (WCED, 1987): since 1987, when “Our Common Future” established “sustainability” and “sustainable development” as part of the global lexicon, such concepts have become a fundamental theoretical framework for urban and regional studies, but they could also be described as one of the most important pieces of rhetoric characterising the last three decades (see, e.g.: Myerson & Rydin, 1996): as both a “catchwords” and a contentious concepts from the outset, scientific literature on the topic is considerable, and yet books and article come out relentlessly (a literature review on the topic can be found in: Jepson, 2001). Nevertheless, the idea of “sustainability” – too broad, vague and economically-centred – is far from being an effective paradigm: while many scholars highlight how the meaning of “sustainable development” still remains obscure (Lindsey, 2003; Hanan, 2005), even its best-known definition— «development that meets the needs of the present generation without compromising the ability of future generations to meet their needs» (WCED, 1987, p. 8) — is widely criticised on a variety of environmental, economic and ethical grounds (see, e.g.: Daly, 1989; Daly & Cobb, 1989; Broad, 1994; Skirbekk, 1994). In short: what is at stake is how needs are to be defined and anticipated, and by whom. Not surprisingly, although there is substantial agreement about the conceptual meaning of sustainability in ecological and systemic terms, its translation “on the ground” into physical human settlements remains problematic (Harris & Goodwin, 2001). 3 THREE SMART SUSTAINABLE URBAN DEVELOPMENT MODELS

3.1 Smart growth According to literature on the topic, three main different urban development approaches can be distinguished. First, the model of “smart growth”, which can be understood as an attempt to restrain sprawl through a variety of land-use control and other regional/local policy mechanisms aimed at encouraging more compact development, urban revitalisation/re-discovery, transportation and housing diversity, open space protection, and collaborative decision-making (see, e.g.: APA, 2002; see also: Campbell, 1996). During the 80s, in fact, in many European cities the economic growth has been accompanied with a reduced population density (Newman & Kenworthy, 1999; Bruegmann, 2005), and decentralisation of workplaces and
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residences is by many considered an almost inevitable tendency in Western Europe (EEA, 2006), while in the Eastern European countries urban sprawl takes place «at a pace which leaves anything experienced in the west far behind» (Schwedler, 1999). As a consequence, during the latest decades, several studies (e.g.: Newman & Kenworthy, 1999; Williams et al., 2000; Næss, 1993; 2001) have investigated the performance of different urban spatial structures against sustainability criteria. The smart growth approach particularly focuses on the relationship between urban form and mobility as it is believed that dense and concentrated urban development is more conducive to sustainable mobility than lowdensity spatial expansion of the urban area (Newman & Kenworthy, 1999; Næss, 2006; 2009; 2010; Zegras, 2010), so that the compact city is proposed as a sustainable urban form (CEC, 1990; Jenks et al., 1996), without considering the relevance of the inhabitants‘ choices of mode of transportation, which, in turn, are influenced by further factors, such as, for instance, the relative speeds of car and public transport (Næss, 2006). Furthermore, many scholars still tend to focus on a technical invention, as the automobile is, as the cause of the spreading of sprawling pattern, but this is a simplicistic view, since not only the city scale represents a specific challenge, but also cities’structures and mobility patterns are arguably highly complex systems that are shaped in so very different ways depending on the natural, social, economic and political conditions. In fact, the “car regime” actually still is something different within European countries: it characterised West European cities during most of the 20th century to an extent higher than the Soviet Union or the East European countries – where collective solutions and, consequently, apartment buildings were dominating – but lower than USA and Canada, where individual solutions and lifestyles and, thus, singlefamily homes played a relevant role (Pucher, 1990). Under smart growth, however, an expansive economy and population are not viewed as necessarily incompatible with environmental protection (Daniels, 2001; Porter, 2002; Ye et al., 2005), whereas, instead, what seems to be needed is a critical analysis of overall political-economic structures and mechanisms acting as driving forces towards generally increased consumption levels, single-family housing and mobility schemes, and weak urban land use regulations (Harvey, 2010). In other words, barriers to smart sustainability are to be searched into the capitalist economic system and its growth imperative, competition, uneven spatial development and adversion against regulations. 3.2 New urbanism Supported by a strong interest group in both US and UK, the model of “new urbanism” (CNU, 2009; Barnett, 2004; see also: Næss, 2011), instead, is strongly design oriented, representing an “architecture of community” that is more humanised in scale and character. With a focus on physical appearance and neighbourhood layout to improve quality of life, it calls for more compact, mixed-use development, housing diversity, architecture that is consistent and sensitive to place, common open space abundance and internal circulation that is pedestrian friendly and oriented (Katz, 1994; Wheeler, 2004). Problems concerning the model of “new urbanism” consist of the fact that the latter is nothing but a “niche solution”, which will have to co-exist for a very long time with the inertia of the existing urban built environment: a long-term affair also representing an investment that unavoidably creates strong path-dependencies. Thus, such niches of innovation are smart only in a relative sense, not in absolute terms, since old material structures are rarely being removed to the same extent as new ones are added. Smart urban development, in fact, is not only about promoting the environmentally less damaging solutions, it is also about actively constraining and shrinking the existence of the unsustainable “objects”. Furthermore, the actors promoting such niche solutions and the vested interests they represent seem to be somewhat overlooked, being a little focus on struggles between different interest groups each seeking to realise their specific desired version of a smarter sustainable society: a practice of “offering something for every taste”, which appears to be closely tied to the prevailing neo-liberal and economic paradigm and to the related consumerism represented by ever-increasing mobility and soil consumption. Not surprisingly, Krueger and Gibbs (2007) highlight a strong correlation between US cities which have prospered in the socalled “new economy” and those which have adopted sustainable policies, since increasing green public areas, decreasing traffic and road congestion, promoting green energy systems and alternative ways of recycling may be considered as factors in the attraction of talent, tourists, and investors, also contributing to both an increase in housing costs and a fostered process of gentrification: an unintended result that has been defined as «eco-gentrification» (Keil, 2007).
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In this sense, the model of new urbanism clearly mirrors discourses of ecological modernisation (Mol et al., 2009) as it seems to be permeated by a tacit assumption of continual economic growth, according to which innovation can redefine ecological limits, so that economic growth can be de-coupled from environmental degradation by re-directing production towards environmental goals (Smith et al., 2010) and thus promoting a sort of green competitiveness in the market economy (see: Bluhdorn & Welsh, 2007; Vavouras, 2011), without considering the need to ensuring a decent standard of living for the least affluent inhabitants. What is to be highlighted here are risks in policies which are theoretically framed in a smart sustainable approach but which in practice are simply sustaining a green economic growth: in fact they can end fostering inequalities among social groups (Cucca & Tacchi, 2012). 3.3 The “ecological” approach Finally, the perspective of what can be summarised as the “ecological” approach is local, but its area of concern is systemic, as it considers the community as the product of a collection of interactions that must be kept in balance over time. The aim is to develop communities that do not exceed the limits of nature to sustain them, according to the concept of carrying capacity. This is accomplished primarily through public policies that encourage the replacement of non-renewable energy and other resources, the protection of open space (particularly in relation to biological and natural processes, assets and services), the use of “appropriate” technologies, the reduction and natural assimilation of waste, and local economic and functional self-reliance (Platt, 2004; Kline, 2000; Register, 2002; White, 2002). Nonetheless, as Pellizzoni (2012) argues, the undeniable successes towards eco-efficiency due to new technological and regulatory instruments «look geographically, socially, politically and technologically fragmented», so that they end to be «often questionable in their eventual result». On the one hand, as the connections it establishes between economic, ecologic and social aspects constitute a cornerstone of the notion of sustainability, according to which profit, planet and people are to be seen not only as reciprocally implicated but as mutually reinforcing, Connelly (2007) argues that the image of three intersecting circles «neatly capture[s] the difference between sustainable development and the previously separated concerns of policy and politics, suggesting not only the holistic scope of the concept but also its characteristic claim to integration». On the other hand, Marcuse (1998) points out two main critical aspects of the concept of sustainability: the first one concerns the limitations imposed by the technology of the present and near future on the ability of the environmental resources to fulfil human needs; the second consists of the barrier, represented by the social organisation of the economic means of production, to the possibility of following a sustainable pattern of development. Therefore, as Burns (2012) remarks, «rather than precise scientific concepts», “sustainability” and “sustainable development” «are political and normative ideas». As such, they do not imply semantic disputations but political arguments (Jacobs, 1999) because «they are contested and part of struggles over the direction and speed of social, economic, and political initiatives and developments» (Burns, 2012; see also: Davidson, 2009; Krueger & Agyeman, 2005; Bluhdorn & Welsh, 2007). Risks, in fact, concern that «in place of radical new openings» the term could be (and usually is) «attached uncritically to existing practices and policies that might benefit from ‘re-branding’», on the broader frame of «the re-emergence of market economics and neo-liberal policies», and the consequent attempt «to transform environmental choices into market preferences, following neo-liberal orthodoxy» (Redclift, 2005; see also: Swyngedouw, 2007; 2010; Pellizzoni, 2011; Pellizzoni & Ylönen, 2012). In fact, although «human well-being, equity, democratic government, and democratic civil society are central constituents of sustainability» (Magis & Shinn, 2009), the social pillar of the concept has entered the political agenda to a limited extent (Dillard et al., 2009). On the one hand, despite some exceptions (e.g.: Pòlese & Stren, 2001; Magis & Shinn, 2009; Boström, 2012), especially topics relating to social inequality, justice and inclusion seem to be both less integrated into studies considering sustainability and replaced by more intangible and less measurable concepts, such as “identity”, “sense of place”, and the benefits of social networks (Colantonio, 2008). On the other hand, traditional themes, such as equity, poverty reduction and livelihood, have instead been gradually left to the broad and independent literature concerning overlapping concepts such as “social cohesion” and “social exclusion” (Pahl, 1991; Littig & Griessler, 2005).

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4

CHECKING SMARTNESS ON THE GROUND: THE METROPOLITAN AREA OF ROME AS A CASE STUDY

4.1 The role of rent and the spreading of illegal settlements 4.1.1 The “real estate block” as collusive oligopoly

At the beginning of the 19th century the city of Rome was surrounded by the vast emptiness of the so-called “Roman Campagna” and a new bourgeois class was emerging. These were the so-called “mercanti di campagna” (“countryside merchants”): about 80 former shepherds who accepted to rent lands from aristocratic landlords even with lease contracts based on 15-years prepayments in order to manage all the economic activities linked with the latifund. After the unification of Italy (1860), when Rome began the capital city (1870), such emerging social group – more and more involved in building activities – will constitute a serious obstacle for modernisation: first for its systematic evasion of taxes on agricultural products, and, second, for its complicity with the aristocratic landlords to retard, through false purchase and sale, the selling off of ecclesiastic properties according to the Law no. 1402/1873 (Della Seta, 1987). This coalition constitutes the basis of what, in the mid-20th century, Parlato (1970) will call «blocco edilizio» (“real estate block”). As a result, from 1873 to 1881 about a fourth of the land of the Roman Campagna changed its owner, but without being divided in smaller plots, as the law required, so that large and very large latifunds (50% more than 500 ha., 20% between 2,000 and 5,000 ha.) were 396, and owners 204. Thus, what will become the distinctive features of the urban development of the city of Rome are already highlighted here: first, the assumption of rent (especially “waiting” rent) as primus movens for urban development, resulting in a collusive oligopoly of the holders of building areas (Insolera, 1962; Tocci, 2009; Natoli, 1953; Cederna, 1956; 1965; 1991; Della Seta & Della Seta, 1988); second, the weakness of the local public administration, who renounces claiming a non-partisan position (Insolera, 1959). In addition, a cultural debate highly dissociated from the effective management of the city, although architects and planners, as depositories of “specialist” knowledge, tended (and still tend) to establish themselves as members of the ruling class (in: Sanfilippo, 1992). On such a background, two distinctive movements characterising the cyclical process of urban expansion can be clearly distinguished: a first one consisting of the establishment of legal or illegal settlements as isolated outposts in the rural space, outside the borders defined by the city’s master plans; then, a second movement corresponding to their legitimisation through the inclusion within further borders of further plans (i.e.: their “phagocytation” by the urban, but without really “digesting” them). For this reason, differently from northEuropean countries, urban sprawl in Rome cannot be interpreted as the outcome of sub-urbanisation, guided by the demand for a better quality of life, but rather as the expression of an over-urbanisation: a sort of «overflow» (Scoppetta, 2009). Such double movement – building outposts in the rural space, then including them into master plan thus providing them with public infrastructures and services so that the in-between areas may be granted of planning permissions – means a process of rent accumulation given by the betterment value (i.e.: the increase in the value of land determined by changes in the planning regime). In other words: the increase of the value of land is clearly concerned with planning decisions as the latter may consist of granting of planning permission for a higher value. Both infrastructure improvements and provision of new services are further forms of betterment that increase the value of land. Parlato‘s «blocco edilizio» (1970), dominating the city for so many years, was a heterogeneous coalition politically supported (and largely favoured) by the right-wing, with a hegemonic nucleus of landlords (widely including the Catholic Church for obvious historical reasons) and financial groups. Among these, the Società Generale Immobiliare (SGI), a land-credit bank controlled since 1935 by the Vatican thanks to money deriving from the compensation by the Italian State within the frame of the Lateran Agreements (Vidotto, 2005; Caracciolo, 1956). In 1945, in fact, the Vatican was one of the four major shareholders (32%, while the other three: 5,1%, 2,9%, 1,8%) (Bartolini, 2001). Such coalition used for rent-seeking what Parlato (1970) has identified as «the ideology of privately owned house» (see also: Rochat et al., 1980). In fact, in 1951 a relevant unbalance existed between the total amount of flats and resident families, as many of them arrived in Rome from the central and southern Italy during the final bombing phase of WWII and informally settled outside the urbanised area. They lived in crowded (600.689 families) or overcrowded (520.517) conditions, and less than a half of the inhabited flats were not provided with kitchen, drinking water,

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bathroom, electrical and gas equipment (103). In 1951, in fact, the urban areas with illegal and informal buildings occupied 1.300 ha. and hosted 150.000 inhabitants (De Grassi, 1979). In 1948 the SGI promoted the Istituto per l’edilizia economica e popolare (IEEP), a public/private partnership for social housing involving the Vatican, some private banks and some of the major national public or private companies as well as the (public) Cassa per il Mezzogiorno, established for promoting the development of the disadvantaged Southern regions. The IEEP was widely favoured by the funding provided by the so-called “Tupini’s Law”, and, then, by the Decree no. 399/1947 (then: Law no.22/1950). Thus, after the stop due to WWII, at the end of the 40s the building sector impressively grew. In the decade 1951-1961 the population increased (+32,4%), and between 1951 and 1971 the total amount of flats tripled (from 319.230 to 873.802). Between 1951 and 1958 4.000 ha. were urbanised (+80%). In the decade 1951-1961, at the beginning of the so-called “economic miracle”, 253.016 flats were built, corresponding to the city of Genoa (Avarello, 2000). Then, at the end of the 60s, building activities decreased, and between 1971 and 1981 new flats were less than a half than the previous decade (from 301.556 to 141.967). Anyway, the direction of the expansion was always given by land-ownership (precisely: by lands owned by the SGI). 4.1.2 The public, the private and the illegal city Between 1951 and 1961 a 15% of legal buildings were directly promoted by the public sector, while a 20% was built by more or less publicly-supported cooperatives and the remaining 65% by the private sector. In the 60s, when the total population of the city reached 2,167,285 residents, the total amount of legal buildings provided by both the public sector and cooperatives decreased (4,4% and 5%), while private building activities increased (90%). But such tumultuous expansion could not solve the housing problems, as the housing supply was widely unbalanced towards higher and middle classes. In fact, in 1981 there was an increasing of urban areas with illegal and informal buildings (8.500 ha., i.e.: 28% of the urbanised areas), with 800,000 inhabitants and families living in crowded (29,1%) and overcrowded (21,3%) conditions (Insolera, 1962; see also: Ferrarotti, 1974). The «spontaneous metropolis» (Clementi & Perego, 1983) that emerged in the “Roman Campagna” was made by settlements that «do not seem having any definitive goal», as they are the «result of unstable additions and adjustments», so that each settlement «during a month can be changed; during a year it certainly will», since «the simple possibility in achieving any balance does not have a sense, because there has never been a project to be implemented» (see also: Berdini, 2010). Even because of the flourishing of both innovative approaches in sociological research (Ferrarotti, 1970; 1974) and Pasolini’s literary works (1955; 1959), such dualism between the legal and the illegal city led, however, to the emerging of the periphery as a new active social subject, and this, in turn, during the 70s, resulted in urban struggles for social housing that, finally, led to a shift in both political coalition and urban regime that ended influencing the national policy. In fact, the welfare regime of the new left-wing coalition, by focusing on the periphery utilised the so-called “Fanfani’s Law” (Law no.43/1949) for social housing (see: Di Biagi, 2001) in order to increase the “public city” and to compensate with a large amount of public investments for the severe rent speculation of the previous conservative urban regime, occurred outside any regulative framework. The public activism in constructing the city, therefore, increased, and in the 70s the public city reached the 17% of the total amount of built flats. But, however, it remained below average with respect to the other European countries (Dematteis, 1995). Furthermore, the new welfare regime paradoxically ended favouring the “real estate block”, as the newly built neighbourhood were located far from the extreme edge of the urbanised areas, and often in-between large privately-owned lands, so that landlords could exploit through the mechanism of the so-called «saldatura edilizia» (“building soldering”) (Insolera, 1962) the public infrastructure and services that provided their land with an increased value. During the 60s, several reform proposals were unsuccessfully made in order to eradicate or capture the betterment value created by the planning system. In 1962 the Demo-Christian Minister for Public Works Fiorentino Sullo elaborated a comprehensive bill aimed at requiring prior public ownership of land before any development could take place: no development was to be allowed on private land and the expropriation costs were to be based on the agricultural value of land. Municipalities in turn were to service the bought land and then sell it at a value increased by the costs borne to build infrastructures and utility facilities (Sullo, 1964). But, surprisingly (or not?), the Prime Minister and leader of the Demo-Christian Party Aldo Moro withdrew his support to the reform (which was proposed by a member of his own party!). The latter was subject to a violent campaign of denigration in the national press and portrayed as wanting to “steal homes”

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from Italians, so that the reform was definitively abandoned in the name of the Parlato’s (1970) «ideology of privately owned house». During the 60s was also approved a new master plan. The plan making process took about 12 years to come to approval, so that the original plan prepared during the 50s had a completely different strategy from the final version: about 5 million people and rooms (2 million more than the current registered population, according to Campos Venuti, 2001) to be accomodated in future years in the city. In this way, private property landowners were granted development rights for about 3 million rooms of which around one third remained unused at the present time. Such overdevelopment still represents one of the major challenges for constructing a really smart sustainable vision. 4.2 The unsustainable metropolitan area of the city of Rome in neo-liberal times 4.2.1 Overflowing outside city limits

The current urban form of the metropolitan area of the city of Rome is the result of the described rent-guided pathway: despite many proposals and also official comprehensive plans aimed at decentralising the urban growth according to polycentric principles, it appears as still centralised, with an extensive and discontinuous outlying “nebula”. Expansions, in fact, have been developed around the core area according to the historical radial routes and following subsequent sprawling, which were led by both the direction of public housing neighbourhoods and the spread of illegal suburbia. The result is a fragmented more or less protected rural discontinuity within the urban fringe. If analysed according to an approach based on the theory of the cities’ life cycle (Berry, 1976), the situation in 1961 consists of the first stage of urbanisation. In fact, the settlement pattern is still centralised on Rome (2.167.285 residents, i.e.: 78,1% of population of the Province of Rome) and the space occupied by urban uses (10.262 ha.) is almost 70% of the urbanised area in the Province (Scoppetta, 2009). In 1991, both lower population and settlements dynamics can still be interpreted, according to an evolutive approach, as the effect of the second phase of relative de-centralisation. During the 80s, in fact, Rome lost its population (2,45%) while the other municipalities grew (+15%). Also the urban land use area in Rome grew (+14.8%). The other municipalities, instead, for the first time overcame Rome, where there was a significant residential de-centralisation. According again to an evolutive approach, the effects of the phase of absolute decentralisation of the 90s clearly appeared in 2001. Rome (2.546.804 residents, i.e.: 68.8% of the provincial population) lost population more relevantly than in the 80s (-187.104, -6.8%) with a smaller increase of urban land uses (34.122 ha, +9.7%) with respect to the previous decade. In the adjacent centres, instead, the increase was +494 ha. (including 350 ha. near the borders with Rome). However, if analysed as related to the exponential increase in house prices, data gain a different meaning: in Rome, in fact, the real estate sector grew by 4,1% in 2001, by 2,3% in 2003 and by 4,7% in 2004 but, nevertheless, this abundance of supply could not “ meet” the growing demand for low-cost housing, which, instead, remained unsatisfied also because of the substantial absence of adequate housing policies (see: Caudo & Sebastianelli, 2007; Berdini , 2008). The association between performances of real estate market and settlement dynamics of Roman metropolitan area seems to suggest, therefore, a different interpretation. Sprawl is not the outcome of a sub-urbanisation stage and of the demand for better quality of life, but it is the expression of a growth trajectory rather tending to an over-urbanisation. In short, the breaking of compact city do not stretch towards a settlement pattern based on diffusion, but – on the contrary - to a kind of demographic-building “overflow” without discontinuities from the more central areas to the suburban ring. In other words: the city of Rome “spontaneously” tends to shift the demand to low-income housing towards the contiguous territories, thus spreading towards the hinterland an extensive and undifferentiated metropolitan suburbia, as the housing demand tends to be simply resolved through the further enlargement of the existing urban form. According to such trends, therefore, the housing resumption of Rome (especially if devoted to high-income social groups) will allow the absorbing of an insignificant share of the constant (even if low) population growth (recorded in 2005). A main portion of this would be instead absorbed by neighbouring centres, emphasising the widespread nature of settlements, while functions and activities supply and the resulting commuting would continue to focus on the central urban area and its peri-urban periphery. This means that settlement processes of almost equal weight to those in the central area will arise and will result in the
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disintegration of the historical little-sized surrounding centres through diffusive patterns, by “nebulising” the morphologies of the original polycentric settlement system and thus establishing a substantial homogenisation of different territories. In fact, the forms of such an “overflow” of the city of Rome appear as substantially homogeneous and indifferent to the existing structures. The peculiarity of such a pattern more clearly appears when comparing data on soil consumption in the Roman metropolitan area with those of similar European territorial contexts: significantly, higher values result not only as concerns the territory of the municipality of Rome, but also and especially the territory of neighbouring centres having higher values than the “rings” of European capitals, which are characterised, in general, by planned settlements. 4.2.2 Neo-liberal planning and path-dependency

During the more recent decades, the historically rooted role of rent in shaping the urban form of the city of Rome has been re-launched by the new-left coalition that has governed the city from 1993 to 2008 through the developer-led planning practice called “planning by doing” (see: Berdini, 2008) – i.e.: single large-scale projects instead of comprehensive plans – whose starting point consists of the establishment of special legislation (Law n.396/90) for the Jubilee, including a more manageable planning procedure based on a public-private agreement (the “accordo di programma”). Such planning practice was presented as a way to overcome what Sullo (1964) had indicated as «the slowness with which plans (do not) come to adoption – slowness that can last ten to fifteen years», which «is not the result, as someone wants to believe, of lack of commitment by administrators and public officers, but it is determined above all by harsh private negotiations for the use of areas to be developed». In fact, once development rights are assigned (and massive increases in the value of land are thus determined), the private developers acquire wide discretion on timing of implementation, since such rights (which are reversible in theory) will never be withdrawn by local administrations so as to avoid major opposition. This highlights what has been identified as a distinctive feature of Italian planning practice (Chubb, 1981; 1982; Fried, 1973), i.e.: dark (sometimes degenerating into illegal) negotiations and networks (see: Raab & Brinton, 2003; O’Toole & Meier, 2005) aimed at influencing urban development towards already available areas or areas of easy acquisition. In this sense, it is worth underlining that, surprisingly (or not?), Italian planning literature (especially the academic) has not taken such a crucial element into consideration, being most of the studies on this subject carried out by British or US scholars (see e.g.: Banfield, 1958; Giordano, 2006). Even in the case of well-known critical scholars, such as Edoardo Salzano and Vezio De Lucia, and although in their works we can find some references to pressures on planning decisions (De Lucia, 2010; Salzano, 2010), such a phenomenon is never interpreted in terms of power relationships. On the contrary, if analysed by using political lens, in the «triumph of real estate speculation and commercial boxes» (Berdini, 2008) occurred in the most recent decade – i.e.: the most intense real estate cycle since the WWII occurred from 1997 to 2006 – we can find traces of what Peck and Tickell (2002) have called «rollout neo-liberalism» (see also: Raco, 2005), based on a more active role (rather than a reduction) of the State in facilitating the accumulation of capital. In fact, while the previous phases of speculation had occurred outside any regulative framework (the “illegal city”) and were compensated by public investments of the welfare state (the “public city”), the current trend – resulting in an unsustainable urban form – is legitimised by the new master plan (2003) on the background of the erosion of welfare policies at the local and national level. By referring to a non-updated idea of merely physical polycentrism (see: Scoppetta, 2011; 2013), the new master plan foresees 18 “new centralities” aimed at de-centralising the main employment locations that are traditionally located into the congested historical city centre. They are planned to be located along railway connections, in close proximity to rail stations with a strategy called the «steel cure» (Marcelloni, 2003), according to which, in the case of a new design scheme, public transport infrastructure must be in place and functioning before the new development is built. But such new developments – often consisting of a mere juxtaposition between residences and commercial boxes as the only reserves of urban life – have been located into or close to the properties of a few powerful (always the same) developers rather than in close proximity with already existing rail tracks and they have been carried out faster than the public infrastructure necessary to guarantee metropolitan connections. In addition, the promised public infrastructure remained unfinished (being them never started), with a
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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consequent strong car-dependent mobility, and, in certain cases, further project financing schemes have then been proposed as a way to find further funds for mobility infrastructures through further residential developments. Finally, in the more recent years, many scandals concerning corruption have arisen especially as regards calls for tenders related to infrastructures, with an impressive illegal appropriation of public funds. As the new Provincial Territorial Plan foresees not only further centralities (!!) but also road extensions in order to both connect the latter with the city centre and reduce congestion thus causing a higher proportion of the commuters to choose the car mode (Scoppetta, 2012) – whereas faster and better public transport may have the opposite effect (Mogridge, 1997; Næss et al., 2001) – things will obviously get worse. Not to mention the lack of criteria for the settlement of garbage disposal installations so that the emergency conditions can be used for favouring always the same landowner by locating such installations on his property or, more generally, for setting aside planning rules concerning the foreseen (and improperly called) “ecological network”. 5 CONCLUSIONS Rent-seeking policies and dark networks clearly highlight not only «the path-dependent character of neoliberal reform projects» (Brenner & Theodore, 2002), but also the reasons for which Rome can difficultly be intended as a smart city whatever the privileged approach (smart growth, new urbanism or the ecological). In fact, according to Campos Venuti (2010) «land rent represents the main pathological factor of the real estate regime and it is responsible for all its perverse effects on cities, [...] the environment and landscape». Such effects involve speculation, overdevelopment and reduced resources available for other kind of smart investments in other sectors of the economy and the need to provide for more and smarter infrastructure. In fact, the landowners who benefit from the increase in the value of land cannot be considered among the productive factors as such increment – which is neither the fruit of personal investment nor the consequence of individual efforts – unavoidably ends to result in taking away a quota of national income from the categories which produced it. Therefore, the way for Rome to become a smart city consists of collecting the increase of land value thus forcing developers and landowners to share with the wider community at least a part of the unearned increment they appropriate thanks to practices related with dark networks. 6 REFERENCES

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reviewed paper CitInES Project – Tool for the Sustainable Energy Action Plan for Cities Nicolás Pardo García, Rébecca Aron, Clémence Bénévent, Sofia Burioli, Silvia Morigi
(Nicolás Pardo, Austria Institute of Technology - AIT, Giefinggasse 2, 1210 Vienna - Austria, nicolas.pardo-garcia@ait.ac.at) (Rébecca Aron, Artleys - France, 12 rue du Quatre Septembre, Paris - France, Rebecca.aron@artelys.com) (Clémence Bénévent, 12 rue du Quatre Septembre, Paris - France, clemence.benevent@artelys.com) (Sofia Burioli, Municipality of Cesena, Piazza del Popolo 10, Cesena - Italy, est_burioli_s@comune.cesena.c.it) (Silvia Morigi, Municipality of Cesena, Piazza del Popolo 10, Cesena - Italy, amministrazione@energieperlacitta.it)

1 ABSTRACT Sustainable Energy Action Plan (SEAP) is the key document in which outlines how it intends to reach its CO2 reduction target by 2020. It defines the activities and measures set up to achieve the targets, together with time frames and assigned responsibilities. However to orient cities toward a low carbon society, longer lasting investment decisions and organisational changes will be necessary. In this conttext, the overall objective of CitInES European project is to design and demonstrate a multi-scale multi-energy decision-making tool to optimise the energy efficiency of cities to support the cities for the developemnt and monitoring of their SEAP. To achieve this goal, innovative energy system modelling and optimization algorithms were designed to allow end-users to optimize and monitor their energy strategy through detailed simulations of local energy production, storage, transport, distribution and consumption, including demand side management and coordination functionalities enabled by smart grid technologies. This paper presents the study case of the municipality of Cesena. This municipality, as a partner of the project, has implemented its SEAP under the tool to assess the impact of the measures taken under several scenarios and monitor its activities to validate the developed software. The different measure adopted to reduce the CO2 emissions and energy consumption together with an increase of the energy efficiency and use of renewables are such as increase of the green areas, increase of the use of cogeneration, renovation of the building or the promotion the use of PV and thermal solar panels. 2 INTRODUCTION In March 2007, the European Union (EU) endorsed an integrated approach to climate and energy policy that aims to combat climate change and increase the EU’s energy security while strengthening its competitiveness. The policy committed Europe to transforming itself into a highly energy-efficient and low carbon economy. To kick-start this process, the EU set a series of climate change and energy targets to be met by 2020, namely the so-called 20-20-20 target: at least 20% reduction of greenhouse gas emissions below 1990 levels, 20% energy consumption to come from renewable resources and 20% reduction in primary energy use compared with projected levels, to be achieved by improving energy efficiency [1]. In this context, the key challenges for Smart Cities and Communities are to significantly increase the overall energy efficiency of cities, to exploit better the local resource both in terms of energy supply as well as through the demand side measures. This will imply the use of energy efficiency measures optimising at the level of districts, the use of renewables, the sustainability of urban transport and the needed drastic reduction of greenhouse gas emissions in urban areas – within economically acceptable conditions - while ensuring for citizens better life conditions: lower energy bills, swifter transport, job creation and as a consequence a higher degree of resilience to climate impacts (e.g. urban heat islands effects) etc. Local governments manage or oversee all city activities and city development, they play a central role in determining the energy and carbon emissions picture of their cities. They also have direct access to their citizens and are best placed to know their needs and to influence their behaviour. Sustainable Energy Action Plan (SEAP) is the key document in which outlines how it intends to reach its CO2 reduction target by 2020. It defines the activities and measures set up to achieve the targets, together with time frames and assigned responsibilities [2]. Over the past decade a variety of attempts have been made at developing a holistic decision-making tool that will assist cities in developing urban energy strategies by helping them to assess how well they are currently performing (in terms of energy security and affordability and greenhouse gas emissions) and allowing them to evaluate energy strategies - bundles of energy demand reduction measures energy efficiency and supply measures – with respect to tcheir impacts in terms of increase in energy security, reduction in carbon emissions and their capital and operational costs, their cost savings and the ownership of those costs and
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savings as well as the payback periods of the concepts. Each development has originated from a particular discipline and has typically been an extension to the urban energy system as a whole of tools specific to that discipline [3-5]. The software tool developed within CitInES will consider the urban energy system as a whole. It will provide its user with the possibility to assess the financial risk and environmental impacts of a broad spectrum of measures ranging from the reduction of energy demand, the production and transformation of energy, its distribution and storage as well as the optimization of the whole energy system thanks to the communication of its sub-components. 3 METHODOLOGY CitInES methodology is driven by supply-demand balance methodologies used by Transmission Systems Operators and has been adapted to a more local context [6-7]. It can be divided into the following steps: 3.1 Characterization of the energy demand by usage and type of consumer The first step is to characterize the consumers by type (old/new apartment buildings, offices, hotels...) and by usage (space heating, water heating, lighting…). Thus, following data should be collected: • • • Urban planning: number of buildings of a given type, mean number of inhabitants by building, specific industries description… Transport: description of public transport, statistics on mobility… Energy use measurement (at city or district level, if possible by type of contract and with a hourly time step)

The details of the useful data are given in the database definition. Then, using CitInES energy demand profile data base, demand curves are to be provided by usage and type of end-user. It is indeed important to split the demand curves by usage and type of consumer in order to be able to build energy demand projections using macroeconomic scenarios. 3.2 Choice of macroeconomic scenarios for long-term energy demand and price evolution In this step, energy demand scenarios (typically for 2020, 2030 and 2050) will be constructed based on assumptions about long-term evolution scenarios of energy demand by usage and consumers type. • World macroeconomic models (for instance World Energy Outlook from IEA or scenarios from European Climate Foundation, see www.tsp-data-portal.org for a detailed inventory), which also generate correlated energy prices Local context evolution: urban planning, evolution of GDP by sector, forecast of population growth…

•

These scenarios give typically the annual energy consumption for a given type of consumer and usage, over a period of 40 years. 3.3 Definition of studied energy strategies and characterization of energy generation mix and transmission networks Once the energy demand scenarios are built, the next step is to define a set of energy strategies to study. Following data have to be specified for each energy strategy: • • • • • the forecast energy mix for each usage and type of consumer i.e. the proportion of each energy carrier (electricity, gas, heat, wood, fuel…) used for a given usage local energy generation and storage system: PV cells, waste-to-energy, cogeneration, geothermal energy, heat from industry process… transmission and distribution networks (electric, gas, heat, cold) demand side management : building insulation, energy efficiency or smart grids public transport policies : for instance electrical vehicles introduction

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3.4 Definition of uncertainty scenarios (temperature, wind, solar radiation, outages, power market prices…) The evaluation of energy strategy depends on long-term energy price and demand scenarios, but also on short-term uncertainties scenarios (temperature, wind, solar radiation, outages, power market prices…). Test cases with a hourly granularity over a year will be built, crossing local historical data (for instance for weather) with CitInES data base. Typically, 10 to 100 test cases (yearly time series with an hourly granularity) will be used for strategy evaluation. 3.5 Scenario simulation To assess an energy strategy, CAPEX is computed by optimizing local generation and storage capacity to face the demand but also includes required energy network CAPEX costs, while OPEX and fuel costs evaluation is obtained by minimizing costs to match production and demand, taking into account technical and operational energy system constraints. Optimization takes also into account existing and potential energy generation from renewable energy sources. Finally, pollutant emissions are evaluated including direct emissions generated from local energy systems and indirect emissions generated from grid energy supply.

Fig. 1: CitInES software overview – Cesena study case

4 CESENA – STUDY CASE Cesena belongs to the Emilia-Romagna region of the northern Italy and is situated ca. 15 km away from the Adriatic coast. Together with Forlì, Cesena is the capital of the Forlì-Cesena province that contains ca. 378.000 inhabitants and 30 Municipalities. Cesena itself has a population of ca. 97.500 inhabitants (31st December 2011). Due to its proximity to many important towns (such as Bologna, Rimini, Firenze and Ancona), Cesena has an important role as a transport hub and is a strategically significant logistical point in Italy (Bologna airport and railway station, harbours of Ravenna and Ancona). In addition, some strategic national routes pass by Cesena. Cesena has a long established tradition as a centre of manufacturing, specialized in the agro-industrial sector. In comparison to other manufacturing fields, this sector has grown considerably over the last decade. The industrial and demographic pressures require a new kind of approach to the challenge of energy efficiency and environmental impact. There are wide margins for improvement in terms of a sustainable approach to energy consumption and efficiency.

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4.1 Energy networks Electric grid: Cesena has an extensive medium voltage electric network supplying the residential, service and industrial sector with a total energy consumption of around 490 GWh [8]. Specific information about the high and medium voltage is available together with the location for the electric substations for high-medium and medium-low voltage. The total length of the electric network at high and medium voltage is around 596 Km of electric lines where 14 Km are high voltage [9] Natural gas grid: To the municipality of Cesena belongs an extensive grid for the distribution of natural gas supplying the residential, service and industrial sector which supplies around 920 GWh of energy [8]. The total length of the gas distribution network piping is around 750 km. Specific information about the material of the pipeline, diameter, length and type together with connection points to the buildings and distribution for each pipeline is available for the Municipality of Cesena [10] Heating and cooling grid: In the municipality of Cesena are existing six district heating networks delivering heat to residential and service buildings. Specific information about the distribution of the pipelines, connection points to the buildings and the installed capacity is available. The total length of the district heating network is 11 Km of pipelines. Base load is provided by the CHP plants located in the parts of the town called “Ippodromo” and “Buffalini” (inaugurated in 2012). An absorption machine is connected to the CHP installed at Buffalini providing cooling for the hospital “Ospedale Murizio Buffalini”. The remaining district heating grids are micro-grids driven by gas boilers which are connected to 19 gas boilers with a thermal capacity of 21.7 MWt with an annual thermal energy production of around 15529 MWht [11-12]. 4.2 Building sector Technical information about the characteristics, location and activities developed for the residential, service and industrial buildings of the Municipality of Cesena is. Residential Sector (RS): The residential sector with a total surface of 2.73 km2 represents around the 54% of the total built surface of the municipality. For each residential building the year of construction, the location and if it is use also use for additional purposes (part of the building is use for commercial activities) is available [13]. Around 11% of residential buildings are classified as High Efficiency buildings with energy consumption less than 50 KWh/m2/a, around the 33% are Medium Efficiency buildings with energy consumption between 50 - 200 KWh/m2/a and around 54% as Low Efficiency building with energy consumption higher than 200 KWh/m2/a [14-15]. The Municipality of Cesena does not have specific information related to the share of the electricity and heat consumption by end use. However, statistics at national level were considered as assumptions for the calculations [16]. Service Sector (SS): The service sector with a total surface of 1.197 km2 represents around 24% of the total built surface of the Municipality [13]. Each building is classified according to its main activity in four categories: commercial, tertiary, service and touristic. Commercial buildings include activities such as shops, tertiary cover office building, service comprise all the public activities such as school and touristic covers restaurants and hotels. Most of the buildings are oriented to commercial activities representing around 65%. Service activities, related with the public activities such as school, accounts with around one 23%. Finally, the rest of the surface is designated for service and tourist activities.The Municipality of Cesena does have specific information related to the energy consumption by end use for the service sector. However, national statistics are available about this issue [17]. Industrial Sector (IS): The industrial sector with a total surface of 1.09 km2 represents around the 22% of the total built surface of the Municipality [13]. Each building is classified according to its main activity according Eurostat classification following the ATECO code which is register for each industry of the Municipality of Cesena. The main economic activities are oriented to wholesale, retail and repair of vehicles and motorbikes or manufacture of metal product (Except machinery and equipment) and represent around 86%. Agriculture sector and the production machinery and transport equipment for it which suppose around the 8% of the total. Construction sector represents also relative high share with around the 2.5%. The Municipality of Cesena accounts only with aggregate statistics about the energy consumption by fuel in the overall industrial sector [8]. However, national statistics are available about the share for the fuel consumption for each industrial activity [18].

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4.3 Local energy production and green areas Photovoltaic panels: The Municipality of Cesena accounts with several photovoltaic installations for electricity production. For each installation the location, surface, power capacity together with the year of the connection to the grid is available. The total installed capacity is around 40 MWp with an average efficiency of 14% [19]. Wind Turbines: The Municipality of Cesena accounts with a group of wind turbines installed in the Parco Educativo Sperimentale delle Energia Alternative (PESEA). The installed power capacity is 40 kW which an estimated energy production of 50 MWh considering 1250 hours of operation per year [20]. Hydropower plant: The Municipality of Cesena accounts with a small hydropower plant with a production capacity of 0.3 MW and a nominal production of 0,9 GWh of electric energy [21]. Biogas: The Municipality of Cesena produce biogas in the waste which treated in the in the composting plant in Busca and the local water treatment plant which later is use for the electricity production. The electric installed capacity for the plant is respectively 1200 kW and 330 kW [22]. Green areas: Municipality of Cesena accounts with detail information about the location and surface of its green areas. Its total surface is a round 4162 Ha where are almost the totality are forest, around the 96%, and rest are Park and Gardens 4.4 Indicator The Municipality of Cesena has defined several indicators to monitor its energy strategy action plan. This action plan has three main pillars: reduction of CO2 emissions, increase of the use of renewable energy sources and increase of the energy efficiency. Following these objectives, five main key performance indicators (KPIs) has been selected to measure the impact of the: • • • • • CO2 Emissions (kton) Reduction of CO2 emissions (%) Primary energy consumption (ktep) Energy efficiency improvement (reduction of primary energy consumption) (%) Share of locally produced renewable energy (%)

5 SCENARIOS Several scenario states of the local energy system in Cesena have been study. They are used to assess and compare the pollutant emissions, renewable energy production and energy efficiency of the city, in line with the 20-20-20 objectives, in the past, current or projected situation of the territory. 5.1 2020 SEAP Scenario - Reference Scenario This scenario is based on the current state of the energy sector in Cesena and the goals collected in the SEAP of the city. This configuration was composed of three parts: • • • “2010 real”: snapshot of the city’s situation in 2010. This node consists in the reference situation for SEAP. “2012 real”: snapshot of the city’s situation in 2012. “2020 SEAP”: situation in 2020 if target is reached for all SEAP actions.

5.2 2020 Projected Scenario The monitoring process aimed at collecting data about the current situation of the city regarding SEAP actions advancement. This data was used to create a projected situation of the territory in 2020 if SEAP implementation keeps a constant pace. In this scenario, except for SEAP actions implementation, it was considered that everything in the local energy system has stayed the same as in 2010 and 2012 represents a “theoretical” current situation of the territory which is in line with the covenant of mayor’s guideline.

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Based on this representation of the current situation, the projection of the situation in 2020 if the rhythm of action implementation stays the same was assessed. To create 2020 Projected scenario, the following projecting rules were used: • • A linear projection is used, assuming that the completion rate of the action is linear between 2010 and 2020: If 10% of the action has been reached in 2012, 50% will be reach in 2020 If the rate exceeds 100% in 2012, the 2012 rate is kept for 2020; it is therefore assumed that the level reached in 2012 is also reached in 2020 (the advancement of action does not decrease), but that the advancement of the actions stops in 2012. If the projected rate exceeds 100% in 2020, the 100% rate is kept for 2020; it is therefore assumed that unless the SEAP is reviewed, the targets of actions are not exceeded.

•

5.3 2020 Alternative Scenario Based on the analysis of actions effectiveness regarding the cost of the ton of CO2 emission avoided and on the assessment of potential new actions, an alternative 2020 scenario is built up. This scenario aims at reducing Cesena global costs while keeping the same reduction of CO2 emissions in 2020 as the ones targeted in the SEAP, to make this objective easier to reach. The actions effectiveness is mainly assessed using the indicator of the cost of the ton of CO2 emission avoided, including subsidies for the city such as feed-in tariffs. Fig. 2 shows the application of this methodology to measures adopted in the SEAP together with some additional more.

Fig. 2: Abatement cost for several measures

Based on these results shows in Fig. 2, the following modifications were included in the 2020 Alternative scenario (compared to the current SEAP scenario): • • • • • • • Reduction of the cogeneration implementation rhythm (50% of the SEAP target) Keep the importation of Green Energy at the 2012 level (3.6 GWh) Increase in the installation of solar panels (double SEAP target) For all other actions, the targets of the SEAP were kept unchanged. Replacement of diesel and gasoline buses by electric ones Installation of public bikes that reduces the use of private cars Increase in hydro power plant production

Furthermore, three new additional measures has been identified and included in this alternative scenario:

5.4 Summary of the Scenario Table 1 summarizes the different actions taken in each of the analyzed scenarios: 2020 SEAP Scenario, 2020 Projected scenario and 2020 Alternative scenario.

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2020 SEAP Green areas Inc. in 160 ha 2020 projected Inc. in 164.75 ha Red. of 11 GWh 110 GWht + 21 GWhe 2020 alternative Inc. in 164.75 ha Red. of 11 GWh 73 GWht + 61 GWhe 18% Residential sector 61 MWp installed 102 MWp installed Dec. of comp. in 50% Inc. of the eff. in 3% Purchase 18 Gwhe Inc. of the eff. in 6% Purchase 3.6 Gwhe 50% of diesel and gasoline buses Red. of 3% of private cars use Inc. in 50% of the production

Red. of lighting & appliances comp. Red. of 11 GWh in residential sector Cogeneration Renovation of the buildings PV Panels Red. of public illumination Red. of electric in the Industrial Sector Green Energy Buses replacement Public bikes Hydro power plant comp. 146 GWht + 102 GWhe 18% Residential sector 61 MWp installed Dec. of comp. in 50% Inc. of the eff. in 6% Purchase 22 Gwhe

Sceanrios for the energy sector of Cesena up to 2020

6

RESULTS AND DISCUSSION

6.1 Energy and environmental impacts Table 2 shows the impact in terms of energy consumption and CO2 emissions of the measure in each of the proposed scenarios.
2010 CO2 Emissions (kton) Reduction of CO2 emissions (%) Primary energy consumption (ktep) Energy efficiency improvement (%) Share of local renewable energy (%) 2,6% 217 435 2020 SEAP 361 17% 168 8% 8% 2020 Projected 398 9% 193 4% 7,4% 2020 Alternative 351 19% 163 14% 12%

Table 2: Enegy and CO2 emission impact for the scenarios

In all the scenarios proposed, there is an improvement in terms of energy performance, use of renewable and reduction of CO2 emissions. In fact the 2020 projected scenarios, the less ambitious scenario which considers that the rhythm of action implementation stays the same was assessed, achieves a reduction of 9% and 11% in the in the CO2 emissions and the primary energy consumption compared to 2010. Especially interesting is the increase of the share of the local renewable energy which grows from a 2.6% in 2010 to 7.4% in 2020 mainly due to increase of the installed capacity of PV panels. The additional measures including in the 2020 SEAP scenario produces an improvement of all the indicators compared with the 2020 projected scenario. Although, the share of renewables is only slight better between both scenario, an important improve in the energy efficiency produce in 2020 SEAP scenario a significant decrease of the CO2 emissions and the primary energy consumption. These represent 17% and 22% respectively compared with 2010 and double of the improvements compared with the 2020 projected scenario. Finally, the 2020 Alternative scenario gets the better impact in terms of energy efficiency and CO2 emissions. In this scenario the improvements in terms in CO2 emissions are slightly better than for the 2020 SEAP scenario. This is because the increase of the installed capacity of PV panels which compensate the impact of other measures which could produce an increase of the CO2 emissions such as the reduction of the cogeneration in 50% or the reduction of the green energy purchase to the grid. This measure not only has impact in terms of CO2 emissions also explain the improvement in the indicator related to the energy consumption and efficiency.

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6.2 Economic impacts The analysis of economic impacts is based on three indicators: • Investments are considered annualized, with an actualization rate of 7.25%. They were obtained from the study of similar actions lead in Europe and give an order of magnitude of the necessary investments. Annual energy savings cost refer to the total energy costs saved within the city (producers, consumers and imports costs), including subsidies. The global net value represents the total savings of the city, adding annualized investments and annual energy savings.

• •

Table 3 shows the economic impact for the scenarios. In all the scenarios the adopted measures represent a decrease of the annuals energy savings cost within the city. Nevertheless, in spite of 2020 SEAP and 2020 Projected scenarios have lower investment cost compared to the 2020 Alternative scenario, this scenario is the only one where the global net value is profitable from the economic point of view.
2010 Investments (M€) Annual energy savings cost (M€) Global net value (M€) 2020 SEAP 27 -20 7 2020 Projected 18 -10 8 2020 Alternative 38 -41 -3

Table 3: Ecomical impact for the scenarios

It is important to note that the evaluation of action investment costs has been done with general data using examples of already executed projects, those costs may thus differ from local costs that Cesena should benefit. 7 CONCLUSIONS This paper presents the study case of the municipality of Cesena. This municipality, as a partner of the project, has implemented its SEAP under the tool to assess the impact of the measures taken under several scenarios and monitor its activities to validate the developed software. The different measure adopted to reduce the CO2 emissions and energy consumption together with an increase of the energy efficiency and use of renewables. The methodology employed is driven by supply-demand balance methodologies used by Transmission Systems Operators and has been adapted to a more local context. Several scenarios have been presented and analysed in which different measures are adopted focus in the following objectives: increase the use of renewable energy sources, the energy efficiency and reduce of CO2 emissions. The 2020 SEAP scenario represents the current state of the energy sector in Cesena and the goals collected in the SEAP of the city. Based on the current situation of the city, the 2020 projected scenario reflects the projection of the situation in 2020 if the rhythm of action implementation stays the same was assessed. Finally, the 2020 Alternative scenarios is built on focus on the analysis of actions effectiveness regarding the cost of the ton of CO2 emission avoided and on the assessment of potential new actions. In all the scenarios proposed there is an improvement in terms of energy performance, use of renewable and reduction of CO2 emissions. In fact the 2020 projected scenarios the less ambitious scenario achieves a reduction of 9% and 11% in the in the CO2 emissions and the primary energy consumption compared to 2010. In the 2020 SEAP scenario only a slight improvement in the share of renewable is achieve compared to the 2020 Projected scenario. In this scenario the decrease of the CO2 emissions and the primary energy consumption is 17% and 22% compared with 2010 and the double of the improvements compared with the 2020 projected scenario. Finally, the 2020 Alternative scenario gets the better impact in terms of energy efficiency and CO2 emissions which is mainly due to higher capacity installed of PV panels compared with the rest of scenarios. Additionally, this scenario was the only one where the global net value is profitable. The future work will be oriented to assess the impact of additional measures such as the integration of new measures such as the increase of micro-wind turbines and the development of new scenarios.

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8 ACKNOWLEDGEMENT This work has been supported by the FP7 Framework Programme for Research and Technology development under project “CitInES - Design of a decision support tool for sustainable, reliable and costeffective energy strategies in cities and industrial complexes” (Grant agreement no: 288295). 9 REFERENCES

[1] European Commission. Analysis of options to move beyond 20% greenhouse gas emission reductions and assessing the risk of carbon leakage. Available from: http://eur-lex.europa.eu; 2010. [2] Covenant of Maypir - Commited to local sustainable energy. Sustainable Energy Action Plan (SEA). Available from: http://www.covenantofmayors.eu [3] Solar Energy and Building Physics Laboratory LESO-PB, École Polytechnique Fédérale de Lausanne, CitySim software. Available from: http://citysim.epfl.ch/ [4] EnergisCorp, EnerGIS software. Available from: http://www.energiscorp.com/energis [5] Imperial collegue of Londo – ICL. SynCity software. Available from: http://www3.imperial.ac.uk/urbanenergysystems [6] Forecast of electricity supply-demand balance in France, RTE (French TSO) [7] Production cost model fundamentals, US ISO (Independent System Operator): http://home.eng.iastate.edu/~jdm/ee590Old/ProductionCostModleFundamentals_EE590.pdf [8] Municipality of Cesena. Piano Energetico Ambientale del Comune di Cesena. Parte prima: Bilanci energetici e ambientali. [9] Municipality of Cesena. Electric – GIS database. [10] Municipality of Cesena. Gas – GIS database. [11] Municipality of Cesena. DH – GIS database. [12] CHP plant of Cesena, Grupo HERA. Available from: http://www.gruppohera.it [13] Municipality of Cesena. Building Sector (Residential, Service and Industry) – GIS database [14] Österreichisches Institut für Bautechnik, 2010. OIB - Richtlinie 6, Energieeinsparung und Wärmeschutz. [12] ER – Energia, 2013, Attestati di certificazione energetica, Available from: http://res.lepida.it [15] Åström S, Lindblad M, Särnholm E, Söderblom J. Energy efficiency improvements in the European household and service sector, 2010. Available from: www.ivl.se [16] N. Pardo, K. Vatopoulos, A. Krook-Riekkola, J.A. Moya, A. Perez, 2012. Heat and cooling demand and market Perspective – JRC Scientific and Policy Reports. European Commission, EUR 25381 EN. [17] European Commission, 2013. Eurostat. Available from: http://epp.eurostat.ec.europa.eu [18] Municipality of Cesena, Photovoltaic installation - GIS database. [19] Photovoltaic installation - GIS database. Municipality of Cesena [20] Porco Educativo Sperientale delle Energia Alternative (PESEA), Available from: http://www.pirrinipaola.it/pesea/; 2013. [21] Hydro Power Plant – Brenzaglia (Cesena), Available from: www.enel.it; 2013. [22] BEKON Energy Technologies GmbH & Co, KG. Bioenergy via – Dry fermentation http://www.cityofpaloalto.org; 2013

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reviewed paper City in Transition: Urban Open Innovation Environments as a Radical Innovation Gert-Joost Peek, Peter Troxler
(Dr. Ir Gert-Joost Peek MRICS, Rotterdam University of Applied Science, RDM Campus, Heijplaatstraat 23, 3089 JB Rotterdam, g.peek@hr.nl) (Dr. Peter Troxler, Rotterdam University of Applied Science, RDM Campus, Heijplaatstraat 23, 3089 JB Rotterdam, p.troxler@hr.nl)

1 ABSTRACT In this paper we apply the transition prespective to the field of urban development. As many sectors of our society the field of urban development is undergoing major changes. Commom ways of working and traditional business models fail under the present economic circomstances and are not able to answer to the challenges that climate change, peak oil and the shortage of rare earth minirals present. We view new approaches to the process of urban area development and the introduction of the Smart City concept as prominent examples of potential transitional change in urban development and explore their possible synergies. In order to do so, we use the key concept of radical innovation and find that Urban Open Innovation Environments, such as Fab Labs, have most transitional potential. We conclude with some examples of these environments in the city of Rotterdam and preliminary success factors. 2 SOCIETY IN TRANSITION Society is in transition: ‘We do not live in an era of change, but we are experiencing a change of eras’ (Rotmans, 2013, with reference to Verhagen, 2011). We are moving towards a sustainable society. Authors like Rifkin (2011) and Freedman (2009) forsee a new industrial revolution based on advanched digital communication and production and energy from renewalble sources. Such fundamental changes are brought about by transitions. 2.1 Transition studies Over the last decade a new scientific discipline has emerged focussing on the transition of society (Grin et al, 2010, Van der Hoeven, 2010). A growing number of politicians and academics are convinced that only through drastic system innovations and transitions it becomes possible to bring about a turn to a sustainable society. Often reference is made to the Brundtland report Our Common Future (World Commission on Environment and Development, 1987) definition of sustainable development as one ‘that ties in with the needs of the present without endangering the power of future generations to satisfy their own needs,' as inevitable for solving a number of structural problems on our planet, such as the environment, the climate, the food supply, and the social and economic crisis. Sustainable development is not an exclusive type of development that addresses the needs of a select few; it attempts to express the interests of multiple actors in a society as well as the interests of different generations. To summarise, sustainable development is a complex, long-term, multi-level, integrative, multi-actor process (Frantzeskaki et al., 2012). Transitions are processes of structural change in societal (sub-)systems such as energy, supply, housing, mobility, agriculture, health care, and so on. Transitions come about when the dominant structures in society (regimes) are put under pressure by external changes in society as well as endogenous innovation. Under certain conditions, seemingly stable societal configurations can transform relatively quickly (Loorbach, 2010, with reference to Geels, 2002 and Rotmans et al, 2000). Transitions are conceptualised as societal processes of fundamental change in the structure, culture and practices of a societal system (Frantzeskaki and de Haan, 2009). Table 1 shows the multilevel character of transitions which is central to the systems approach and that researchers have adopted in order to deal with the complexity of transitions.
Transition management types Strategic Tactical Operational Focus Culture Structure Practices Problem Scope Abstract/societal system Institutional/regime Concrete/project Time scale Long term (30 years) Mid-term (5-15 years) Short term (0-5 years) Level of activities System Subsystem Concrete

Table 1: Transition management types and their focus (Loorbach, 2007).

The central assumption is that societal systems go through long periods of relative stability and optimisation that are followed by relatively short periods of radical change. Transitions as processes of ‘degradation’ and ‘breakdown’ versus processes of ‘build up’ and ‘innovation’ (Gunderson and Holling, 2002) have been
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witnessed in history, e.g., the transition in the mobility system from the horse-carriage to the automobile (Geels, 2004). Transition management offers a prescriptive approach towards governing these processes as basis for operational policy models, and it is explicitly a normative model by taking sustainable development as long-term goal (Loorbach, 2010). Leading transition management scholar and activist Jan Rotmans’ (2013) views on the present changes in societal culture, structure and practices are summarised in table 2.
Culture Old Individual Mass production Derived values Linear/carbon-based Financial return New Community Tailor-made Created values Circular/Bio based Societal return Structure Old Top-down Vertical Centralised Government Institutions New Bottom-up Horizontal Decentralised Citizen Lifestyle Practices Old Effectiveness Efficiency Control Rules Quantity New Affection Trust Autonomy Freedom of choice Quality

Table 2: Transitional changes in culture, structure and practices (based on Rotmans, 2013).

2.2 Present phase of transition: take-off Next to the multilevel concept (Rip and Kemp, 1998, Geels, 2002), the multiphase concept is central to transition management. Although transitions follow a capricious pattern, from a distance a more gradual pattern emerges following a S-curve, typical for innovation studies, distinguishing between the predevelopment, take-off, acceleration, and stabilisation phases (Rotmans, et al., 2001). At present we find ourselves in the take-off phase, in which efforts should be targeted at facilitating a limited number of radical innovations that have the potential of leading to breakthroughs on a systems level (Rotmans, 2013).

Fig. 1: The four phases of a transition (Rotmans et al., 2001).

2.3 Key concept: Radical innovations Jonker (2013) explains the essence of the transition towards a sustainable society: Repairing a structurally unsustainable system leads to a patched up unsustainable system. This pattern may only be broken by shifting from a treatment of symptoms within the system to a system change. This calls for radical or disruptive innovations, not only creating new markets and values chains, but in the same time abolish and eventually replace old technologies and business models. This approach relates back to the process of creative destruction as described by Schumpeter (1942). An example of a radical innovation today is 3D-printing. A 3D-printer turns every consumer into a producer. As such local manufacturing re-emerges and present global manufacturing and distribution systems will change (Brody and Pureswaran, 2013). In a similar manner open data is a radical innovation, challenging the monopoly of governments over information, as is the local production of renewable energy. In the take-off phase of transition the combination of grassroots radical innovations and changes in the overall external landscape destabilise the system and start its break-down. Within the multilevel model, Rip and Kemp (1998) distinguish between niches, a dominant regime, and an external landscape. In practice,

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innovations often seem to emerge in niches outside of the leading regime (Kemp, Schot and Hoogma, 1998). When the right niche actors find each other and collate with change minded actors within the dominant regime the configuration of a new regime may emerge and the change becomes irreversible. For the transition to take-off in this way this group of frontrunners requires certain room to experiment and innovate (Rotmans, 2013). 3 URBAN AREA DEVELOPMENT IN TRANSITION One of the societal (sub-)systems that is undergoing structural change is urban development. In the Netherlands, the traditional market driven way of urban development, involving large real estate developers and municipalities acting actively on the land market, has failed as a result of the financial and economic crisis. Private and public actors are exploring new ways of working together and new actors, such as private individuals and local collectives, have entered the marketplace. As such the field of urban development is the take-off phase of transition and radicale innovations are key to a further development of the process of change. 3.1 Urban area development Urban area development may be defined as the integral development of a (large scale) area, in all its dimensions, over a long period, with different stakeholders (public and private). There are no clear limits in terms of size, in terms of investment volume or mere square meters. Complexity is the common denominator as both content and context of the development are complex as a result of a certain combination of the elements above. This distinguishes urban area development from common real estate or property development which involves less stakeholders, takes less time and concern one objects rather than an area based portfolio (Peek and Franzen, 2007). Although there are many differences between urban area development and real estate development, the core activities that have to be undertaken are quite similar. These can be categorised under five main disciplinary aspects: public-private, land, financing, design and image. The way of dealing with these aspects in area development is very different form project development, both in time and in the relation to the context. Figure 2 shows the specific definition of each of the five aspects for urban area development.

Fig. 2: The five main disciplinary aspects of urban area development (Peek and Franzen, 2007).

Next to these aspect we identify four phases of an urban development process: initiative, feasibility, realisation and management. These phases essentially show the same sequence that is found in real estate or project development, and the two are interlinked. As urban development establishes the preconditions for project development, the latter typically starts its initiative phase in the realisation phase of urban development. 3.2 Past, present and future of urban area development By defining the disciplinary aspects and phases of urban area development we have constructed a simple framework that helps us to clearly summarise the changes in urban area development in the Netherlands as
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we have experienced over the last decade. Before the financial and economic crisis started in 2007 large scale urban developments may be characterised as in figure 3, involving a municipality actively purchasing land and developing it in partnership with large private property companies based on a long-term residual financial model and a ‘blue print’ master plan containing certain landmarks or iconic buildings. The phase of management after the works are complete was not part of the area development process as profits were made at the moment parcels of land and constructed buildings were sold to new owners and public space was transferred to the municipal department of urban management.

Fig. 3: Typical characteristics of Dutch urban area development before 2007 (Peek, 2011).

After 2007 the lack of available debt finance and the sudden shift from a sellers’ market to a buyers’ market brought most large scale area developments to a hold. The capacity to (re)develop no longer lies with municipalities and the large property developers. Their ‘marriage’ dissolved or is in a state of divorce as both actors have to largely depreciate on the land assets they hold.

Fig. 4: Typical characteristics of Dutch urban area development after 2007 (Peek, 2011).

This situation leaves room for other actors to get directly involved in real-estate development, such as local contractors, present land-owners and users and future users of an area. The involvement of these types of actors results in a more bottom-up approach and a decreased project size. Figure 4 characterises the present state of Dutch urban area development. Most striking is the emergence of appreciation for the present state of the area. Where before a ‘tabula rasa’-situation as start of the (re)development was preferred and strived for,

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currently actors see potential in the existing land use and aim to build on this, limiting investments upfront and benefiting from temporary uses. In our opinion this type of urban area development does not suffice to answer the challenges our cities face. Especially in the field of sustainability the ability to invest on a larger scale is needed, for instance in infrastructure supporting renewable energy solutions and urban transit systems. In order to do so we advocate an area development process that also involves the future management phase. With this we move away from a development approach focused on risk reduction and profit from a temporary – albeit lengthy – commitment, towards the users' perspective focusing on continuity and long-term value creation combined with a continued utilitarian valuation of the property. Figure 5 characterises our view on the future of urban area development process spanning five phases. Viewing urban area development mainly as a process of urban management instead of a sort of property development XL offers opportunities for the coupling of juxtaposed (financial) flows in the area to those of the real estate business case. Coupling these flows, such as energy (electricity, gas, heat and cold), water, waste, transportation of people and goods and information, increases the financial base for development of the area and offers opportunities for more sustainable solutions for the future.

Fig. 5: Characteristics of a future urban area development process (Peek, 2011).

3.3 Key concept: Supply chain integration We agree with Rotmans (2013) and consider the present Dutch practice of urban area development to be in the take-off phase of a transition process. Changes in the external landscape of area development like a decrease in population in certain regions of the country, changing work patterns (flexible hours and working from home) and space for water resilience, have resulted in a deadlock of the pre-crisis development model. The crisis itself was merely a trigger to reveal the faults of the system. In the meantime on a local level many bottom-up experiments are on their way. People start producing their own renewable energy, individually or in collectives. Others seize this opportunity to design and build their own home. Some experiment developing floating homes for living on water or make use of vacant plots of land for urban farming. Analysing these niches for the perspective of our vision on the future of urban area development we find that all in some way or another deal with supply chain integration (Peek and Van Remmen, 2012). Some initiatives lead to vertical integration, as end-users take the lead in the development process or emphasis is on the transformational powers of the current owners and users. Others mainly focus on an area based approach to utilities such as energy and water and by that resulting in a horizontal integration of real estate with these adjacent sectors. 4 SMART CITY CONCEPT Technology is a main driver of innovation. In the field of urban development we find an entire movement based on new technologies under the umbrella of the ‘Smart City’. The Smart City approach has gained a lot of momentum out of the belief that the availability of intellectual capital (or knowledge) and social capital are urban production-factors that determine the competitiveness of cities (Caragliu et al., 2009). Smart City refers to sustainable urban development (smart environment); to the incorporation of information and
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communication technologies in the management of services (smart economy); to the generation of participatory spaces in terms of collaboration and innovation (smart governance). Table 3 gives an overview of the core-aspects of the Smart City approach. As such the concept may serve many different intentions, not touching upon interrelations and contributions to overarching goals, and remains particularly polysemous and vague. This is probably why it has turned into a highly used term when proposing or justifying urban reforms (Tironi, 2013). Smart City is also a successful term for marketing new urban technologies used by multinationals like IBM, Cisco, Siemens, General Electric and Philips.
Why? Sustainability Resilience Quality of life What? Resources Economy Politics Utilising Adding value Connecting How? (technology) Infrastructures Buildings Places Communicating Producing Meeting How? (organisation) Public Private Individuals Providing conditions Investing Participating

Table 3: Core-aspects of the Smart City approach.

We value the innovative power of the Smart City, but question its transition force as the concept is already captured by the dominant regime with showcases like Songdo International Business District and Masdar City. 4.1 Benchmarking ‘smartness’ As no city wants to be a ‘dumb’ city, the Smart City concept is quickly adapted for benchmarking cities. An example is the Smart City-model ranking European medium-sized cities (Centre of Regional Science, 2007) that defines a Smart City as a city that is well performing in a forward-looking way in economy, mobility, environment, citizenship, quality of life and governance, built on the ‘smart’ combination of endowments and activities of self-decisive, independent and aware citizens. These aspect also feature the Smart City Wheel (figure 6) that was introduced by urban and climate strategist Boyd Cohen and that he uses to benchmark the world’s major cities (Cohen, 2012a).

Fig. 6: Smart City Wheel (Cohen, 2012b).

4.2 Key concept: empowering ICT Although citizens' participation is emphasised and the benchmarks even hint at possible change in roles of government and citizens, the Smart City concept remains, both as benchmark and as marketing tool, highly top-down oriented aimed at better managing and controlling city systems by collating ever-detailed information about real time functioning, and being able to optimise decision making in the immediate, short and long term. Cosgrave et al. (2013) state that ‘the Smart City should not necessarily be interpreted as topdown vision delivered solely through government investment. Quite the opposite, the Smart City is largely

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an organic system of systems (Harrison and Abbott Donnelly, 2011), which comprises an ecosystem of products, services, companies, people and society that are working together creatively to foster innovation within the city’. From a transition perspective the key concept of the Smart City should be application of ICT that is aimed at empowering citizens, rather than focussed on improving control of city systems. ‘Citizens are not only engaged and informed in the relationship between their activities, their neighbourhoods, and the wider urban ecosystems, but are actively encouraged to see the city itself as something they can collectively tune, such that it is efficient, interactive, engaging, adaptive and flexible’ as Arup (2011) describes in their Smart City vision. 5 URBAN OPEN INNOVATION ENVIRONMENTS The combinations of our key-concepts of transition, urban area development and Smart City – respectively radical innovations, supply chain integration and empowering ICT – leads us to believe there is a new type of urban use emerging, next to the traditional mix of residential, offices, retail and leisure, that is able channel the transitional opportunities as described: the Urban Open Innovation Environment. Existing and tested concepts of the Living Lab and the Fab Lab are part of this new typology. 5.1 Open innovation Radical innovations, supply chain integration and empowering ICT all highly depend on the openness of their respective processes. In contrast to closed innovation, the open innovation paradigm was introduced by Henry Chesbrough (2003) and implies companies opening their innovation processes for the inflow and outflow of knowledge and information. Chesbrough et al. (2006) defines open innovation as ‘the use of purposive inflows and outflows of knowledge to accelerate internal innovation, and expand the markets for external use of innovation, respectively’. Open innovation is at the core of Finnish society. Finland has created a bottom-up, dialogical, collaborative and human-centric strategy that is central to its development as a nation (Finland’s Country Brand Strategy, 2010). This fresh picture of a people-driven society is based on the idea that the society best develops based on its dynamic individuals and their networks. Since the Finnish EU Presidency in 2006 (The Helsinki Manifesto, 26 November 2006), the EU presidencies have promoted open, ecosystem-based human-centric research, development and innovation in real-life contexts such as liv¬ing laboratories (Living Labs) that engage people (European Commission, 2013). 5.2 Living labs Centred on co-creation, exploration, experimentation and evaluation Living Labs bring together public and private actors, such as companies and associations, and individuals to test new services or products. They provide a user-centric approach to develop and prototype complex solutions to emerging socio-technical challenges to promote open innovation and involve users early in the desig.. This all happens in a real life context. Their success relies heavily on user co-creation. However, little attention has been paid so far to the question if and how the participating users could not only be the Guinea pigs (worst case) or co-creators (best case) in a Living Lab setting, but actually become coowners of the solutions proposed and developed. Results from true co-creation, one might argue, should not disappear behind corporate walls. As it is the case with open innovation, the game logic of Living Labs is still to benefit corporations that are focusing on selling services and technology to governments and other public entities. The accreditation of Living Labs through a single non-profit association – the European Network of Living Labs (ENoLL) headquartered in Brussels – as the legal representative entity of the network, does not exactly paint a more network oriented picture of the Living Lab approach. 5.3 Fab labs Radical innovation, in the authors’ view, is rather to be expected from communities and ‘institutions’ that adhere to principles of open source, open content and open access. Such communities would need to be inclusive in terms of of societal and systemic innovation to thrive and become sustainable. In the world of software and information, some open source projects have demonstrated such characteristics. While the modern DIY – or Maker – movement is often seen as a hedonistic pass-time activity, its manifestations – Fab

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Labs, Makerspaces and Techshops – are attracting growing interest in many industries. Fab Labs are a global network of local labs, enabling invention by providing public access to digital fabrication. They share an inventory of core capabilities and can be considered a community resource. Makerspaces are similar, often equipped with the same machines, but lacking the global network. Techshop is an a US based provider of state-of-the-art public manufacturing workshops. Globally, big players have started to fund Fab Labs on a substantial scale. Schlumberger is supporting the development of Fab Labs in Russia, Aramco sponsored the first Fab Lab in Dhahran (Saudi Arabia), and Chevron promised support fort setting up Fab Labs in US communities where it is active. Ford in the US and BMW in Germany are partnering with Techshop to provide their employees with access to digital manufacturing technology for tinkering outside working hours. More interesting, however, are small-scale but high-tech developments, certainly from a perspective of emerging socio-technical production paradigms. For instance, Barcelona is pronouncing itself as ‘Fab City’ and aims to develop neighbourhood Fab Labs in every city district. The Dutch order of Inventors was a key partner for setting up the Fab Lab in Utrecht. In Amersfoort, the Netherlands, an artists’ collective is effectively transforming a former dye factory into a testbed for the transition town movement, centered around a Fab Lab. The Swiss clean tech accelerator Blue Lion in Zurich is setting up a Fab Lab for its companies. In the following chapter we shall provide a series of case studies of urban open innovation environments in Rotterdam, the Netherlands, that defy the top-down approach of centrally planned ‘creative hotspots’. They represent not the archetypal grass-roots, bottom-up, counter-culture projects, but stand for a new type of initiatives that appear to operate on a lateral rather than a hierarchical dimension, very much akin to Rifkin’s projection of a shift away from hierarchical power and toward lateral power (Rifkin, 2011). 6 URBAN OPEN INNOVATION ENVIRONMENTS IN ROTTERDAM In Rotterdam, there are many players who are actively working on combining real estate development and urban planning with the emergent phenomenon of the Maker movement. The incubator Dnamo in Rotterdam decided to refocus its activities as ‘RDM Maker Space’. Urban developer Stipo Rotterdam together with the city council and possibly Techshop are working on converting the Zomerhofkwartier to the making neighbourhood (‘maakkwartier’) of Rotterdam. Other initiatives include the Platform Digital Manufacturing, de Bende with its plans to make crafts-based making accessible, the 3D Print Academy, ‘De Makers van Rotterdam’, an initiative of social enterprises centered around Making, and the ‘Made in 4Havens’, an emerging design and production hotspot. 6.1 RDM Maker Space RDM Maker Space is based in the former shipyard of the Rotterdamsche Droogdok Maatschappij (Rotterdam Dry-dock Company, RDM) that has been converted to an innovation hub where higher education, research institutions, start-ups and companies are located. The place provides opportunities for sharing knowledge, exchanging best practices, conferences and networking. RDM Maker Space offers access to high-tech manufacturing equipment as well as prototyping and manufacturing services. RDM Maker Space aims to spur innovation and entrepreneurship and to create a place where smart, creative and experienced people with different skills come together and eventually form a large community of makers. 6.2 Zomerhofkwartier Zomerhofkwartier in Rotterdam, an area in walking distance of the central train station, is almost a textbook example of the aforementioned new style of urban development. The owner of the area has decided on a time-out of ten years to study the potential of the area and its bottom-up initiatives after traditional approaches to development turned out to be difficult and little promising. The time-out approach allows the developer to involve everybody in shaping the neighbourhood. The transitional character of the area attracts the creative industry; and the developer has pronounced the neighbourhood as the ‘maakkwartier’ (making quarter) with an emphasis on the creative and niche manufacturing industry and with a view to possibly attract Techshop to set up a large making facility there. Yet they remain open for others who embrace their philosophy, and remain open to the precise result of such developments (Van den Berk, 2013).

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6.3 Made in 4Havens Made in 4Havens is an emerging initiative in a former but now derelict dockland area in Rotterdam managed by the city council and the harbour board. The area has been designated to house innovative business in the fields of clean tech, medical and food. However, the area is also home to quite a few leading Dutch designers. Made in 4Havens currently serves as a platform to make local design visible and to connect it to local craft and manufacturing. One vision of Made in 4Havens is to integrate the local workforce to complement design with local production (Sant-Barendregt and van Dael, 2013). 7 CONCLUSION Relocating production and research functions to the centres of neighbourhoods adds to liveability and to the local economy. Instead of focusing on offices, retail or residential areas as the core of urban area development, it call for exploring the possibilities of centring such a developments on a lab like approach. This requires a rethinking of the spaces of production, including the relationships between people and tools and people and the existing authorities. The open nature of a lab-centric approach ensures that government control is limited and provides conditions for radical innovations in the realm of urban development. Eventually, the emerging lab-centric initiatives might well be developing into new institutions of a radically different type of economy, an economy that fundamentally contrasts the conventional top-down organization of society that characterized much of the economic, social, and political life of the fossil-fuel based industrial era. Its new paradigms are ‘distributed’ and ‘collaborative’, paradigms that appeal to a new generation of people who grew up with the Internet and who have for all their live been engaged in distributed and collaborative social spaces in parallel to the traditional, hierarchical environments of family, school and job. As such we find the new type of use of the Urban Open Innovation Environment a potential strong change agent for radical innovation in the field of urban area development as they combine supply chain integration and empowering ICT. The success of these new environments large depends on their open character, not being part of the dominant regime of large companies and (governmental) institutions, but also not being trapped by a counter culture driven niche of grassroots/bottom-up actors that are not willing and able to leverage on their efforts. True openness in this respect refers to the ability to not only involve niche players, but make cross-overs to change minded actors within the dominant regime so that though lateral development (Rifkin, 2011) new regimes may emerge and the change becomes irreversible. Fab Labs appear to be more successful in this respect than Living Labs, which mainly benefit the private companies involved and not society at large. Governments have an important role to play here. For Urban Open Innovation Environments to be truly open certain room to experiment and to innovate is required. Yet, only focussing on the operational level of concrete projects is not enough. For a new regime to emerge efforts on the tactical level have to be made, involving the support of emerging new, lateral ‘institutions’ that are able to generate business from radical innovations. These environments should enable new types of entrepreneurship, such as micro-multinationals, and even social enterprises operating beyond traditional business models. In this way, Urban Open Innovation Environments are able to become a constant force in the field of urban area development making cities in transition more sustainable and resilient, and adding to the quality of life. 8 REFERENCES

ARUP, Smart Cities: Transforming the 21st century city via the creative use of technology, 2011. BRODY, P. and Pureswaran, V.: The new software-defined supply chain. Preparing for the disruptive transformation of Electronics design and manufacturing. Executive Report Electronics Industry. IBM Institute for Business Value, 2013. CARAGLIU, A., Del Bo, C. and Nijkamp, P.: ‘Smart cities in Europe’. Serie Research Memoranda 0048. Amsterdam: VU University, Faculty of Economics, Business Administration and Econometrics, 2009. CENTRE OF REGIONAL SCIENCE (red.), Smart cities: Ranking of European medium-sized cities, Final report, Vienna UT, 2007 (www.smart-cities.eu). CHESBROUGH, H.: Open Innovation: A New Paradigm for Understanding Industrial Innovation. In: Chesbrough, H., Vanhaverbeke, W. and West, J. (eds.) Open Innovation: Researching a New Paradigm. Oxford: Oxford University Press, pp. 1-12. CHESBROUGH, H.: Open innovation: The new imperative for creating and profiting from technology. Boston, 2003. COHEN, B.: The Top 10 Smart Cities on the Planet. January 11, 2012a, online at: http://www.fastcoexist.com/1679127/the-top-10smart-cities-on-the-planet (accessed 26 February 2014). COHEN, B.: What exactly is a smart city? September 19, 2012b, online at: http://www.fastcoexist.com/1680538/what-exactly-is-asmart-city (accessed 26 February 2014).

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City in Transition: Urban Open Innovation Environments as a Radical Innovation COSGRAVE, E., Arbuthnot, K., Tryfonas, Th.: Living Labs, Innovation Districts and Information: Marketplaces: A Systems Approach for Smart Cities. Conference on Systems Engineering Research (CSER 13) Eds.: C.J.J. Paredis, C. Bishop, D. Bodner, Georgia Institute of Technology, Atlanta, GA, March 19-22, 2013. EUROPEAN COMMISSION, Open Innovation 2013, Office of the European Union, Luxembourg, 2013. FINLAND’S COUNTRY BRAND STRATEGY, 2010, online at http://www.tehtavasuomelle.fi. FINLAND’S EU PRESIDENCY: The Helsinki Manifesto: We have to move fast, before it is too late. 26 November 2006. FRANTZESKAKI, N. and De Haan, H., ‘Transitions: two steps from theory to policy’. In: Futures,Vol. 41, No. 9, pp.593–606, 2009. FRANTZESKAKI, N., Loorbach, D. and Meadowcroft, J.: ‘Governing societal transitions to sustainability’. In: Int. J. Sustainable Development, Vol. 15, Nos. 1/2, pp.19–36. 2012. FREEDMAN, T.L.: Hot, Flat and Crowded. London, 2009. GEELS, F.W.: ‘Sectoral systems of innovation to socio-technical systems; insights about dynamics and change from sociology and institutional theory’. In: Research Policy, Vol. 33, Nos. 6–7, pp.897–920. 2004. GEELS, F.W.: ‘Technological Transitions as Evolutionary Reconfiguration Processes: A Multi-Level Perspective and a Case-Study’. In: Research Policy, Vol. 31, Nos. 8/9, pp. 1257-1274. 2002. GRIN, J, Rotmans, J. and Schot, J.: Transitions towards sustainable development. UK, 2011. GUNDERSON, L.H. and Holling, C.S.: Understanding Transformations in Human and Natural Systems. Washington, 2002. HARRISON, C. Abbott Donnelly, I.: A Theory of Smart Cities, Proceedings of the 55th Annual Meeting of the ISSS, Held at University of Hull Business School, UK, July 17-22, 2011 KEMP, R, Schot, J., and Hoogma, R.: ‘Regime Shifts to Sustainability through Processes of Niche Formation: The Approach of Strategic Niche Management’. Technology Analysis and Strategic Management, Vol. 10, pp. 175–196, 1998. LOORBACH, D.: ‘Transition Management for Sustainable Development: A Prescriptive, Complexity-Based Governance Framework’. In: Governance, Vol. 23, No. 1, pp. 161-183. 2010. LOORBACH, D.: Transition Management: New Mode of Governance for Sustainable Development. Utrecht, 2007. PEEK, G.J. and Van Remmen, Y.: Investeren in gebiedsontwikkeling nieuwe stijl: Handreikingen voor samenwerking en verdienmodellen, Ministerie van Infrastructuur en Milieu, Den Haag, 2012. PEEK, G.J., and Franzen, A. (eds.): ‘Realising envisioned connections. An introduction to urban area development for private area developers’, Delft: the Chair of Area Development of the department Real Estate & Housing of the Faculty of Architecture of the Delft University of Technology in corporation with ING Real Estate Development, 2007. PEEK, G.J.: ‘Van disciplinair raamwerk naar denkraam’. Real Estate Research Quarterly, Vol. 10 (august 2011), No. 2, pp. 16-26, 2011. RIFKIN, J.: The Third Industrial Revolution: How Lateral Power is Transforming Energy, the Economy, and the World. New York, 2011. RIP, A. and Kemp, R.: ‘Technological change’. In: Rayner, S. and Malone, E.L. (eds.): Human Choice and Climat Change, Vol. 2, pp. 327-399. Columbus, 1998. ROTMANS, J, Kemp, R and van Asselt, M.: 'More evolution than revolution: transition management in public foreign policy'. In: Foresight, Vol. 3, No. 1, pp. 15-31, 2001. ROTMANS, J., Kemp, R., Van Asselt, M., Geels, F., Verbong, G. and Molendijk, K.: Transities & transitiemanagement: De Casus van een emissiearme energievoorziening. Maastricht, 2000. ROTMANS, J.: In het oog van de orkaan. Boxtel, 2013. SANT-BARENDREGT, J. and Van Dael, Y.: Pionieren aan de Maas. Oude economie vs. nieuwe economie. In: INN010. Inspiratie uit Innovatie, Vol. 1, pp. 25-27, 2013. SCHUMPETER, J.A.: Capitalism, Socialism and Democracy. London: 1942. TIRONI, M.: ‘Smart Cities: Urban laboratories and experiments’. Sustainable-mobility.org, 17 October 2013. VAN DEN BERK, H.: Ontwikkelen nieuwe stijl. Blog post, 17 June 2013, online at http://www.havensteder.nl/overhavensteder/blog/artikel/artikel/ontwikkelen-nieuwe-stijl-324/ (accessed 21 February 2014). VAN DER HOEVEN, D.: Verbreden, verdiepen, opschalen: KSI tussen wetenschap en transitiepraktijk. Amsterdam, 2010. VERHAGEN, H.: De duurzaamheidsrevolutie: hoe mensen organisaties en organisaties de wereld veranderen. Utrecht, 2011. WORLD COMMISSION ON ENVIRONMENT AND DEVELOPMENT: Our Common Future. Oxford, 1987.

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reviewed paper Competition between Cities and Regions in Europe – Can Smart Spatial Planning Interact with Gravitational Site Location Models for External Investment? Jan Zaman
(Jan Zaman, spatial planner, Flemish regional Government, Spatial Development department, K. Albert II-laan 19, 1210 Bruxelles, jan.zaman@rwo.vlaanderen.be)

1 ABSTRACT However smart a city or a region might be, a wide range of companies (eg in retail and services) use a gravitational model for site location for new investments. If the primary choice model is a gravitational one, being smart will only matter for site location within a region. From a spatial planning point of view, the right question is ‘can we influence gravitational site location choice while applying intelligent and consistent long term planning?’. First we implement a multi-scalar gravitational analysis of the EU-28 area, allowing to define a gravitational central area. We use the population density dataset (inhabitants per hectare calculated from Corine Land Cover 2006) provided by the European Environmental Agency and Joint Research Center. Spatial statistics allow us to define areas that have significantly more inhabitants and are thus ‘gravitational centers’. By applying different influence ranges, we get four different perceptions of centrality. With an influence distance of 100km we see the european core area, while on the opposite end a 10km distance gives us a wide range of central places for services of proximity. This provides every city or region with insight in the way the gravitational choice model influences investment in regions. For spatial planning, it is almost impossible to influence this with traditional planning instruments. Competition between regions and states on the European level is mostly defined by national (tax) policy and cultural differences. In a second part, we take a closer look at the regional level. For an equal area around (1) Brussels, (2) Milano-Venezia, and (3) Wien-Bratislava we apply the same spatial statistics calculations with different influence zones. The analysis on a regional level shows clear differences in regional development and in the position of cities within the region. For the Flemish region we confront the pattern of central areas with the statistical analysis of the actual location of firms. 2 INTRODUCTION In my professional planning experience I worked for several years as a regional planner on the Brussels Metropolitan area, more specific on the Flemish territory surrounding the Brussels Capital Region. Even if there are huge demographic challenges, unemployment and environmental pressure, the only spatial issues that were (and still are) high on the political agenda and much discussed in national media, are large retail developments and car oriented infrastructure. However, during informal discussions with a shopping mall developper, it became clear that car accessibility only comes second to the number of potential clients. The initial location choice thus appears to be a large area, based on a gravitational model. Within this chosen area, other location characteristics are studied, mainly accessibility, land availability, location of competitors and real estate price. Remarkably, in the Flemish planning practice, we do not have a way to define high potential areas if gravitational firm location models are used. In practice this means that comparison of potential sites (eg in strategic environmental assessments), does not meet the expectations of the company looking for a new site, namely to have the same (number of) potential customers. In this paper a generic approach to this gravitational model is used, starting from a EU-28 dataset. This approach is used EU-wide and on 3 specific regions, using the same type of calculations with different parameters. For the EU-wide maps, a short reflection tackles the question if this type of maps can be used beyond the analytical value and be incorporated in territorial policies. The regional approach is discussed from a graphical overlay of the results and complemented with planning practice experience in the Brussels periphery: What do the maps show? Is it the same on different levels? How do some maps correspond to other site location parameters eg accessibility and land price? What is the relationship between the percieved patterns and the policy goal of polycentric development?

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3

DATA AND CALCULATION

3.1 Population density disaggregated with Corine land cover 2000 The raster data on population density using Corine Land Cover 2000 inventory, as produced by EEA and JRC was used as a starting point. Even if this dataset is based on statistics and land cover data that is 14 years old, it still remains the most reliable source of cross border high resolution population data. Most interesting is the fact that it is closely linked to effective land use on a 1 hectare resolution. It also allows reliable comparisons across the EU28 on the spatial distribution of population. The grid main characteristics are: • • • • Geographic coverage: EU27 + Croatia. Some islands and overseas territories missing. Resolution: 100m (1 ha pixels) Values correspond to density in inhabitants/km2. to obtain the estimated population in a polygon, divide the sum of pixel values by 100. Projection: Lambert-Azimuthal equal area (INSPIRE-recommended) ownloadable from http://dataservice.eea.europa.eu/dataservice/ Javier.gallego@jrc.ec.europa.eu or by request from

Fig. 1: Population density in EU28. EEA & JRC 2009, with indication of 3 case areas.

3.2 Hot Spot Analysis: Getis-Ord Gi* The Getis-Ord Gi* method is used for local statistics. To do so the EEA raster dataset is first converted into a point feature dataset. Each 100mx100m pixel is turned into a point with the same value. The complete EEA dataset is too large to work with, we either aggregate the data in 5km x 5km squares, or we work with a smaller case area.

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3.2.1

Calculation

The Hot Spot Analysis tool calculates the Getis-Ord Gi* statistic for each feature in a dataset. The resultant Z score tells you where features with either high or low values cluster spatially. This tool works by looking at each feature within the context of neighboring features. A feature with a high value is interesting, but may not be a statistically significant hot spot. To be a statistically significant hot spot, a feature will have a high value and be surrounded by other features with high values as well. The local sum for a feature and its neighbors is compared proportionally to the sum of all features; when the local sum is much different than the expected local sum, and that difference is too large to be the result of random chance, a statistically significant Z score results.

Fig. 2: Calculations of de Getis-Ord Gi* statistic. http://resources.esri.com/help.

Fig. 3: aggregated population density in EU28. Maximum value appearing in each 5x5km cell.

3.2.2

Interpretation

The Gi* statistic returned for each feature in the dataset is a Z score. For statistically significant positive Z scores, the larger the Z score is, the more intense the clustering of high values (hot spot). For statistically
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significant negative Z scores, the smaller the Z score is, the more intense the clustering of low values (cold spot). 4 ANALYSIS

4.1 EU28 For the complete EEA dataset, values are first aggregated in 5km squares to enable desktop calculations. In this aggregation, we chose not to work with the mean value of all cells, but with the maximum value (Fig.3). This is done to avoid the ‘flattening’ of the data. The results for the hotspot analysis are much clearer when using the maxima.

Fig. 4: Hot spot analysis on aggregated population density in EU28. Fixed distance method, 100km, 50km, 20km, 10km influence zone.

The Getis-Ord Gi* statistic is run four times, each with a different fixed distance (Fig 4.). When the influence zone is 100km or 50km we get a general image, which corresponds with how companies might look at Europe from another continent. A large (red) core area is visible, with large periferal zones (in blue) in northern, eastern and southern Europe. If we further reduce the influence distance, we get a more detailed image on population density. At the same time, the significantly low density areas (dark blue) disappear from the map. This means that for the EU28level, there are no areas with significantly low results for this local statistic. The mean value is so low, that all ‘low’ values are within 1,65 standard deviation. Another interpretation is that the 100km and 50km hot spot analyses give a view on remoteness of some areas in Europe. The dark blue points have no larger cities within the fixed distance. Besides stating the obvious differences in EU-28, can we use these in regional planning? In my opinion, the harmonized raster data is useful to do benchmark studies and cross-border comparisons between regions. But the link to real spatial patterns gets lost by aggregating the data to a 5x5km pixel. The fact that the dataset is already outdated and no evolution in time is provided, limits the usuability. The same analysis would probably give better results when using data on LAU2-level, with the possibility of mapping

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evolutions in time. However, obtaining homogenized population data on all EU28 states might prove difficult, as described in ESPON 'Territorial Performance Monitoring'. 4.2 3 Cases For three cases (Flanders, Wien-Bratislava-Budapest, Milano-Venezia) we selected a sample area. All areas are the same size and have following characteristics (see table 1). On every territory we perform the same 3 hotspot analyses, again with fixed distances, but now 1, 2 and 5 kilometer. Larger or smaller distances do not produce a usefull map. Where Flanders and Milano have comparable statistical values, Wien is clearly different, mainly because of lower total population and lower maximum value.
Number of points Minimum value Maximum value Sum Mean Median Standard Deviation Estimated total population Wien-Bratislava-Budapest 3.700.000 0 38.000 790.000.000 210 21 1100 7,9 million Milano-Venezia 3.529.352 0 58.792 1.321.720.072 374 36 1356 13,2 million Flanders 3.215.645 0 48.036 1.501.758.548 467 45 1247 15,0 million

Table 1: Key statistical data of three case areas.

4.2.1

Hotspot analyses

Fig. 5: Hot spot analysis on population density in three cases (Wien-Bratislava-Budapest, Milano-Venezia, Flanders). Fixed distance method, 5km, 2km, 1km influence

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Almost all point get values that are either significantly high or low. For each territory we get a multiscalar approach on the existing population density, which can be useful when assessing if a hierarchy of cities might be a realistic planning policy. However, by superimposing all three analysis, we get them together in one map. 4.2.2 3 patterns

This combined map shows us how different gravitational site location models might interact and which areas will be developed. Personal experience in the Brussels area shows that the black rings coincide with the zones where regional retail investments might locate. Grey delineations are situated around cities with a local service area (eg hospitals, schools, supermarket,...) where the light grey lines are more congruent with changes in real estate prices. In the southern Milano example, (Fig.6) we perceive three types of patterns, which are also visible in the Flanders en Wien-Bratislava maps. The first (1) is a Chistaller-like pattern of cental places, where the more important cities have 3 concentric rings. For regional investment, the area immediately surrounding the city is equally interesting as the more central areas. If the area surrounding the city has fair accessibility and low land prices, this is where development will take place and urban sprawl or ribbon development might be the spatial result.

Fig. 6: Overlay of three analysis in one map of southern Milano: (1) Christaller like patterns, (2) a 'twin city' north of Piacenza, (3) 'edge city' development

In the second example, two small cities north of Piacenza are so close that the area of regional interest (black ring) is not one of the cities, but the area between them. This situation is even more difficult to handle. The third example shows an 'edge city' condition south of Bergamo, where all three types of edges (black, grey, light grey) are intertwined. 5 CONCLUSION: ROLE OF PLANNING? Given the diversity of spatial patters, even in rather small regions, how can spatial planning interact in a such a way that it produces the type of places that are desired in policies, instead of creating the same sprawl everywhere? In the ESPON 'TRACC' project (Transport Accessibility at Regional/Local Scale and Patterns in Europe), Spiekermann and Wegener show the relationship between economies of scale, transport costs and spatial development. 'The economic geography explains regional economic development as the result of the interplay between agglomeration forces (economies of scale) and spatial interaction costs as illustrated by the vertical and horizontal dimensions of the diagram in Figure 7. The theory suggests that the prevailing historical trend of increasing economies of scale and decreasing transport costs has led from isolated dispersed settlements to an ever more polarised spatial structure with a small number of dominant

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agglomerations (the white arrows in the diagram). If a more balanced polycentric spatial structure is a political objective, either the trend towards increasing economies of scale or the trend towards ever lower transport costs needs to be stopped or even reversed (the solid arrows in the diagram)'. (ESPON & Spiekermann & Wegener, Urban and Regional Research (S&W), 2011, p 53)

Fig. 7: Economies of scale and transport cost, as found in ESPON & Spiekermann & Wegener, Urban and Regional Research (S&W), 2011, p 53.

On the regional level, the overlay analysis shows that if a polycentric pattern is a political ambition, the territorial strategies and governance will have to be different for all three example areas (Fig 6.). In Flanders the new spatial policy plan aims to enhance the existing polycentric structure and to govern the territory is such a way that municipalities, provinces and regions work together instead of competing.

Fig. 8: Overlay of three analysis in one map of central Belgium and Flanders

Understanding how the gravitational model works, and which areas it will promote, is just a first step towards a new type of regional planning where a specific framework provides an adequate policy for different situations. More specific, the overall edge-of-city condition in Flanders and central Belgium will require innovative instruments and a long term political framework to result in a real-life polycentric urban region. 6 REFERENCES

CHRISTALLER, Walter: Die zentralen Orte in Suddeutschland. Jena, 1933. EUROPEAN ENVIRONMENTAL AGENCY, Joint Research Center: Population density disaggregated with Corine land cover 2000. Copenhagen, 2009 EUROSTAT: http://epp.eurostat.ec.europa.eu/portal/page/portal/nuts_nomenclature/local_administrative_units. As visited 30 March 2014 ESPON & IGEAT: TPM Territorial Performance Monitoring Luxembourg, 2012 ESPON & Spiekermann & Wegener, Urban and Regional Research (S&W): TRACC Transport Accessibility at Regional/Local Scale and Patterns in Europe – Interim Report. Luxembourg, 2011.

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Competition between Cities and Regions in Europe – Can Smart Spatial Planning Interact with Gravitational Site Location Models for External Investment? ESRI: How How Hot Spot Analysis: Getis-Ord Gi* (Spatial Statistics) works http://resources.esri.com/help/9.3/arcgisdesktop/com/gp_toolref/spatial_statistics_tools/how_hot_spot_analysis_colon_ getis_ord_gi_star_spatial_statistics_works.htm as visited 27 februari 2014 GALLEGO, F.J.:, A population density grid of the European Union. In: Population and Environment. Vol. 31, pp. 460-473, 2010 MITCHELL, Andy: The ESRI Guide to GIS Analysis, Vol. 2. ESRI Press, 2005.

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reviewed paper Concept of “Smart City” and its Practice in Poland. Case Study of Łódź City Ewelina Szczech
(dr Ewelina Szczech, Warsaw School of Economics, eszcze@sgh.waw.pl)

1 ABSTRACT Paper’s objective is to present the concept of “smart city” as an approach to urban development and, on this ground, to analyze urban practice in Polish city of Lodz. First part of the paper, therefore, will be dedicated to definitional aspects of the “smart city” approach, with focus on determinants and factors included in this concept of multidisciplinary growth. Some aspects of measurement of the concept will also be included. Having the conceptual base settled, concept of “smart city” will be confronted with urban practice of Lodz. The city was chosen based on its recent development: inclusion of multidisciplinary aspects in its growth strategy and good results of implementation of verified urban development programs. Analysis conducted in the practical part of the paper will use both qualitative and quantitative methods and both secondary and primary sources of data and information. Official strategic and program documents of the city will be researched and analyzed, as well as confronted with in-depth interview with policy-makers. Statistical data (regional, national and community) will be used for quantitative methods. Research will allow for conclusions regarding implementation of “smart city” concept in general, but also for verification of question whether this particular approach to urban development is suitable for countries and areas in different stages of economic development, as analysis will concentrate on a Polish city. In this light – the European Union’s single solutions for all Member States approach will be evaluated. 2 INTRODUCTION – GROUNDS FOR THE SMART CITY CONCEPT Role of cities in modern economy is well described and has become obvious – not only are urban areas places of living for more than a half of population but also (in case of European Union) generate ca. 80% of GDP. The UN estimates (United Nations 2012) that urbanization will get intensified and urban areas will increase their economic impact, as well as will become increasingly important for culture and social relations. At the beginning of urban studies and economic research of urban areas, cities were mostly seen as a ‘by-product’ of industrialization; currently however, are rather treated as a catalyst of economic change – with intensive correlation of urbanization and economic growth as well as increasing importance of high value added industries, mostly localized in cities. Relation of urbanization and wealth (measured by GDP per head) is illustrated by model elaborated by the World Bank, presented in fig. 1. The model explains 55 per cent of variation of urbanization; however, as a regression model, it does not explains causality.

Fig. 1: Urbanization (percentage of urban population) and wealth (GDP per head) in chosen countries, 2000 (in 1996 USD). Source: The World Bank (2006), p. 3.

Increasing economic importance of cities is reflected in urban studies which focus transfers from social science (social relations in urban areas, segregation, social inclusion) increasingly towards economics (management, entrepreneurship, competitiveness). In context of economic research, cities are treated not

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only as a location for entrepreneurial activity, with institutional environment analysis, but also as an economic entity itself, capable of competing with other entities. Urban development research point to two pillars of urban growth, i.e. entrepreneurial environment and quality of life. Those two elements (represented by companies and people) are significant and necessary for a competitive city to develop (Szczech-Pietkiewicz 2013). Well elaborated in literature and implemented in urban practice concept of urban competitiveness gave grounds for the introduction of the idea of “smart city”. Goal of the following paper is to present this concept by its definition, comparison with other urban development notions, as well as elaboration of a synthetic index providing tool for assessment of “smartness” of a city. In this respect, concept of smart city is an extension of urban competitiveness research, by identification and introduction of new dimensions to urban growth analysis, followed by its quantification. Smart city concept, in its current understanding, combines and gives ground for synergies between competitiveness and sustainable development in urban areas. Urban growth, as observed in last couple decades, came with negative externalities such as inequality and competition among cities, therefore there seems to be a need for policies that emphasize balance, social inclusion and competitiveness at the same time. Goals of sustainable development and competitiveness, however contradictory at first glimpse, can be successfully combined in concept of smart city. According to the European Commission: „European cities of tomorrow are places of advanced social and environmental progress, while maintaining economic attractiveness and economic growth achieved by integrated approach including all aspects of sustainable development” (European Commission 2011). This definition of future urban development takes into consideration all elements of smart city concept, while at the same time emphasizing that this is the model of growth that EU will be supporting and promoting. Implementation of the smart city concept at the community level has been started by Commission’s initiative „Smart Cities and Communities – European Innovation Partnership” (C(2010) 4701 fin). The goal of this initiative is promotion of sustainable urban development while concentrating on issues of transport, mobility, energy and information and communication technologies (ICT). The project will be supported by the cohesion policy and financed with European funds (mostly with Horizon 2020 means). First step in the initiative’s implementation is establishment of SCC Platform (Smart Cities and Communities Stakeholder Platform), as a tool for best practice and information exchange among engaged cities and communities. Further, the European Commission recommends data collection for the purposes of progress monitoring in the area of smart city in the European Union. 3 DEFINITION OF SMART CITY AS AN APPROACH TO URBAN DEVELOPMENT Current discussion over multi-dimensional urban growth and development quite often uses notions like: intelligent cities, knowledge-based cities, smart cities, learning cities. Large number of these notions and their understanding calls for a common definition of the concept of smart city which is a subject of this paper. First and the most important, differentiation will be made between smart city and intelligent city. Intelligent city is most commonly defined as an area which uses and enables access to (ICT), using them in management, governance, administration and communication with inhabitants. Such a city will therefore be equipped with intelligent systems of transport management, monitoring of security and public wireless Internet access points. Moreover, intelligent cities are often characterized by intensive concentration of highly qualified work force and representatives of the creative class (R. Florida 1996), capable of creating the knowledge spill-overs. Intelligent city therefore is one that uses available technology in all aspects of management and development: creating intelligent systems of communication with inhabitants (e.g. egovernment), creating public transport management and traffic management systems, guaranteeing security and managing urban services (Lombardi et al. 2009). Technology is used mostly with the goal of resources efficiency increase, on the other hand also – to increase quality of life in the city. One of the most often cited definition of intelligent city is that created by the IBM (IBM 2010). Their definition emphasizes advanced technology use in urban development and planning, it also focuses mostly on urban infrastructure. According to the IBM: „Technological advances allow cities to be ‘instrumented’, facilitating the collection of more data points than even before, which enables cities to measure and influence more aspects of their operations. Cities are increasingly ‘interconnected’, allowing the free flow of
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information from one discrete system to another, which increases the efficiency of the overall infrastructure. To [meet] these challenges and provide sustainable prosperity for citizens and business, cities must become ‘smarter’ and use new technologies to transform their systems to optimize the use of finite resources.” Criticism of the concept of intelligent cities focuses on the fact that it is questionable to attribute whole complex system of urban areas development to just one factor – in this case technology (Hollands 2008). Despite the fact that impact of modern technologies on shaping urban areas is well documented in literature (Graham and Marvin, 1996), it is unjustifiable to give this one determinant a superior role. Other criticism of intelligent cities concentrates on the social aspect of intelligent systems. One of the risks of excessive use of advanced ICT systems and tools is increasing technological exclusion (digital divide), as some groups of city’s inhabitants may not be able, capable or willing to use them. Therefore, intelligent city is created for an intelligent inhabitant, however intelligence is understood very narrowly, as capacity of cooperating with technology. Graham and Marvin (2001) call this phenomena a splintering urbanism, as development concerns only chosen groups of inhabitants, while increasing fragmentation and polarization in the area. Intensive use of intelligent urban systems (in transport, social security, social capital activation, resources management), even though biased with technological exclusion, may also increase efficiency growths to the extend impossible to obtain by “traditional” methods. For example, automated public transport system can generate more frequent circulation of buses or trains than by using only human knowledge, talent and abilities. Quite similarly, progress in automotive industry and use of modern technologies in vehicles’ production may increase efficiency of urban traffic. Technology can also increase social inclusion by increasing the lengths of senior citizens activity (e.g. ‘self-driving’ cars). Concept of smart city goes beyond this narrow understanding of development (limited to ICT). Even though there is no one commonly used definition of smart cities, literature of subject proposes two threads of approach to the concept. One approach is to define it as a city where ICT delivers infrastructure for social and economic initiatives concerning economic growth, social capital and higher resources efficiency (Hollands 2008, Komninos 2006, Van Der Meer and Van Winden 2003). Other thread is to assume wider approach, where smart cities are treated as a new urban development paradigm (Giffinger et al. 2007, Caragliu et al. 2011, Neirotti et al. 2014, Lazariou and Roscia 2012). In the latter approach, focus is therefore put on phenomena such as human and social capitals, education and natural environment (Lombardi et al. 2012). Such models of urban development point to smart cities as areas which, on one hand, are a supporting factor for intellectual capital development and well-being growth by institutional system; at the other hand providing a knowledge transfer mechanism for system of innovation. These models however, despite including city management issue, does not concern natural environment and sustainable development issues. It also does not provide tools to research causality (Lombardi et al. 2012, s. 138). A comprehensive definition of smart city is provided by Vienna University of Technology (VUT) in „Smart cities – ranking of European medium-sized cities”. Basing on literature review, Authors conclude that by the time the report was published (2007), the term “smart city” was used to describe such verified actions in urban areas as: development of ICT in cities; increase of inhabitants education achievements; creation of attractive conditions for business locations, mostly in IT sector; providing modes of communication with inhabitants (e-administration); modern modes of transport; urban development respecting sustainability. VUT therefore, assumes that a smart city is: „well performing in a forward-looking way in these six characteristics, built on a ‘smart’ combination of endowments and activities of self-decisive, independent and aware citizens”. The six characteristics of a smart city are: economy, people, governance, environment and quality of life. With such assumptions, this approach, unlike intelligent city concept, gives grounds to extending analyses of urban progress further than technology, while also reaching beyond urban competitiveness from the point of view of business sector. Therefore, it avoids risk of dedicating urban development strategy to a sole goal of competitiveness growth (by limiting goals to increasing business location attractiveness). Other definition of smart city present Bakici, Almirall and Wareham (Bakici et al. 2013, p. 135) in their case study of Barcelona, where they state that such cities: „base their strategy on the use of information and communication technologies in several fields such as economy, environment, mobility and governance to transform the city infrastructure and services”. This definition therefore puts ICT in the position of urban development tool and this role is in this case significant, which may prove that Authors lean more toward

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understanding smart city more as an intelligent city. The goal of using ICT in urban management is here obtaining efficiency gains in resources management, job creation, quality of life increase and innovation. A current and comprehensive definition of smart city is brought by A. Caragliu, Ch. Del Bo and P. Nijkamp (A. Caragliu et al. 2012), in a statement that: „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”. This definition combines areas almost identical to TUV’s approach (human and social capital, transport, ICT, environment, quality of life and democratic institutions), however adds a dynamic analysis by pointing to mechanism and causality between these notions. Significant is also differentiation among goals (sustainable development, quality of life), tools (human and social capital investment, transport and ICT) and mechanisms (effective resource management and social participation), while VUT’s approach gave all those aspects the same role. Current literature also stresses that core concept for smart city is the ability to combine intelligent solutions with particular city’s conditions (Deakin 2013). M. Komninos (2008) points to following conditions of smart city development: • • • • broad spectrum of electronic devices and technology use in cities and communities; use of information technologies for quality of life and work increase in the region; ICT embeddedness in the city; territorialization of the above practice in order to bring people and technology closer together, while encouraging innovation, learning, knowledge and problem solving that technology provides.

Generally, Komninos proposes to defines smart cities as (2008, p. 1): „…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”. Summing up, smart city as a concept of urban development assumes it should include six spheres of growth: economy, people, urban governance, geographic mobility, natural environment and quality of life. These areas should be further supported by information technology systems, provided they are a tool not a goal of development strategy. Smart strategy should also include not only multi-dimensional approach but also city’s stakeholders, i.e. enterprise sector, inhabitants and local government. 4 METHOD Issue of urban development determinants is well embedded in literature, which of course does not mean this list is constant and complete. Researchers still discuss the role of particular factors, their impact on urban growth, their hierarchy and timing. Most commonly analyzed determinants include: innovation (R. Capello, P Nijkamp), creativity (Ch. Landry, R. Florida), entrepreneurship (OECD), quality of life (R. Rogerson) and human and social capital (E. Glaeser). All of these factors are to some extend included in the concept of smart city and extended, by addition of mechanisms, instruments and governance. Interesting approach to urban development determinants of a smart city is presented in P. Lombardi’s paper (Lombardi et al. 2012). Using Analytic Network Process (ANP) method, over 60 indices of urban development is analyzed. Indices are first grouped according to triple helix model, however helix is in this case extended to four dimensions, fourth dimension being civil society. ANP analysis, including relations between priorities (dimensions of the helix) and alternative solutions, gave grounds to grant following weights to particular determinants: (1) entrepreneurial city – 48 per cent, (2) innovative city – 20 per cent, (3) people friendly city – 17 per cent, (4) networked city – 13 per cent. According to the smart city approach, it is assumed that urban development is analyzed in line with the previously listed six characteristics. All six areas have their justification for urban development in traditional and neoclassical urban growth and development theories, including: competitiveness theory, transport and ICT economics, human and social capital, quality of life theories. Each determinant’s impact on urban development can be also verified by correlation analysis with urban wealth, measured by GDP per head. Table 1 presents correlation and p-value results for chosen measurements from each of the six areas with GDP per head PPS. Calculation concerns over 40 European cities, which also serve as sample for the whole analysis presented in this paper.

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Numer enterprises

of

Population age median

Administration found helpful (in inhabitants’ opinion) 0,306024

Air pollution is a big problem (in inhabitants’ opinion) 0,003477

City is a safe place to live (in inhabitants opinion) 0,356538

Multi-modal accessibilty of the city 0,690771949

Correlation

0,435173

-0,20992

Table 1: Chosen indices correlation with GDP per head in urban areas in the European Union. Source: own elaboration based on Eurostat data.

Calculating correlation of chosen smart city measurements with GDP per capita (regarded as a synthetic index for wealth in the urban area) proves that it is the multimodal accessibility that has the strongest relation to urban development. Such result supports the importance of hard infrastructure for cities. Nonetheless, other indices included in the calculation, except for city’s inhabitants opinion on air pollution, were also to lesser or greater extend correlated with growth in urban areas which supports the choice of the six characteristic areas for further research of smart cities and choice measurements of measurements in these six areas as proxies for smart city development. Similar indices for city smartness evaluation were used in A. Caragliu, Ch. Del Bo and P. Nijkamp’s research (A. Caragliu, Ch. Del Bo, P. Nijkamp 2011). Their evaluation was based on the correlation of six proxies: employment in entertainment industry, multimodal accessibility, length of public communication system, e-administration (no. of forms accessible on-line) and proportion of population with 3-4 ISCED level education with GDP PPS per head. Analysis presented in their paper, despite moderate levels of correlation between indices allowed for conclusion that the most significant determinants of smart city’s development are: existence of the creative class (in line with R. Florida’s theories) and multimodal accessibility (in line with New Economic Geography’s assumptions). According to OECD’s „Better Understanding our Cities” (1997, p. 23), criteria chosen for a analysis should: be significant for policy-making and application value; have good degree of analytical soundness and be quantifiable. Ever since the report was published, i.e. for over two decades, the state of urban research has changes significantly. The statement that: „it is still not common to study economic processes and products at the scale of cities” (OECD 1997, p. 11) is inadequate, however urban economics may not be considered leading concern of economists. Still, some challenges and recommendations presented by OECD remain current, e.g. still quantitative research in urban studies are rather fragmented and concern chosen spheres of economy (innovation or energy market), they are also territorially limited (regard few Western European cities or are a case study). Moreover, still quantitative analysis is biased by heterogeneity of statistical systems for local level. Therefore, OECD proposed best practices separately for different spheres of urban economy: natural environment protection, energy, economics, sustainable development. Unfortunately, suggested by OECD “mission information” i.e. the need for data collection in urban areas in international dimension, is still valid. Lack of comparative (including international comparisons) and updated data is one of the challenges urban researchers and researchers have to overcome (Goldstein and Sly 1974, Short et al. 1996, Taylor 1999, Florida 2008, Taylor et al. 2011). Presented in this paper analysis is based on secondary data from Eurostat’s Urban Audit which collects data from over 300 EU cities every three years. Collected data concern mostly social and economic development based on over 300 proxies. The database is however updated with considerable delay, and accessibility of data is dependent on local governments or municipality’s input, therefore some data is non-available or outdated. Despite this bias, Urban Audit’s data allows for international quite detailed comparisons in the territory of the European Union. Smart city index presented in this paper was elaborated with the goal of simplification of this notion, its quantification and creating a tool for communication in this policy area. Index can be used for international comparisons and ratings and enables drawing conclusions and recommendations for urban development. As every index or model however, it is just a simplification of reality and particular case-studies (cities) require more thorough analysis for a more precise identification of their urban growth pattern. Proxies for the smart city index elaboration were chosen for the sample of 45 European cities, which may be considered a representative group given their geographic location, size and stage of social and economic development. Proxies represent all six smart city characteristics presented in this paper.

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Economy

GDP PPS per capita (EUR) Number of entreprises / 1000 inhabitants Activity rate (%) Unemployment rate (%) Median population age Employment rate (%) Number of students (5-6 ISEAD level) / 1000 inhabitants Administration found helpful by citizens (0-100 index) Resources are used efficiently in citizens opinion (0-100 index) Inhabitants satisfied with public spaces (0-100 index) Multimodal accessibility (UE-27=100) Number of registered cars / 1000 inhabitants Inhabitants satisfied with public transport system (0-100 index) Population density (people/km2) Number of days in a year when ozone concentration exceeds 120 µg/m³ Air pollution is a big problem in inhabitants opinion (0-100 index) Number of households living in social housing / 1000 inhabitants City is a safe place to live in citizens opinion (0-100 index) Easy to find affordable housing (0 – 100 index)
Table 2: Proxies for the smart city index. Source: own elaboration

People / Human capital

Governance

Mobility

Environment

Quality of life

Presented in the paper smart city index is not the first attempt of this concept’s quantification. Lazaroiu and Roscia’s (2012) elaborated a model which may serve as a tool for smart city rating based on 18 proxies. Their model however is based on a more narrow understanding of city smartness (quality of life and human capital issues were not included and model was calculated based on proxies concerning economy, energy, environment, mobility and administration). Moreover, the model was tested on a group of six Italian cities and its application value may be limited by the requirement of consultation with experts in each analyzed area. According to authors’ conclusions (G.C. Lazariou, M. Roscia 2012, p. 332): „The example reported in this paper is on a hypothetical smart city and the evaluation of weights, criteria and indicator have not been carried out by experts of the specific fields. In case of a real city, the establishment of correct values requires the experts contribution in the various chosen fields.” Aggregated index presented here provided a tool for comparative studies, rankings elaboration and observation of progress in urban development without broad consultations with experts and policy-makers in every particular area. Presented index is based on six sub-indices corresponding to six smart city characteristics (economy, people, mobility, governance, environment, quality of life). Proxies for the calculation are presented in tab. 3 together with weight given to each sub-index and proxy. So far, in this first version of the index, each subindex is given the same weight (1/6) and weights for proxies divided equally within each sub-index. It may turn out necessary, however, that in course of research and consultations, those weights will be altered. The model elaborated for smart city index gives such possibility and it may be used, if further research will justify it. Value of each proxy was given evaluation on a 1 – 5 scale based on quintiles of order systematization of cities. Therefore, 20 per cent of cities best performing in a sphere estimated by a proxy were evaluated with a 5, while 20 per cent of worst cities was granted a 1. Such parameterization of measurements allowed for full comparability of development of urban areas. Weighted average of points granted for each proxy within subindex to a city gave value of a sub-index (yet, since proxies are given the same weights it is in fact an arithmetic average). Aggregated smart city index is a weighted average of sub-indices values. In the presented version of the index each of sub-indices has however the same weight, hence average value is actually equal to arithmetic average. Alternative approach may be to order cities according to the value of a particular proxy followed by granting them „grades” according to their relative position. In such model, for the sample of 45 cities, a city with third

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highest value in GDP per capita would be granted 0.93 points. Sum of such grades would then give a synthetic position. This method however limits analysis to the sample group without the possibility of enlarging it with other cities or entities.
Sub-index Economy Proxy GDP PPS per capita (EUR) Number of entreprises / 1000 inhabitants Activity rate (%) Unemployment rate (%) Median population age Employment rate (%) Number of students (5-6 ISEAD level) / 1000 inhabitants Administration found helpful by citizens (0-100 index) Resources are used efficiently in citizens opinion (0-100 index) Inhabitants satisfied with public spaces (0-100 index) Multimodal accessibility (UE-27=100) Number of registered cars / 1000 inhabitants Inhabitants satisfied with public transport system (0-100 index) Population density (people/km2) Number of days in a year when ozone concentration exceeds 120 µg/m³ Air pollution is a big problem in inhabitants opinion (0-100 index) Number of households living in social housing / 1000 inhabitants City is a safe place to live in citizens opinion (0-100 index) Easy to find affordable housing (0 – 100 index) Weight in subindex 25% 25% 25% 25% 33% 33% 33% 33% 33% 33% 33% 33% 33% 33% 33% 33% Weight of the sub-index 1/6

People / Human capital Governance

1/6

1/6

Mobility

1/6

Environment

1/6

Quality of life

33% 33% 33%

1/6

Table 3: Proxies for smart city development and their weights in smart city index.

Other alternation to the method (also considered) is also ranking according to average intervals (instead of percentiles). This operation, given homogeneity of European cities, proved to be inadequate. Since normalization does not regard the distribution of values, in case of extreme values or concentration of values in a small range (as in the case of European cites), normalization brings values in a very tight scale. Normalization (i.e. use of average for proxies) can therefore cause over-representation of proxies in chosen ranges. Overall, use of average values was in this model inadequate and percentile order was used instead. Values of measurements in presented analysis were ordered in ascending order, i.e. the higher the value the better the grade. Following proxies, due to the fact that lower values are desired in urban development, were ordered in descending order: unemployment rate, median population age, dependency ratio, population density and air pollution as a big problem. 5 FINDINGS Values of smart city index for the analyzed sample are presented in tab. 4. Finally, out of the group of 45 cities, full data set was obtained for 27 cities but sub-indices values for particular sub-indices have been calculated for larger groups of urban areas.
City SMART INDEX 3,97 3,96 3,61 3,49 3,47 Smart Economy 2,50 3,75 3,00 2,25 4,50 Smart People 4,33 3,33 3,00 4,00 3,67 Smart Management 5,00 5,00 4,67 5,00 3,67 Smart Mobility 4,33 3,00 4,00 3,67 4,00 Smart Environment 3,67 3,67 2,67 2,67 3,33 Smart Quality life 4,00 5,00 4,33 3,33 1,67 of

Bordeaux Groningen Rotterdam Lille Bologna

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Hamburg Praha Kraków Bialystok Amsterdam Warszawa Paris Manchester Leipzig Ljubljana Liège London (greater city) Brussel Bratislava Berlin Kosice Vilnius Madrid Tallinn Barcelona Riga Sofia

3,40 3,35 3,33 3,28 3,26 3,21 3,18 3,15 3,06 3,06 2,92 2,89

3,75 4,75 3,00 2,00 4,25 4,25 3,75 2,25 2,00 4,00 1,50 3,00

2,00 2,33 3,67 3,33 2,67 3,00 3,67 3,33 2,33 1,33 2,67 3,00

3,33 3,00 4,33 4,00 3,33 2,33 3,33 4,33 3,00 3,33 3,00 3,67

4,00 4,33 3,67 2,67 3,33 3,67 3,33 2,33 3,33 3,00 3,67 3,00

3,67 3,67 2,33 3,67 2,33 3,00 2,00 2,33 4,00 4,33 3,67 2,00

3,67 2,00 3,00 4,00 3,67 3,00 3,00 4,33 3,67 2,33 3,00 2,67

2,85 2,81 2,64 2,64 2,58 2,56 2,56 2,51 2,38 2,29

2,75 3,50 2,50 1,50 2,50 2,00 3,00 2,75 2,25 2,75

3,67 3,00 1,67 3,00 3,67 2,33 3,33 2,67 3,33 2,33

2,67 2,00 1,67 3,67 1,33 2,67 2,00 2,00 1,00 1,00

3,67 2,00 2,67 1,00 2,67 3,33 1,67 3,33 2,00 2,67

2,33 4,67 3,33 4,67 3,00 2,33 2,67 1,67 2,67 3,00

2,00 1,67 4,00 2,00 2,33 2,67 2,67 2,67 3,00 2,00

Table 4: Values of smart city index and sub-indices for chosen European cites. Source: own calculation

Out of the analyze sample group, the best performing cities in the smart city development seem to be medium-sized cities, which rather do not play a dominant role in their countries economy and rather serve as regional centres. Highest value for large cities, large and significant enough to be included in global cities network, achieved Paris. Surprising may also be the position of Barcelona – city dedicated to the idea of smart city and location of numerous smart city initiatives (Bakici et al. 2013). Eastern European cities rank rather low in smart city index but worth noticing is the fact that their position is not lowered due to the indices in the smart economy index but rather quality of life and urban governance factors. 6 FURTHER LINES OF RESEARCH Smart city index presented in this paper is its first version and requires further research, alternationas and improvements. Potential areas of areas for improvements include mentioned differentiations of weight or enlargement the group of chosen proxies. Changes in weighing system may be introduce with the use of fuzzy-logic method (Lazaroiu, Roscia 2012), building on experts’ consultations. This line of changes to the model may also give grounds to building recommendations and policy-making based on the index as change in weight of particular proxy or sub-index may show a potential gain achieved by new urban development activity. Other line of improvements may include alternations in the range of points granted to cities for their values. So far, calculations were based on 1 – 5 scale, however may be proper to limit the range if extreme values for a chosen proxy are not observed. Then, a range of 2-5 or 1-3 may prove more informative (e.g. when analyzed group of cities rank relatively low in a particular issue globally). This change however requires experts’ evaluation and decision.

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Ewelina Szczech

7 CASE STUDY OF ŁÓDŹ (LODZ) Lodz is an average-sized city located in central Poland. The choice of this particular case-study is based on an industrial history of the city, as well as its development after economic transformation in Poland. Historically, development of city of Lodz has been strongly related to the textile industry and stated in the industrial revolution period, when industrialization was inevitably followed by urbanization. Typically for urban growth in that era, Lodz grew around large textile production sites, with urban plans being elaborated and implemented by and for large industry owners. Also typically for the Enlightenment philosophical thought, some ideas concerning social development were introduced – with dwellings, schools and hospitals built for industrial workers. Post World War II, Lodz continued path of development relying on hard industries, mostly textiles. With centrally planned economy, city’s industrial production grew, yet this growth did not turn into development, especially when it comes to negative agglomeration externalities. These tendencies came especially vivid after the economic transformation and introduction of free-market economy in Poland, leaving Lodz with social challenges non-existent middle class, brain drain towards Warsaw, high rates of crime, low rated of education attainment and employment. Yet, Lodz still remained an attractive location for industrial production, due to the infrastructure heritage, large pools of labor force and central (both Polish and European) location. Post-transformation development of the whole region of Eastern Europe is characterized with deindustrialization forces, necessary to adjust economies to the free-market service-oriented globalized world. These tendencies did not by-passed Lodz and meant close down of many inner-city plants and large losses of manual jobs, followed by wide range of social problems (crime, unemployment, premature mortality, neighborhood abandonment to name just few). Pattern of deindustrialization, analyzed in urban development literature (Turok and Edge, 1999), has been followed with difficulties to replace lost opportunities or retain work force. Literature of the subject brings different explanations of the process of deindustrialization. In some papers, lower skills intensive production is being moved outside of cities while urban areas remain locations higher level functions (Massey, 1984). Cities are then centers of strategic control, and smaller regional centers lose their significance in economic development. There is also theories bringing similar patterns to the international level, with Sassen’s global cities network, as the main example (Sassen, 1994). The same division of labor is here described in international perspective, with offshore, emerging economies acting as regional centers. The network analysis of urbanization is followed by works of Castells who puts emphasis largely on technological advances in economic growth and emergence of informational phase of economic development. In these theories, “economic relationship within cities have become less important than the position of cities within wider international network” (Turok, 2005, p. 39). Is seems like development of Lodz post-transformation first followed the pattern analyzed in Massey’s work. Large pools of low- and medium-qualified labor force made the city attractive location for production of lower ranges of value-added chains. Analyzing the city development in industrial clusters terms, Lodz may have followed the model of product cycle (Vernon 1960, 1966), according to which firms separate stages in life cycle of their products spatially. For example, information- and qualification-intensive activities will be located in urban location which give access to highly skilled work force, as well as allow for face-to-face contacts necessary for information creation and circulation. However, with the further stages of product’s life cycle, once the product has been designed, tested and developed, the firm will no longer need sources of nonstandardized innovative production. Once the information about the product is standardized and available, the production technique become not only easier to implement but also does not require highly skilled labor. The location of production can be then moved to lower-cost (and lower-skills) areas. Therefore, city and its region became location of various household equipment production sites, as well as business support centers (mostly call-centers, accounting and computing). As expected, this process did not bring any advances of economic development of the city, nor did it solve growing social problems. A new development strategy of Lodz tried to face these challenges and lead the city to new pattern of growth, which seems particularly interesting. The strategy (“Integrated Development Strategy for Lodz 2020+”) envisages three sources of competitive advantage for the area, namely: industrialization, innovation and creative sectors. Building on the industrial history of the city and its legacy (infrastructure, labor ethos), the city’s policy-makers are trying to introduce activities from higher level of value-added chain, more technologically advanced. So far, Lodz has succeeded in attracting R&D centers, which may prevent further loss of qualified labor to Warsaw. The
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city’s industry is still mainly concentrated in textiles (using the still existing infrastructure), yet leaning towards technological advancements (e.g. production of innovative fabrics). On the other hand, great emphasis is put on creating conditions for growth of the creative sectors, based also on factors endowment as the city is home to various artistic schools and universities (film, fine arts, music). In this respect, the city is strongly supporting creative cluster creation, mostly by satisfying demand for locations of artistic activities through means of revitalization. The actions resulted in emergence of two large creative clusters in the city, bringing together large number of small firms of artistic character (Off-Piotrkowska and Księży Mlyn). The development strategy of Lodz, even though not related per se to the concept of smart city, may be analyzed as such. It stresses a multidisciplinary development of city (with industry as important as art) while not neglecting the hard infrastructural size of urban development. The three priorities of the development strategy are as follows: (1) economy and infrastructure, (2) society and culture, and (3) space and environment. With an overarching goals of efficiency and citizen-friendliness, they all together constitute all fundaments of the smart city concept of urban development, therefore Lodz may be analyzed in these terms. Main strengths of the city, according to its decision-makers, include (The City of Lodz Office, 2012, p. 20): • • • • • • • central position in Poland, Europe and in the agglomeration with a population of over a million; infrastructural investments carried out in Lodz and the agglomeration, including those in transport with network of national highways and fast trains to/from Warsaw; diverse, substantial investment areas that are available in the city; competitive costs of carrying out business activities; numerous higher education institutions, both public and private, as well as research institutes generating efficient and experienced staff; post-industrial heritage – tradition, identity, unique architecture and urban arrangement; experience in regeneration of post-industrial structures for education, trade and entertainment purposes;

In the light of strategic documents, survey data and information from the entrepreneurship sector, location of economic activity in Lodz is still mostly chosen for the characteristics of its labor force. As characteristic as it is for the emerging economies, it still bears all weaknesses and risks of low-cost locations. Lodz is not going to turn into an agglomeration include in the international network of cities, nor will it benefit from the new ‘informational’ phase of capitalism by becoming one of the nodes of international network of information processing and control. Yet, Lodz may still benefit from international labor and capital division, as well as may serve as regional cluster of small firms capable of delivering Saxenian’s ‘milieux’ for innovation. Analysis of the city’s development also proves that it is becoming even so often a pool of qualified, yet still cost-competitive, labor – over the last decade number of companies in creative and innovative sectors is increasing. Worth mentioning is also a fact that innovation in Lodz is to some extend driven by revival of textile industry, yet in its current, technology intensive stage. Building on infrastructure, know-how and tradition of the industry in the region, investors are starting to produce and research textile products in Lodz and, moreover, many of the investors are small and medium sized companies. Attachment of the city of Lodz to the smart city initiatives is also supported by its bid in IBM’s “Smarter Cities Challenge”, which Lodz finally won (together with other 30 cities around the world). Under this program, Lodz will be consulted by IBM’s leading experts as far Was development challenges are concerned. The whole project is valued at 50 million USD and included three-weeks-consultation period, analysis of city’s growth, interviews with city’s policy makers, academia and business representatives, concluded with recommendations. So far, IBM experts are analysis the area of social transfers in the urban area, which may seem unorthodox for an urban development primary research but as the project is still undergoing, it is hard to evaluate its outcomes yet. The issue of smart city growth in the context of various stages of economic development (i.e. in developed or low-income countries) has not been widely elaborated upon in literature, neither conceptual nor empirical. This approach is slightly touched upon in Neirotti et al. (2014), as structural factors, with economic development, constitute one of the groups of explanatory variables in their regression analysis.

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It seems however, that the concept of smart city may be treated as a universal model for urban development given a wide definition is assumed. If we assume smart city a new paradigm of urban development, and include areas concerning social and human capital, mobility, governance, sustainability, the concept seems appropriate for both developed and emerging economies. Understanding of smart city to just city “intelligence” and its endowment with ICT distorts the picture as it favors both technology and population capable and willing of its use. Cities equipped with ICT are not necessary better cities or more livable cities or even cities more attractive for investors. Studies and rankings show that the smart city initiatives are elaborated and implemented in cities throughout the world, yet priorities are chosen depending on city or region’s needs. Empirical analysis of those initiatives (Neirotti et al. 2014) proves that the level of economic development (with GDP per capita as proxy) is not as important to implementation of smart city initiatives at all, as it is to the type of actions chosen. The study proves, contrary to conventional knowledge, that cities in developed countries tend to concentrate more on ‘hard domain’ (energy, natural resources, transport, built environment, healthcare and public security) whereas low-income cities are active in projects aimed at innovation capabilities and human capital. The index elaborated in the presented study also shows that cities from various economies score similarly in the ranking. This analysis is, however biased by the fact that it is geographically limited to EU member countries, therefore the representation of low-income economies is inadequate to global comparative studies. The case study, its potential and development in terms of smart city concept will be analyzed using the previously elaborated index. Data for the following calculations come from three sources: Urban Audit data base of Eurostat, Bank of Local Data of Polish National Statistical Office and quality of life and quality of public institutions service survey, carried on for the Lodz’s Municipality in 2012. Fig. 1 shows results in the previously prepared index for Lodz. As Lodz was not include in Eurostat’s survey on quality of life in European cities, other proxies had to be used in this particular case. Number of households living in social housing, for the lack of data, was substituted with declarations on the use of any social assistance by city’s inhabitants (based on the Municipality’s own survey, ). Efficiency of resources use, since not accessed by neither the Municipality nor Eurostat, was estimated based on Standard&Poor’s rating. Other proxies remained unchanged compared with the original smart city index and the values come from either Urban Audit or Municipality’s survey on quality of life in the city.

Fig. 2: Smart city index an sub-indices in Lodz. Source: own calculations based on Urban Audit and Lodz Municipality survey data.

The overall point value for Lodz in smart city index comes to 2.90 which ranks the city in the middle of the sample used for the evaluation. It is also a value that is similar to other Eastern European cities. Interestingly however, Lodz ranks relatively well in areas of environment and management, where other Eastern European cities had lower values. In case of Lodz, overall value of smart city index is lowered by quality of life and mobility sub-indices. The mobility issue may be covered in the near future by the extension of high-way and rail-track network around in within Lodz. Furthermore, Lodz has just lounged a large investment in inter-city train system. Overall accessibility of Lodz and mobility infrastructure within the city should increase in the near future and comparing the smart city index throughout next few years might bring interesting results.
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Other area of policy focus should concentrate on social development. High numbers of households living in social housing are to some extend an aftermath of industrial history of the city and its social consequences – unemployment, social exclusion, problems with adjustment to free-market reality. The fact that Lodz is not following the pattern of smart city development typical for other Eastern European countries may support the hypothesis that smart city is a concept for multi-dimensional urban development suitable for both developed and emerging economies. This particular case study proves that smart city strategy is more dependent on actions and initiatives taken within this particular urban area or region than overall macroeconomic situation of national economy. The fact that analyzed concept covers six characteristics gives possibility to make up deficits in one area by excellent results in others. 8 REFERENCES

Bakici, T., Almirall, E., Wareham, J. (2013) “A Smart City Initiative: the Case of Barcelona”, Journal of Knowledge Economy, Vol. 4, Issue 2, pp. 135 – 148. Beall, J., Fox, S. (2009) Cities and Development, London and New York: Routledge. Camagni, R., Capello, R., Nijkamp, P. (1998) “Towards sustainable city polity: an economy-environment technology nexus”, Ecological Economics, vol. 24, issue 1, pp. 103 – 118. Caragliu, A., Del Bo, Ch., Nijkamp, P. (2011) ‘Smart Cities in Europe’, Journal of Urban Technology, vol. 18, issue 2, pp. 65-82. Deakin, M. (2013) Creating Smart-er Cities, New York and London: Routledge. Dirk, S., Durdgiew, C., Keeling, M. (2012) „Smarter cities for smarter growth”, IBM Institute for Business Value, http://public.dhe.ibm.com/common/ssi/ecm/en/gbe03348usen/GBE03348USEN.PDF (dostęp 11.02.2014) Dumolard, P. (2011) Distances, Accessibility and Spatial Diffusion, in M. Theriault, F. Des Rosiers (eds.) Modeling Urban Dynamics. Mobility, Accessibility and Real Estate Value, London and Hoboken: Wiley, pp. 189-204. European Commission (2011) Cities of Tomorrow. Challenges, visions, ways forward, Directorat General for Regional Policy, http://ec.europa.eu/regional_policy/index_en.htm [accessed 22.02.2014] Florida R., Tinagli I. 2004. Europe in the Creative Age, London: Demos. Giffinger, R., Fertner, C., Kramar, H., Kalasek, R., Pichler-Milanovic, N., Meijers, E. (2007) “Smart Cities. Ranking of European medium-sized cities”, Centre for Regional Science, Vienna University of Technology, http://www.smartcities.eu/download/smart_cities_final_report.pdf (dostęp 11.02.2014) Goldstein, S., Sly, D. (eds.) (1974) Basic data needed for the study of urbanization, IUSSP Committee on Urbanization and Population Redistribution, Dolhain: Ordina Editions. Graham, S., Marvin, S. (1996) Telecommunications and the City: Electronic Spaces, Urban Places, London: Routledge. Graham, S., Marvin, S. (2001) Splintering Urbanism: Networked Infrastructures, Technological Mobilities and the Urban Condition, London: Routledge. Hollands, R.G. (2008) “Will the real smart city please stand up? Intelligent, progressive or entrepreneurial?”, City, vol. 12, no. 3, pp. 303 – 320. IBM Institute for Business Value (2010) Smarter cities for smarter growth, http://public.dhe.ibm.com/common/ssi/ecm/en/gbe03348usen/GBE03348USEN.PDF (accessed 20.02.2014) Komninos, N. (2008) Intelligent Cities and Globalisation of Innovation Networks, London and New York: Routledge. Lombardi, P., Giordano, S., Farouh, H., Yousef, W. (2012) „Modelling the smart city performance”, Innovation – The European Journal of Social Science Research, vol. 25, no. 2, June 2012, pp. 137-149. Massey, D. (1984) Spatial Division of Labour: Social Structures and the Geography of Production, London: MacMillan. Neirotti, P., De Marco, A, Cagliano, A., Mangano, G., Scorrano, F. (2014) “Current trends in Smart Cities initiatives: Some stylised facts”, Cities, no. 38, pp. 25 – 36. OECD (1997) Better Understanding our Cities. The Role of Urban Indicators, OECD Territorial Development: Paris. Sassen (1994) Cities in the World Economy, London: Pine Forge Press. Short, J.R., Kim, Y., Kuus, M., and Wells, H. (1996) ‘The dirty little secret of world city research’, International Journal of Urban and Regional Research, vol. 20, pp. 697 – 717. Szczech-Pietkiewicz, E. (2013) ‘Poland’s urban competitiveness in the European context’, The Polish Review, University of Illinois Press, vol. 58 no. 2, pp. 15-36. Taylor, P.J. (1999) ‘So-called ‘world cities”: the evidential structure within a literature’, Environment and Planning, Vol. 31, pp. 1901 – 1904. Taylor, P.J., Ni, P., Deruder, B., Hoyer, M., Huang, J., Witlox, F. (2011) Global Urban Analysis. A Survey of Cities in Globalization, London, Washington D.C.: Earthscan. The City of Lodz Office (2012) Integrated Development Strategy for Lodz 2020+, p. 20, http://bip.uml.lodz.pl/_plik.php?id=35030 [accessed 1.02.2014] Turok, I., Edge, N. (1999) The Jobs Gap in Britain’s Cities, Bristol: Policy Press. Turok, I. (2005) Cities, Competition and Competitiveness: Identifying New Connections, in: Buck, N., Gordon, I., Harding, A., Turok, I., Changing Cities. Rethinking Urban Competitiveness, Cohesion and Governance, Hampshire, New York: Palgrave MacMillan. United Nations (2012) World Urbanization Prospects. The 2011 Revision, New York: United Nations, Department of Economic and Social Affairs, http://esa.un.org/unup/pdf/WUP2011_Highlights.pdf [accessed 20.02.2014] Vernon, R. (1960) Metropolis 1985, Cambridge: Harvard University Press. Vernon, R. (1966) “International Investment and International Trade in the Product Cycle”, Quarterly Journal of Economics, no. 80, pp. 190-207. World Bank (2009) Urbanization and Growth, Washington, D.C.: International Bank for Reconstruction and Development and World Bank.

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reviewed paper Der Einsatz von Social Media im Stadtmarketing Alexander Masser, Hans-Jürgen Seimetz, Peter Zeile
(Dipl.-Ing. Alexander Masser, Computergestützte Planungs- und Entwurfsmethoden in Raumplanung und Architektur – CPE Kaiserslautern, alexander.masser@googlemail.com) (Prof. Dr. Hans-Jürgen Seimetz, Struktur- und Genehmigungsdirektion Süd, Neustadt an der Weinstraße, hansjuergen.seimetz@sgdsued.rlp.de) (Dr.-Ing. Peter Zeile, Computergestützte Planungs- und Entwurfsmethoden in Raumplanung und Architektur - CPE, Kaiserslautern, zeile@rhrk.uni-kl.de)

1 ABSTRACT Das Internet löste eine tief greifende Medienrevolution aus, die sich durch die Entwicklungen im Social Media Bereich sowie der Nutzung des mobilen Internets nochmals verstärkt. So hat sich die Art, wie Inhalte heute erstellt, verteilt und wahrgenommen werden, stark verändert (Münker, 2009). Dementsprechend stellt sich auch die Frage, wie ein erfolgreiches Marketing zukunftsorientiert positioniert werden kann und welche Mechanismen im Internet, unterstützt durch Social Media, dafür Potentiale bieten. Sowohl von Beispielen der Marketingstrategien große Konzerne als auch im Marketing von kleinen Kommunen ist dies ablesbar. Gegenstand dieses Beitrages sind die Ergebnisse einer empirischen Studie (Masser 2013), die den Einsatz von Social Media im Stadtmarketing in der Metropolregion Rhein-Neckar (MRN) untersucht hat und hier exemplarisch vorgestellt wird. Ziel ist es hierbei, die Gründe und Motivationen, warum Kommunen Social Media in ihren Marketingprozess einbeziehen zu ermitteln oder falls dies noch nicht geschehen ist, die Ursachen dafür zu identifizieren. Neben der allgemeinen Erläuterung von Zielen im Marketingprozess mit Social Media standen folgende Fragestellungen im Mittelpunkt der Studie: Ist Social Media lediglich ein Instrument um junge Menschen, welche durch klassisches kommunales Marketing nur schwierig zu erreichen sind, anzusprechen? Oder gilt es, das Image gegenüber Außenstehenden (Touristen) zu verbessern? Könnte gegebenenfalls die hohe Aktualität des Mediums ein Kriterium für den Einsatz solcher Marketingkanäle (Facebook, Google+, Twitter etc.) sein? Daneben wird die Hypothese überprüft, ob das Interesse an Social Media Marketing abhängig von der Größe der Stadt ist oder nicht. Weiterhin wird der Frage nachgegangen, ob Großstädte mehr Social Media Angebote nutzen als kleinere Kommunen. 2 EINLEITUNG Viele Städte stehen in einem starken regionalen, nationalen und internationalen Wettbewerb um Unternehmen. Die Neuansiedlung beziehungsweise die Bindung vorhandener Unternehmen durch die damit verbundenen Gewerbesteuereinnahmen trägt wesentlich zur Finanzausstattung einer Kommune in Deutschland bei (Deutscher Städtetag, 2010). Auch die Zahl der Einwohner ist vor allem bei der Über- oder Unterschreitung von Schwellenwerten (wie 100.000 Einwohner) ein wichtiger Parameter, da unter anderem die Einnahmen aus dem kommunalen Finanzausgleich an das Erreichen einer bestimmten Größe gekoppelt sind (Jensen, 2013). Auch um Touristen und Geschäftsleute, speziell solche, die in Hotels und Pensionen übernachten, konkurrieren Städte und Regionen. In einigen Fällen gibt es spezielle Konkurrenzsituationen. So werben Städte um Messen oder Großveranstaltungen. Als Beispiel ist hier die Verlegung der PopKomm von Köln nach Berlin zu nennen (RP Online, 2003). Mit dieser Konkurrenz um Messegäste sind auch damit verbundene Steuereinnahmen oder bei Flughafenstandorten der Wettbewerb um Fluglinien (Passagiere und Fracht) zu berücksichtigen. Den Städten und Regionen stellt sich die Frage, wie sie ihr Marketing zukunftsorientiert ausrichten können. Social Media bietet hier neue Ansätze. Netzwerke und Communities werden immer mehr ein Teil unseres Lebens. Privatwirtschaftliche Unternehmen nutzen Social Media immer häufiger, um Kunden anzusprechen und diese in den Produkt- und Marketingprozess einzubinden. Die Arbeit soll die Chancen, Möglichkeiten und Risiken des Einsatzes von Social Media im kommunalen Marketing darstellen. Eine zentrale Fragestellung lautet: Erkennen Städte den angesprochenen Trend und wie stellen sie sich der neuen Herausforderung? Folgende Hypothesen werden im Rahmen des vorliegenden Beitrags überprüft:

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• •

Städte haben abhängig von ihrer Größe Interesse an Social Media Marketing: große mehr als kleine Bestimmte Ziele oder Zielgruppen sollen durch das Social Media Engagement angesprochen werden

Die Hypothesen wurden mithilfe eines Onlinefragebogens, adressiert an die Kommunen in der Metropolregion, überprüft. 3 GRUNDLAGEN Im nachfolgenden Abschnitt werden kurz die wichtigsten Begrifflichkeiten rund um das Themenfeld des Social Media Marketings angerissen. Dabei kann nur ein kurzer Ausschnitt beleuchtet werden, da eine umfassende Betrachtung der Thematik mit allen Besonderheiten den Rahmen des Beitrages übersteigen würde. Für weitere Informationen zum Thema wird auf die Arbeit (Masser, 2013) verwiesen. 3.1 Social Media Marketing Als Social Media Marketing (SMM) wird der gezielte Einsatz von Social Media (Facebook, Twitter etc.) zu Marketingzwecken verstanden. Es kann dazu verwendet werden, Kundenbeziehungen aufzubauen und diese zu stärken, daneben kann der Einsatz Transparenz schaffen. Die reine Präsenz im Medium stellt noch kein Social Media Marketing dar. Social Media steht vielmehr für den Austausch von Content (Inhalten) und Diskussionen unter den Nutzern. Die eingesetzen Inhalte sollten an die Marketingziele einer Organisation oder Institution angepasst werden und positive Auswirkungen auf das Image des Werbenden haben (Bannour & Grabs, 2012; Münker, 2009). 3.2 Zielgruppen des Social Media Stadtmarketings Betrachtet man eine Kommune aus der Perspektive des Marketings, so weist sie üblicherweise sechs in sich sehr verschiedene Zielgruppen auf: den Bürger, die „Zivilgesellschaft“, Touristen, Unternehmen und deren Beschäftigte, die Region sowie städtische Beschäftigte. Um diese unterschiedlichen kommunalen Zielgruppen erreichen zu können, muss normalerweise ein Distributionsmix von verschiedenen Medien und Instrumenten (z. B. Tageszeitungen, Werbung in überregionalen Medien, Fachpublikationen, die Präsentation der Kommune auf Messen und Konferenzen, Homepage, etc.) eingesetzt werden (Grabow & Hollbach-Grömig, 1998; Reeg, 2011). Das Repertoire kann durch das Social Media Marketing ergänzt werden. 3.3 Ziele des Social Media Stadtmarketings SMM bietet dem Anwender einfache, zielgerichtete Tools, um sich zu vermarkten. Es kann so in einer schnellen Art und Weise ein großes Publikum kostengünstig angesprochen werden. Den beworbenen Produkten und Marken wird dadurch eine große Aufmerksamkeit zu teil. Doch es stellt sich dabei auch die Frage, wie Kommunen und Städte dieses Instrument der Produktwerbung für ihr eigenes Marketing nutzen können? Welche Ziele des Stadtmarketings lassen sich durch Social Media Marketing erreichen oder können in ihrer Durchführung unterstützt werden? In der nachfolgenden Tabelle 1, basierend auf den Arbeiten von Kuron (1997) und Block & Icks (2010), können die Ziele des Stadtmarketings in Verbindung mit Social Media Marketing exemplarisch veranschaulicht werden. Die Betrachtung der Ziele des Stadtmarketings in Bezug auf die Umsetzung durch Social Media Marketing diente zur Erarbeitung und Konzeption des Fragebogens. Social Media und Social Media Marketing scheinen für Kommunen interessant, weil sehr verschiedene Zielgruppen (siehe 3.2) erreicht werden können. 4 DURCHFÜHRUNG UND ORGANISATION DER BEFRAGUNG Die empirische Erhebung der Studie „Einsatz von Social Media im Stadtmarketing“ wurde im Zeitraum vom 15. März 2013 bis zum 05. April 2013 in der Metropolregion Rhein-Neckar durchgeführt. Dabei wurden 61 Kommunen im Namen des Regionalverbandes angeschrieben. Die erforderlichen Adressaten wurden durch die Abgleichung einer Präsenz der Städte in Sozialen Medien ermittelt und über die dort angegebenen Kontaktdaten die jeweilige verantwortliche Person direkt kontaktiert. Bestand kein Social Media Engagement, so wurden Verantwortliche in den Bereichen Marketing, Tourismus und Wirtschaftsförderung

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angeschrieben. Daneben richtete sich das Anschreiben auch an Institutionen wie beispielsweise den Marketing-Club Rhein-Neckar e. V.
Ziele des Stadtmarketing Handel fördern Steigerung der Attraktivität einer Stadt/Innenstadt Bessere Positionierung der Stadt gegenüber Wettbewerbern Verbesserung des Stadtimages Steigerung der Zufriedenheit städtischer „Kunden“ Direkte Auswirkung Indirekte Auswirkung X X Aktives SMM kann ein modernes und transparentes Bild der Stadt zeichnen X Zufriedenen Bürgern/Kunden steht die Möglichkeit dieses über die Social Media Präsenz zu beschreiben, was weiter beeinflussen kann Direkte Ansprache der Bürger – erzeugt ein „Wir-Gefühl“ Durch SMM können potenzielle Kunden/Bürger oder Eventteilnehmer angesprochen werden Keine direkte Auswirkung X Eingeholtes Feedback könnte für eine bessere Informationsbasis genutzt werden X Keine Mechanismen, um gezielte Förderprojekte zu begleiten oder durchzuführen Lediglich Nutzung zur Kommunikation Einfache Einbindung der Bürger Prozess / Fortschritte können einfach kommuniziert werden Problem: Datenschutz Schnelle, kostengünstige Information durch die SM Durch "ground founding" könnten diese beteiligt werden SMM relativ kostenneutral, kann aber keine direkten Einnahmen generieren außer Einsatz von Social Shopping - Nutzen fraglich Durch Wikis können Bürger bspw. in die Arbeit der BIS integriert werden. Problem: Datenschutz / Kontrolle der Daten Durch SMM können Entscheidungen unter Umständen beeinflusst, aber nicht getroffen werden Ob sich Handlungsträger von Social Media Beiträgen beeinflussen lassen, ist fraglich Keine Auswirkung Begründung / denkbare Szenarien Indirekte Auswirkung durch Tourismusund Eventmarketing (Bsp. Weindorf) Keine direkte Kausalitätskette erkennbar

X

Erhöhte Identifikation der Bürger mit „ihrer“ Stadt Belebung Innenstadt und der Kaufkraftbindung Steigerung der Effektivität von Einrichtungen und Maßnahmen zur Stadtentwicklung Erschließung der innerstädtischen Entwicklungspotenziale Stadtstärken und –schwächen ermitteln Wirtschaftsförderung

X X

X

Leitbild entwickeln X

Bürger besser informieren X Unternehmen/Bürger an Finanzierungen beteiligen Leistungen kostendeckend vermarkten X X

Verwaltung modernisieren X Bessere Nutzung der Lenkung städtischer Ressourcen Verbesserung der Zusammenarbeit zwischen wichtigen Handlungsträgern in der Stadt Aufbau innerstädtischer Netzwerke Einbindung öffentlicher und privater Akteure im Rahmen einer Public-Private-Partnership. Freiwilliges Engagement

X

X

X X

Social Media erleichtert Kommunikation Keine direkte Auswirkung

die

X

Durch den gezielten Einsatz kann Interesse für solche Ämter geweckt werden – Ansprache der 14- bis 29- jährigen

Tabelle1: Untersuchung der Ziele des Stadtmarketings im Bezug auf die Umsetzung durch Social Media Marketing Tools (Eigene Darstellung, 2013 in Anlehnung an (Kuron, 1997 u. Block & Icks, 2010))

Als Grundlage des Fragebogens diente die Erarbeitungsphase der Diplomarbeit „Der Einsatz von Social Media im Stadtmarketing“ (Masser 2013), die Masterthesis „Neue Medien und Social Networking im Stadtmarketing“ (Schneider, 2011) sowie die Studie „Social-Media-Management: Gut aufgestellt für den Erfolg?“ (Holicki & Kati, 2012).

Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at

ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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Der Fragebogen wurde in Papierform beim 15. Workshop der Arbeitsgruppe EDV in der Stadtplanung1 getestet und dann in leicht modifizierter Form als Online-Fragebogen eingesetzt. Die Vorteile eines OnlineFragebogens liegen auf der Hand. Es entstehen keine Kosten für den Druck und Versand eines gedruckten Fragebogens und der Aufwand für die Übertragung der Daten von Papier in eine elektronische Form Datenbank entfällt. Auch entstehen keine Fehler bei der Datenübertragung, eine Kontrolle wie in analogen Verfahren ist nicht zwingend notwendig. Nach Ablauf der Bearbeitungszeit wurden die Informationen ausgewertet. Dies erfolgte mit Hilfe von MS Excel sowie SPSS, unter anderem um relative Häufigkeiten sowie Korrelationen (Kreuztabellen) zu analysieren. Die ausgewählten Ergebnisse der Analysen werden in Diagrammen dargestellt und erläutert. Mittels dieser sowohl deskriptiven als auch schließenden statistischen Analysemethoden konnten die zuvor formulierten Hypothesen einer empirischen Überprüfung unterzogen werden (Bortz, 1999; Atteslander, 1995). Für die Online-Befragung wurde LimeSurvey eingesetzt. Neben den geringen Kosten stand die einfache und unkomplizierte Handhabung für die Befragten im Vordergrund. Durch den Einsatz von Filterfragen konnte der Fragebogen so gestaltet werden, dass bestimmten Befragtengruppen, zum Beispiel die Gruppe der Kommunen, die Social Media nutzen und die Gruppe, die dies nicht tun, unterschiedliche Fragebogenvarianten präsentiert bekamen. Nicht relevante Fragen wurden dem Befragten nicht angezeigt. In einem herkömmlichen Fragebogen in Papierform sind hierzu zusätzliche Erklärungen und Hinweise im Fragebogen notwendig, die jenen kompliziert und unübersichtlich machen. Eine Telefonbefragung oder persönliche Befragung (Interviewbefragung) war nicht vorgesehen, da der Aufwand für Interviewtermine mit Vertretern von 61 unterschiedlichen Institutionen als zu hoch eingestuft wurde. 4.1 Auswertung der Befragung Insgesamt wurden 61 Kommunen und Institutionen angeschrieben, wobei 35 der Angeschriebenen den Fragebogen ausgefüllt haben. Somit ergibt sich eine Rücklaufquote von 58 %. Die beachtliche Beteiligungsquote von fast 60 % zeigt, dass das Instrument der Online-Befragung nach Kosten-/NutzenErwägungen mit weitem Abstand die „günstigste“ Vorgehensweise ist. Allerdings haben 11 der 35 Kommunen, die den Fragebogen ausgefüllt haben, nur wenig oder keine Angaben gemacht, manche haben den Fragebogen nur durchgeklickt. Abschließend kann daher geschlossen werden, dass SMM derzeit für etwas mehr als ein Drittel der Kommunen in einer Metropolregion wie der Metropolregion Rhein-Neckar (ca. 37 %) ein „wichtiges“ Thema ist. 4.2 Ergebnis der Studie oder Gründe für Social Media Marketing Um eine gewisse Vergleichbarkeit zu schaffen, wurde sich bei der Konzipierung der Frage „Welche Ziele werden mit dem SMM verfolgt beziehungsweise was waren die Gründe, die die Städte dazu bewegt haben, im Social Media aktiv zu werden?“ an der Studie von Schneider „Neue Medien und Social Networking im Stadtmarketing“ orientiert. Diese Evaluation wurde 2010 für die BCSD-Bundesvereinigung City- und Stadtmarketing Deutschland e. V. durchgeführt (Schneider, 2011). Es soll geprüft werden, ob die Ziele beziehungsweise Gründe Social Media Marketing in der Metropolregion Rhein-Neckar einzusetzen, mit den Ergebnissen der Studie (sprich anderen Regionen in Deutschland) vergleichbar sind, ein synoptischer Vergleich folgt.

Arbeitsgruppe EDV in der Stadtplanung; weitere Informationen finden Sie unter: http://www.ag-edvstadtplanung.de/ag-main.html

1

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Diagramm 1: Antworten zur Frage: Aus welchem Grund wird / wurde ihre Kommune im Bereich Social Media aktiv? (Mehrfachnennung möglich), n=24, in % (Eigene Darstellung, 2013 in Anlehnung an (Schneider 2011))

Wie Diagramm 1 entnommen werden kann, soll mittels Social Media Marketing vor allem die Bekanntheit der Stadt oder einzelner Aktionen (z. B. Events wie Feste, Märkte, Ausstellungen, Festivals etc.) gesteigert werden. Sehr häufig wurde aber auch angegeben, mit Hilfe von Social Media jüngere Bürger erreichen zu wollen und diese einzubinden. Dies bestätigt die Hypothese, dass die Städte gezielt auf Social Media Marketing setzen, um bestimmte Zielgruppen wie Konzertbesucher zu erreichen. Ebenso wird die hohe Aktualität des Mediums geschätzt, also ein schnelles und einfaches Informieren der Bürger. Die vorliegende Studie sowie die Ergebnisse der Befragung von Schneider (2011) bestätigen, dass Städte und Kommunen durch Social Media eine jüngere Zielgruppe erreichen, ihren Bekanntheitsgrad steigern und die hohe Aktualität des Mediums nutzen wollen. Die beiden Studien stimmen auch dahingehend überein, dass sich die Städte einen Kostenvorteil durch das im Internet stattfindende SMM versprechen. Man spart vor allem Druckkosten und Sendegebühren (z. B. Kosten für Werbeanzeigen). Ob die Kommunen dabei auch den zusätzlichen Personal- und Zeitaufwand kalkuliert haben, kann an dieser Stelle nicht beantwortet werden. Ein Social Media Marketing Engagement erfordert eine ständige Pflege, um die Aktualität zu gewährleisten (insbesondere Tweets) oder um auf Posts (Facebook) zu reagieren und kritische Entwicklungen („Shitstorm“) frühzeitig entdecken und darauf reagieren zu können. Die Ziele „einfache und gezielte Ansprache des Bürgers“ sowie „Der Dialog mit dem Bürger / Feedback einholen“ haben bei der vorliegenden Befragung mit jeweils 47 % „voll und ganz zutreffend“ ebenfalls einen sehr hohen Stellenwert für die Befragten.

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Dies ist durchaus mit der Aussage zu vergleichen „Dialog mit Interessierten steht im Vordergrund“, welche in der BCSD-Befragung eine hohe Anzahl an Zustimmungen aufweist. Jedoch stellt sich die Frage, wie „Interessierte“ definiert sind. Daneben kann auch der Grund „Dialog mit Kunden steht im Vordergrund“ mit dem „Dialog mit dem Bürger“ gleichgesetzt werden. Hier zeigen beide Studien, dass diese Absicht einen hohen Stellenwert im Social Media Marketing Engagement der Städte besitzt. 74 % der Befragten gaben in der BCSD-Befragung an, dass sie durch Social Media „Chancen sehen, Verbesserungspotenziale zu genieren“ und „Feedback“ einholen wollen. Diese beiden Punkte wurden in der Befragung in der MRN einzeln betrachtet. Jeweils gaben 47 % der Probanden an, dass sie mit Social Media Marketing „Dialog mit dem Bürger / Feedback einholen“ sowie „Stadt stärken“ und „Schwächen stärken“ betreiben wollen. Im vorliegenden Fragebogen fand die Partizipation des Bürgers nur eine geringe Zustimmung. Dies steht im Kontrast zu der Aussage, dass man mittels Social Media Marketing die Meinungen der Bevölkerung einholen möchte. Der Grund könnte eine unterschiedliche Definition des Begriffes Partizipation sein, der in der Planung beziehungsweise im städtischen Zusammenhang Partizipation eine andere Definition hat wie ein Kommentar eines Users. In der Literatur zu Web 2.0 oder Social Media / Social Media Marketing wird bereits das Bekunden des „Gefallens“ als Partizipation angesehen. In der Planung bzw. im kommunalen Bereich hat Partizipation eine viel tiefere Bedeutung wie lediglich das Äußern einer Meinung. Es bedeutet, dass der Bürger aktiv im Planungsprozess mitwirkt und die Entscheidung mitbeeinflussen kann (Streich, 2011). Der Punkt „Wirtschaftsförderung betreiben“ hat nur eine geringe Zustimmung. Dies ist etwas verwunderlich, denn gerade jüngere Bürger sollen durch SMM angesprochen werden. Als Arbeitnehmer oder als Jungunternehmer ist diese Bevölkerungsgruppe sehr interessant für die Stadt. Die ARD/ZDF-Onlinestudie bietet hierfür eine grobe Einordnung mit der Altersklasse von 14 bis 29 Jahren. Diese Alterskatergorie weißt 2012 „zumindest gelegentliche“ Onlinenutzung von 99 % auf.

Diagramm 2: Onlinenutzung (zumindest gelengtlich) unterteilt in Altersklassen, in % (Eigene Darstellung, 2013 in Anlehnung an (Mende, Oehmichen, & Schröter, 2013))

Allgemein wird deutlich, dass beide Befragungen ein relativ ähnliches Bild ergeben. Der Dialog mit Bürgern und vor allem den jüngeren Bürgern steht beim Social Media Marketing der Städte im Vordergrund. Sie wollen Besonderes dem jungen Publikum eine Informationsplattform bieten, mit der sie mehr über die Städte erfahren können. Wichtig sind vor allem Konzerte und Veranstaltungen, die dieses Publikum auch ansprechen und eine große Zahl an Besuchern benötigen. Zudem soll ein gewisses Empfinden für die Stadt aufgebaut werden. Es geht den Städten darum, über das Social Media Engagement kostengünstig ihren Bekanntheitsgrad zu steigern. Eine grundlegende Verschiebung der Ziele von Social Media im Stadtmarketing ist seit 2011 nicht zu erkennen (Schneider, 2011). Die vorliegende Befragung von Städten in der MRN erlaubt eine Analyse nach Größenklassen der Städte. Unterscheiden sich die Gründe nach der Größe einer Stadt und wenn ja, welche Gründe machen vor allem einen Unterschied? Einbezogen in die Analyse wurden nur die Größenklassen, die mindestens fünf Befragte aufzuweisen hatten, damit einzelne „Ausreißer“ keinen allzu großen Einfluss auf die Ergebnisse haben. Betrachtet werden die Angaben für Gründe, die als „voll und ganz zutreffend“ von den Befragten angegeben wurden. Differenziert werden können die Angaben für die Größenklassen 10.000 bis 20.000 (9 Befragte), 20.000 bis 50.000 (6 Befragte) und über 100.000 Einwohner (5 Befragte).

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Diagramm 3: Gründe für die Aktivität im Social-Media-Bereich im Bezug auf die Stadtgröße, n= 20, in % (Eigene Darstellung, 2013)

In der Tendenz ist klar, dass die größeren Kommunen mehr Ziele beziehungsweise ihre Ziele mit größerer Intensität anstreben. Aber es gibt – auch wenn man die geringe Zahl der maximal 17 Städte, die zu dieser Frage Angaben gemacht haben, in Betracht zieht - interessante Unterschiede: • • • • • • „Stärken und Schwächen ermitteln“: Dieses Ziel haben (fast) nur die Städte beziehungsweise Gemeinden unter 50.000 Einwohner im Blick; dies allerdings zu 100 % Dies gilt auch für das Ziel „Bürgerpartizipation durch die neuen Beteiligungsformen“ sowie „Private Akteure in die Stadtentwicklung einbeziehen“ Ebenfalls zu 100 % haben Kommunen zwischen 20.000 bis 50.000 Einwohnern das Ziel Stärken und Schwächen zu ermitteln Kommunen über 100.000 Einwohner verfolgen die genannten Ziele mit SMM im Grunde nicht Das Ziel, Jugendliche zu erreichen verfolgen insbesondere die (allerdings sehr zahlreichen) Kommunen zwischen 20.000 und 50.000 Einwohnern Die Ziele: „Aktualität“, „auf die Gefahr von Shitstorms reagieren können“ sowie „die Wirtschaftsförderung“ werden vor allem von Kommunen ab einer Größe von 50.000 Einwohnern verfolgt Überraschend ist, dass der Einordnung des Social Media Marketings in die gesamtstädtische Strategie nur eine untergeordnete Relevanz zu geordnet wird

•

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o o •

Lediglich die Hälfte (3 Befragte) der Städte mit 50 000 Einwohnern nennt dies als Grund, im Social Media Marketing aktiv zu werden Bei den Groß- und Kleinstädten wird dieser Grund sogar noch seltener genannt

Einzelprojekte bekannt zu machen beziehungsweise zu promoten, dies wollen zu 100 % die großen Kommunen (über 100.000 Einwohnern) und die relativ Kleinen (zwischen 20.000 und 50.000 Einwohnern). Möglicherweise spielt hier eine Rolle, ob eine Kommune im Zeitraum der Befragung entsprechende Projekte in Vorbereitung hatte

An dieser Stelle wird wiederum deutlich, dass die Größe einer Kommune einen Einfluss auf ihr Social Media Marketing hat. Während die größeren Kommunen eher „klassische“ Marketingziele verfolgen (Wirtschaftsförderung, Stadt- und Eventmarketing), haben kleinere Kommunen auch eher „ungewöhnliche“ Absichten wie Stärken und Schwächen der Stadt zu ermitteln und die Bürgerpartizipation zu erhöhen. Das Ziel die Gruppe der Jugendlichen/ jungen Erwachsen besser zu erreichen, verfolgen alle Befragten aus dem Bereich „Öffentlichkeitsarbeit“ und drei Viertel der Befragten aus dem Bereich „Stadtmarketing“ (Masser, 2013). 5 FAZIT Social Media Marketing ist in vielen Kommunen bereits Realität Social Media wird in unserem Alltag immer präsenter. Die Kommunen als fundamentale Organisationsform des Zusammenlebens in unserer Gesellschaft können sich dem Phänomen nicht verschließen. Die Arbeit zeigt, dass viele, aber noch nicht alle Städte der Metropolregion Rhein-Neckar Social Media Marketing bereits betreiben. Vor allem Kommunen mit touristischen Ambitionen erkennen den Nutzen von Social Media Marketing. Im Gegensatz zu herkömmlichen Marketingkanälen (Massenmedien) können durch Social Media bestimmte Adressatengruppen ganz gezielt mit „maßgeschneiderten“ Informationen angesprochen werden und das „rund um die Uhr“ und bei laufender Aktualität der Information. Darüber hinaus können Gruppen erreicht werden, die man mit den etablierten Stadtmarketingansätzen nur schwer bis gar nicht erreichen kann. Hier ist insbesondere die Gruppe der 14- bis 29-jährigen zu nennen, die zum Beispiel mittels Tageszeitung nur zu einem sehr geringen Teil erreichbar sind. Size Matters – Größe ist ausschlaggebend Die Größe der Kommunen ist für das Social Media Engagement ebenfalls ausschlaggebend. Je größer eine Stadt, desto mehr Social Media Kanäle setzt sie ein und nur bei Großstädten ist eine Strategie hinter dem Social Media Engagement zu erkennen. Kleinere Kommunen nutzen Social Media Marketing im Grunde nur dann, wenn sie spezielle Absichten damit verbinden, das heißt Tourismusmarketing betreiben oder Events bewerben wollen. Eine SMM-Strategie ist nur bei den Großstädten zu erkennen. Größere Städte messen SMM eine wichtigere Bedeutung zu, als es kleinere tun. Dies geht aus der Betrachtung der Ziele und Zielgruppen, welche durch Social Media Marketing angesprochen werden sollen, deutlich hervor. Die Umfrage in der MRN zeigt, dass die wichtigsten Ziele, welche mit Social Media Marketing erreicht werden sollen „Bekanntheitsgrad einzelner Aktionen steigern“, „Bekanntheitsgrad der Stadt steigern/ Stadt profilieren“ und „jüngere Bürger erreichen und diese einbinden“ sind. In der Tendenz zeigt sich, dass die größeren Kommunen mehr städtische Marketingziele beziehungsweise ihre Ziele mit mehr Nachdruck anstreben. Sie verfolgen eher „klassische“ Ziele des Stadtmarketings wie Wirtschaftsförderung sowie Stadtund Eventmarketing. Bei kleineren Kommunen finden sich auch „ungewöhnliche“ selten geäußerte Absichten wie „Stärken- und Schwächen der Stadt ermitteln“ und „Bürgerpartizipation“. In der Regel haben die kleineren Kommunen, die SMM einsetzen aber Touristen oder Gäste von Events im Blick. Keine Revolution, aber Evolution - Social Media Marketing wird sich als Teil des Stadtmarketings etablieren Social Media Marketing kann und wird die herkömmlichen Stadtmarketing-Tools zumindest auf absehbare Zeit, nicht ersetzen. Zielgruppen wie Unternehmen erwarten eine „seriöse“ Ansprache und Plakate sind immer noch eine ausgezeichnete Werbung für Veranstaltungen. In Kombination mit anderen Werkzeugen des Stadtmarketings eingesetzt, lässt es sich aber sehr gut für bestimmte Zielgruppen nutzen. Social Media muss in die Marketingstrategie der Kommune integriert werden. Auch die Facebook-Präsenz einer Stadt sollte visuelle Bezüge zur Web-Seite der Stadt aufweisen, sodass eine „Handschrift“ oder Corporate Identity

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erkennbar ist. Nur so sind die Vorrausetzungen für eine glaubwürdige Vermarktung über diese Medien gegeben. 6 LITERATUR

Atteslander, P.: Methoden der empirischen Sozialforschung (8. bearb. Ausg.). Berlin / New York, 1995. Bannour, K.-P., & Grabs, A.: Follow me! Erfolgreiches Social Media Marketing mit Facebook, Twitter und Co. (2. Ausg.). Bonn, 2012. BITKOM: 13 Millionen sind in sozialen Netzwerken Fan einer Marke (Presseinformationen) - BITKOM. Abgerufen am 14. August 2013 von http://www.bitkom.org/de/presse/8477_74702.aspx. 2013. Block, J., & Icks, S.: Bundesvereinigung City- und Stadtmarketing Deutschland. Abgerufen am 30. Januar 2013 von www.bcsd.de/files/stadtmarketing.pdf. 2010. Bortz, J.: Statistik für Sozialwissenschaftler (5. vollständig überarbeitete und aktualisierte Ausg.). Berlin, 1999. Deutscher Städtetag: Die Gewerbesteuer - eine gute Gemeindesteuer. (S. Articus, & M. Kuban, Hrsg.) Abgerufen am 5. Juli 2013 von www.staedtetag.de/imperia/md/content/dst/neue_schriften_94_gewerbesteuer.pdf. 2010. Grabow, B., & Hollbach-Grömig, B.: Stadtmarketing - eine kritische Zwischenbilanz. Berlin, 1998. Holicki, S., & Kati, R.: Social-Media-Management: Gut aufgestellt für den Erfolg. Studienergebnisse, Best Practice und strategische Handlungsfelder. Mainz /Wiesbaden, 2012. Jensen, R.: Volkszählung: Bevölkerungsrückgang löst Streit ums Geld aus | ZEIT ONLINE. Abgerufen am 5. Juni 2013 von www.zeit.de/gesellschaft/zeitgeschehen/2013-05/volkszaehlung-zensus-deutschland-gesellschaft. 2013. Kasanmascheff, M.: Werbung bei Facebook ausblenden. Abgerufen am 21. Juni 2013 von http://artikel.softonic.de/werbung-beifacebook-ausblenden. 2012. Masser, A.: Der Einsatz von Social Media im Stadtmarketing – Theoretische und empirische Studie des Einsatzes von Social Media Marketing in der Metropolregion Rhein-Neckar, Diplomarbeit TU Kaiserslautern, FG CPE. Kaiserslautern, 2013. Mende, A., Oehmichen, E., & Schröter, C.: Befunde aus der ARD/ZDF-Onlinestudie - Gestaltwandel und Aneignungsdynamik des Internets. Abgerufen am 3. September 2013 von http://www.ard-zdfonlinestudie.de/fileadmin/Onlinestudie_2012/Schroeter_Oehmichen_Mende_MP_1_2013_Internet_1997_2012.pdf. 2013. Münker, S.: Emergenz digitaler Öffentlichkeit - Die Sozialen Medien im Web 2.0. Frankfurt am Main, 2009. Portal München Betriebs-GmbH & Co. KG: Abgerufen am 21. Juli 2013 von www.facebook.com/muenchen. 2013. Reeg, M.: Profilbildung durch Stadtmarketing unter Berücksichtigung vorhandener Imageträger - Diplomarbeit. Kaiserslautern, 2011. RP - Online. Rheinische Post: Popkomm 2004 in Berlin mit neuem Konzept - RP Online. Abgerufen am 5. Juli 2013 von www.rponline.de/kulur/musik/popkomm/-2004-in-berlin-mit-neuem-konzept-1.2070537. 2003. Schneider, A.: Neue Medien und Social Networking im Stadtmarketing. Kempten, 2011. Streich, B.: Stadtplanung in der Wissensgesellschaft : Ein Handbuch (2. Ausg.). Kaiserslautern, 2011.

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reviewed paper Deteminants of the Value of Houses: a Case Study Concerning the City of Cagliari, Italy Michele Argiolas, Sabrina Lai, Corrado Zoppi
(Doctor Michele Argiolas, DICAAR, University of Cagliari, Via Marengo, 2 – 09123 Cagliari, Italy, michele.argiolas@unica.it) (Doctor Sabrina Lai, DICAAR, University of Cagliari, Via Marengo, 2 – 09123 Cagliari, Italy, sabrinalai@unica.it) (Doctor Corrado Zoppi, DICAAR, University of Cagliari, Via Marengo, 2 – 09123 Cagliari, Italy, zoppi@unica.it)

1 ABSTRACT1 The aim of this paper is to analyze the relationship between housing values and a set of determinants, related both to the urban environment and to the structural characteristics of the housing market, in the metropolitan area of Cagliari. In order to achieve this aim, a sample of residential properties spread across the urban context was taken into account. For every single residential unit we study the value of houses, identified as their estimated value, cadastral value, rent value, value supplied by the National Observatory on Real Estate Market, and finally sale value as related to factors which are identified as relevant variables in several studies concerning the real estate market. The adopted approach implies data collection concerning value and characteristics of houses. The resulting dataset is geocoded and spatially analyzed, in order to identify spatial autocorrelation of the value of houses and its correlations with respect to the characteristics of houses through the hedonic approach. The methodological approach relates to the first four of the six conceptual features of smartness, that is economy, environment, governance, living standard, mobility and people, that characterize the theoretical framework which defines smart cities (Vanolo, 2014). Moreover, it can be easily replicated and exported with reference to other Italian and European urban contexts and results could be straightforwardly comparable. Policy implications of the findings could be a point of reference for future Italian and European planning policies concerning housing markets and the improvement of the quality of urban life. 2 INTRODUCTION Our interpretive point of view concerning the value of houses is that this value reflects the quality of urban life. The improvement or decline in the quality of urban life determines benefit or damage to homeowners, since they experience a change in the quality of life, and to landlords, who receive higher or lower rents. So, in our view the value of a house is essentially related to its character of a composite good, which is bought and sold in the housing market as a parcel of characteristics, which determine its market price (among many, Palmquist, 1984, and Cheshire and Sheppard, 1995). As a consequence, we propose to study the quality of life concerning an urban context through the analysis of the housing market where we observe equilibrium prices concerning purchases and sales of parcels of housing values’s determinants. Such determinants are grouped into four distinct categories as follows: i. structural characteristics of the residential unit (such as unit size, distance from the shoreline, qualitative indexes accounting, inter alia, for the building age, the apartment level and the maintenance level); ii. neighborhood demographic characteristics (such as residential density both in the census ward and in the city district in which the property is located, or the number of foreigners living in the district); iii. plan-related characteristics (such as the presence of residential zones within a given distance from the property, proximity to parks or other green areas, and to common public services), and iv. land cover types. In order to analyze the relationship between housing prices and the aforementioned potential constituent characteristics, we pursue an approach based on a hedonic model in order to figure out the general willingness to pay for a specific commodity among the municipal area of Cagliari (Sardinia). This paper is organized as follows. In the third section we describe the five measures of the value of houses we adopt in our analysis that is, their estimated value, cadastral value, rent value, value supplied by the National Observatory on Real Estate Market, and sale value. In the following section, we discuss the set of variables that we use as determinants of the value of houses, that is, structural characteristics, demographic

This essay comes from the joint research work of the authors. Sections 1, 2 and 7 have been jointly written by the authors. Michele Argiolas has taken care of section 3 and subsection 4.1. Sabrina Lai has taken care of subsections 4.1.1 and 4.2. Corrado Zoppi has taken care of sections 5 and 6. Michele Argiolas and Corrado Zoppi have jointly taken care of subsection 4.1. Sabrina Lai has revised the whole essay and checked for its comprehensive consistency.
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characteristics, plan-related characteristics, and land cover types. The fifth section presents the hedonic methodology which we use to investigate the relations between the value of houses and its determinants. The following section shows the results of the estimates of the hedonic regression models which use the value of houses and covariates in order to analyze if, and to what extent, the value of houses is related to the covariates altogether. Moreover, we compare the results concerning the different measures of the value of houses used as dependent variables in the hedonic regressions. In the concluding section, we discuss, through their hedonic prices, the influence of the determinants found relevant on the value of houses. This influence could be taken into account to define future planning policies to increase the quality of urban life. Exportabilty to other urban contexts and further developments of the research work are discussed as well. 3 ALTERNATIVE MEASURES OF THE VALUE OF HOUSES To provide a spatial approach to figure out the real estate market condition is problematic because of both the lack of literature on the topic (Boulay, 2012) and the expected uncertainty that characterizes such kind of analysis. After a general investigation on the national and regional housing market condition, we develop a methodology centered on the appraised market value of a sample of properties located in the main residential zones of the Municipality of Cagliari. The following sub-sections refer to the description of the area of study and the adopted appraisal approach. 3.1 The metropolitan area of Cagliari Cagliari is the capital and the major city of the second largest island of Italy and of the Mediterranean sea (Sardinia). The island covers a total area of about 24,000 km2 with an overall population of approximately 1,600,000 people in 2012. As shown in Figure 1, around 150,000 inhabitants reside in the study area and about 250,000 in the surrounding municipalities (ISTAT). An international airport (Elmas) and one of the most important cruise and cargo port of the Mediterranean sea provide the metropolitan area with an efficient transportation infrastructure. This feature, combined with the presence of conspicuous historical/ landscape heritage, makes the city attractive as tourist destination. as confirmed by the annual increase in the number of international travelers (+15.68%) registered in January 2014 by the airport managing company (SOGAER).2

Municipality Population Assemini 26,607 Cagliari 149,575 Capoterra 23,189 Decimomannu 7,954 Elmas 9,064 Maracalagonis 7,592 Monserrato 20,178 Quartu Sant'Elena 69,443 Quartucciu 12,947 Selargius 28,643 Sestu 20,044 Settimo San Pietro 6,577 Sinnai 16,852 Uta 8,007 406,672 Metropolitan area
Fig. 1: Population distribution (left) and extension (right) of the metropolitan area of Cagliari (source: ISTAT).

The economy of the province of Cagliari is based, in order of importance, on trade and services, industry, and agricolture. In 2013, a note of the Bank of Italy reported a significant contraction of the regional GDP (-2.8%) and underlined the awful situation of the construction sector caused by both strong decrease in demand of new residential properties and reduction in public investments, as confirmed by the Sardinian section of the Italian association of building constructors (ANCE SARDEGNA), that registered that the sector had hit its worst state since the last forty years. As exposed below, this economic condition is fully reflected in the current state of Cagliari’s housing market.

2

http://www.sogaer.it/it/archivio-news/930-aeroporto-traffico-ancora-in-crescita-nel-2013.html [accessed January 21, 2014]
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3.2 Housing market analysis The latest report published by the National Observatory on Real Estate Market (OMI, 2013) states that the Italian residential property market is experiencing a period of strong stagnation characterized by a significant decrease in the number of property transactions and by a slight reduction in market prices. The report does not consider specifically the metropolitan area of Cagliari, but contains some interesting observations at the regional level. During the period 2004-2012, Sardinia was the Italian region having both the highest annual percentage change in market prices across the national context (about +7%) and the lowest reduction in average market prices throughout 2012 (approximately -0.5%). This particular housing market condition faces with one of the lowest family income at the national level and generates a serious housing affordability problem. As a matter of facts, during the last eight years the recorded housing market affordability index decreased from 12% to less than 4%. Such fall is second only to the affordability index decrease registered in Liguria. The authors of the report argue that this specific housing market situation is mainly related to the current growth of tourism flows and the resulting increase in the number of new potential foreign buyers interested in purchasing holiday homes. More likely, considering the report results and the theory expressed by Shiller (2008) about the US subprime crisis, the potential presence of a housing market bubble can provide an effective explanation of the current market condition. We study the housing market of the municipality of Cagliari performing an analysis of the estimated market values of a representative sample consisting of 304 apartments spread over 18 distinct market areas. Having regard to the current real estate market stagnation and to the consequent general lack of specific transactional data, to estimate each property’s market value, given also the size of the sample, can involve a significant margin of error. For this reason, we use different appraisal approaches and market price references. For each property, we collect the relative overall gross living area [AREA] and evaluate, in qualitative terms, the potential incidence of the leading quality characteristics in the formation of property prices. As theorized by one of the main national reference on the subject (Orefice, 2007), these characteristics can be grouped in four categories: • Localization quality (distance from the city center, efficiency of public transportation service, quality of local services, reputation of the area, proximity to open spaces or other natural features, availability of private or public parking lots for tenants and guests). Position quality (presence and quality of panoramic views, distance from other buildings and structures / daylighting quality, apartment level). Typological quality (building and apartment maintenance level, equipment and mechanical system conditions, building age). Economic productivity: potential risk to re-convert the property investment into cash (marketability risk) and legislative risks. Given the impossibility to access information concerning the property owners, we assess marketability risk as related to the overall gross living area and consider legislative risk almost uniform in a given market area.
Incidence areas among intermediate market Incidence among suburban market areas from 15% to 35% from 10% to 25% from 5% to 20% from 10% to 20% from 40% to 100%

• • •

Quality characteristic category Incidence among central market areas Localization quality Position quality Typological quality Economic productivity Overall incidence from 5% to 10% from 15% to 25% from 15% to 30% from 25% to 35% from 60% to 100%

from 10% to 30% from 10% to 20% from 20% to 25% from 10% to 25% from 50% to 100%

Table 1. General incidence of quality characteristic categories among central, intermediate and suburban market areas.
Variable EST_VAL CAD_VAL OMI_VAL RENT_VAL SUPP_VAL Definition Market value (€/m2) estimated through regression analysis (source: 2013 direct survey) Cadastral Assessed Value (€/m2) (source: 2013 cadastral register of the city of Cagliari) Market value (€/m2) estimated through average market values range (source: OMI) Rent value (€/m2 for month) estimated through average rent values range (source: OMI) Average list price (€/m2) recorded from other apartments for sale (source: 2013 direct survey) Mean 2,279.77 714.64 2,325.56 7.84 2,515.00 St.dev. 404.02 294.76 220.75 0.62 308.59

Table 2. Definition of alternative variables used for housing market analysis.

Orefice theorizes three general levels of incidence of the above mentioned categories of quality characteristics, depending on the localization of the market area (Table 1). By means of the market values

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range published by OMI, we adopt the described quality valuation to appraise, for each house, its market value [OMI_VAL] and rent value [RENT_VAL]. In addition, we consider another market value definition [EST_VAL] by estimating a linear regression for each market area. For this estimate, we consider a dataset based on a survey concerning residential property sales carried out in 2013. Considering the market price as the dependent variable and the quality of the features as the explanatory variable, we assess the relationship between prices and quality for each market area. Subsequently, we make use of the resulting regression line to define the market value for each of the 304 apartments. Moreover, we appraise the cadastral value [CAD_VALUE] for each single apartment, by means of the on-line evaluation service provided by the Italian Cadastre.3 Finally, we estimate the list price [SUPP_VAL] by considering a sample of list prices observed during the first semester of 2013 and comparing each property with the nearest detected apartment for sale. As reported in Table 2, the difference between this two average market values estimated by means of different approaches ([EST_VAL] and [OMI_VAL]) is not important (about 2%) compared to supplemental costs related to ordinary property transactions (i.e. taxes, mortgage fees, realtor’s entitlements, etc.). The mean list price [SUPP_VAL] is approximately 10.3 percent higher than the lowest detected mean market price [EST_VAL], against a national average of 15.3 percent.4 The recorded mean Italian cadastral value [CAD_VAL] cannot be considered representative of the real estate market. As a matter of facts, it is more than three times lower than the mean market value ([EST_VAL] and [OMI_VAL]) and, in addition, the average assessed month gross rent [RENT_VAL] presents, in pair with [OMI_VAL], the lowest relative standard deviation among the estimated market values. This issue is related to the use of a general market value reference (the OMI report) for the appraisal process. Finally, the average gross living average area of the sample (109.43 m2) is consistent with the average gross living area recorded for the provincial capitals of the main Italian islands (103.5 m2) (OMI). The general spatial configuration of the housing market in Cagliari is shown in Figure 2. In the Northeastern sectors of the municipality we detect an average unit market value up to 2,000 Euros per square meter (L) and in the Central and Northwestern areas between 2,000 and 2,500 (M). Finally, in the Central and Western parts we observe the highest average unit market value, corresponding to 2,500 Euros per square meter and over (H).

Fig. 2: Average market value ranges detected in the area of study.

http://www.agenziaentrate.gov.it/wps/content/Nsilib/Nsi/Home/Servizi+online/serv_terr/senza_reg/Consultazione+ren dit e+catastali/ 4 The reported national average difference refers to the average gap between the first offer price and the related market price, recorded in municipalities with a population ≤ 250,000 inhabitants (source: Bank of Italy Eurosystem Statistics).

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4

FACTORS INFLUENCING THE VALUE OF HOUSES

4.1 Discussion on factors In the literature (among many, Palmquist, 1984, Cheshire and Sheppard, 1995, Kiel and Zabel, 1999, Zoppi, 2000), a widely accepted classification of factors influencing the value of houses distinguishes those intrinsically belonging to a particular house and those belonging to the house’s neighborhood. Palmquist (1984) uses thirty-two variables to define the value of houses in seven United States metropolitan contexts. Twenty-three factors are related to a housing unit, while nine determinants concern the neighborhood where a house is located. Housing unit-related factors include, for example, finished interior area, number of bathrooms, year of construction, etc., while characteristics related to the house’s neighborhood are drawn from the census data with reference to the census tract where the house is located, e.g., median age of residents, percentage of workers that has a blue/white collar job, population classified as non-white, and so on. Cheshire and Sheppard (1995) use a similar approach to the definition of the set of factors, but they add characteristics related to the zoning rules established by municipal Masterplans and urban land uses, such as industrial land, land for new residential developments, open space for leisure. Characteristics of housing units and of the neighborhoods where houses are located could possibly be either positive, in which case they are considered goods, or negative, in which case they are considered bads. Since the characteristics of neighborhoods where houses are located are locally intrinsically non-excludable and non-rivalrous they can be considered public goods or public bads. The more the quantity of a public bad, the less the value of houses in the neighborhood, and vice-versa. Under this perspective, Zoppi (2000) analyzes the quantitative negative impact of widespread illegal building activity on the value of houses in the metropolitan area of Cagliari (Italy) by considering illegal buildings as a public bad, that is, a negative characteristic of the neighborhood where a house is located. In the light of the essays quoted above and of many others which deal with the issue of the determinants of the value of houses, in this paper we use the following taxonomy of the characteristics of houses: i. structural characteristics of the residential unit; ii. neighborhood demographic characteristics; iii. plan-related characteristics, and iv. land cover types. Structural characteristics of houses are collected through interviews to real estate agencies, landlords, renters and homeowners, and through direct observation. Surely, more reliable estimates could have been obtained, had more precise and standardized databases, such as the American Housing Survey, been available, which is not the case for Italy. Finished interior area is a characteristic of a house dependent on the prevailing architectural building typologies in a given urban region, which in turn is strictly linked to the way urban planning has been historically implemented. Where urban planning has projected intensive building activity, that is, zones characterized by high densities of resident population, architectural typologies generally consist of tall buildings with several stories. In these cases, houses have small interior areas. Moreover, there is limited space for parking since up to the 1980s, when this was explicitly forbidden, what had been originally projected as parking areas were often sold as shopping areas. On the other hand, in the zones characterized by extensive residential urbanization densities are lower and houses are located in one, two or three-story buildings. In these cases finished interior area is larger and buildings usually have large parking areas in their courtyards. A question that is widely recognized in the literature, with reference to finished interior floor area, concerns the functional behavior of the value of houses with respect to finished interior area. Palmquist (1984, 397) observes that: “one characteristic requires special attention. It would be anticipated that the number of square feet of living space would not simply have a linear effect on price. As the number of square feet increases, construction costs do not increase proportionally since such items as wall area do not typically increase proportionally. Appraisers have long known that price per square foot varies with the size of the house.” As a consequence, in our discussion it could be expected that the value of houses is negatively correlated to finished interior area, since we express it as the value per unit of finished interior area.5 Two quality factors related to typology and position represent two intrinsic features of the property. Typological quality regards the physical characteristics of the house and, in most aspects (i.e. maintenance
In the first part of Palmquist’s citation “price” is the price a house is offered for sale. In this paper, we consider the value of houses per unit of finished interior area.
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level and quality of construction), can be improved by property owners. Depending on the buyer’s willingness to pay, the value added or lost by carrying or not carrying out these improvements may not worth the related cost. For example, to renovate an apartment by providing high-end quality finishes can be a costrewarding operation in a prestigious district. In a less qualified market area, where potential buyers usually are not interested in supporting the marginal cost of this improvement, the same process has a more limited influence on the value of the apartment. Considering the state of the regional housing market and the multifaceted Italian taste in design and materials, sellers are used to sell the property “as it is” avoiding the risk of supporting additional costs without meeting the expectations of potential buyers. Conversely, position quality cannot be improved by property owners and has a significant influence in price formation, especially for residential units located in multistory buildings. In these cases, features like “presence and quality of panoramic views” or “daylighting quality” can differ significantly according to the apartment level. Finally, we include the distance from the seashore. In the case of Sardinia, an island which coincides with an administrative region of Italy, the distance from the coast is of particular importance, since the so-called “coastal strip” (CS) is defined in article 19 of the Planning Implementation Code (PIC) of the Regional Landscape Plan of Sardinia (RLP, approved by the Regional Government of Sardinia in 2006 ) as a “strategic resource, vital for the achievement of sustainable development in Sardinia, that requires integrated planning and management.” Under article 20 of the PIC, as a general rule, new development of land and transformation of current land uses are not allowed in the CS. Some exceptions to the general rule are allowed, provided that municipalities and developers abide by regulations and procedures given by the PIC. Due to these particular restrictions in force in the CS, it was believed that the amount of municipal land area included in the CS could be a relevant impact factor on the ability of cities and towns to spend funds allocated for public services and infrastructure (Zoppi and Lai, 2013). So, a proximity-to-coast effect could be expected, since coastal land is demanded for future development. If land-taking processes related to tourism development are forbidden, it seems very possible that land take will occur in the proximity of the CS or in the parts of the CS where exceptions are allowed. This argument is discussed with reference to a different spatial context, by Dewi et al. (2013), who found that the establishment of protected areas (CS-like areas) in Asian and African tropical forestry regions determines an increased exploitation of the marginal lands just outside the protected areas. If a proximity-to coast effect does occur, the value of houses will increase as distance from the coast diminishes. Neighborhood demographic characteristics are drawn from the most recent demographic survey made available by the municipality of Cagliari. We consider population density, whose correlation with demand for new houses, which could possibly put in evidence a positive agglomeration effect, is underlined by several studies (Sklenicka, 2013; Guiling et al., 2009; Forster, 2006). Population size and the presence of foreign residents, mostly coming from underdeveloped countries, are the other factors we include as determinants of the value of houses. The value of houses is expected to be positively correlated to the presence of foreign residents, whose presence, everything else being equal, is expected to increase the demand for houses, while there is no prior expectation related to the effect of population size, since concentration could cause a negative effect in terms of possible shortage of public services and infrastructure due to overcrowding, but also positive impact, since excess demand for houses could raise their market value. Plan-related characteristics are the features of the neighborhood where a house is located which are related to the zoning rules of the city Masterplan. We class them into the following categories, identified in the zoning rules through acronyms in parentheses: • • • • • • historic center zone (“A” zone); residential completion zone (“B” zone); residential expansion zone (“C” zone); enterprise zone (“EZ” zone); parks (open-space leisure areas, "S3" and recreational “G” zone); mixed use zone (industrial and service areas, “IS” zone).

The surveyed houses are located either in the historic center zone or in the residential completion zone, where steady residential development has taken place. Houses in the completion zone are more recent,

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affordable and, at least to some extent, constructed through social housing projects so their value is expected to be lower, everything else being equal. The historic center zone is a single, dense and central area in the urban fabric; it dates from the Middle Ages and hosts buildings important for cultural, artistic and historic reasons. Specific rules apply to this area, in order to avoid an increase in built volume, preserve the facades and control the building uses. The peculiarity of the historic center zone is that it is not a residential zone. Rather, it is a mixed-use zone, which entails public services, commercial and residential uses. The “B” zones are built-up areas which consist mainly of dense residential blocks. A partially-built area is generally considered to belong to a “B” zone when its area is smaller than 5,000 square meters and more than a 30 percent of the volume has already been built. As a general rule, on a single building lot belonging to a B zone, building is limited to 3 cubic meters per square meter.
Variable Definition Characteristics of housing units, vector HUNIT in (5) AREA Finished interior area (m2) (source: 2012 direct survey) Q_POS Position quality (presence and quality of panoramic views, distance from other buildings and structures / daylighting quality, apartment level). Q_TYP Typological quality (building and apartment maintenance level, quality of construction, equipment and mechanical system conditions, building age). DISCOAST Distance from the coastline (m) (source: Spatial Dataset of the Regional Geographic Information System of Sardinia)6 Demographic characteristics of the neighborhood where a house is located, vector DEMOG in (5) DENSITY Population density in the Census tract (residents/km2) (source: 2001 National Survey of the Italian National Institute of Statistics concerning population and houses) FOR_2012 Foreign residents in the neighborhood (foreign residents) (source: 2012 Survey of the Municipality of Cagliari) RES_2012 Residents in the neighborhood (residents) (source: 2012 Survey of the Municipality of Cagliari) Plan-related characteristics of the neighborhood where a house is located, vector PLANREL in (5) PL_ZONE Dummy, location in a residential completion area (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) A_ZONE Area of the “A” zone in a buffer of 150 m around the location of a house (m2) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) B_ZONE Area of the “B” zone in a buffer of 150 m around the location of a house (m2) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) C_ZONE Area of the “C” zone in a buffer of 150 m around the location of a house (m2) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) EZ_ZONE Area of the “EZ” zone in a buffer of 150 m around the location of a house (m2) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) MIXUSE Percent area of the “IS” zone in a buffer of 150 m around the location of a house (percent) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) PARKS Area of the “S3”and recreational “G” zones in a buffer of 800 m around the location of a house (m2) (source: Masterplan of the City of Cagliari, available at: http://www.comune.cagliari.it/portale/it/puc.wp [accessed January 21, 2014]) Artificial land cover of the neighborhood where a house is located, variable LANDCOV in (5) LC_URB Artificial surfaces, urban fabric in 2008 (m2) (source: CORINE Land Cover Map of Sardinia – 2008 Edition, level 2, code 1.1) Spatially-lagged dependent variable (see paragraph 4.1.1) AUTOCORR Spatially-lagged dependent variable, spatial lags of variables reported in Table 2 Mean 109.43 4.52 4.19 1788.15 St.dev. 34.89 1.84 1.41 877.80

21704.12 354.17 7645.28 0.12 4753.14

10632.79 203.23 2978.05 0.33 11935.82

33033.85

14514.09

400.78

2262.48

678.98

3287.24

12.66

11.78

24.17

13.68

64577.89 -0.01

9560.18 0.41

Table 3. Definition of characteristics of houses and of neighborhoods where houses area located, and descriptive statistics.

The surveyed houses are located either in the historic center zone or in the residential completion zone, where steady residential development has taken place. Houses in the completion zone are more recent, affordable and, at least to some extent, constructed through social housing projects so their value is expected to be lower, everything else being equal. The historic center zone is a single, dense and central area in the urban fabric; it dates from the Middle Ages and hosts buildings important for cultural, artistic and historic reasons. Specific rules apply to this area, in order to avoid an increase in built volume, preserve the facades and control the building uses. The peculiarity of the historic center zone is that it is not a residential zone. Rather, it is a mixed-use zone, which entails public services, commercial and residential uses. The “B” zones are built-up areas which consist mainly of dense residential blocks. A partially-built area is generally considered to belong to a “B” zone when its area
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is smaller than 5,000 square meters and more than a 30 percent of the volume has already been built. As a general rule, on a single building lot belonging to a B zone, building is limited to 3 cubic meters per square meter. The “C” zones are either non-developed or partially developed parts of the city (where less than 30 percent of the volume has already been built) bound to be residential areas. Restrictions on built volume are far stricter than those imposed in the B zones and equal to 1.5 cubic meters per square meter per building lot. Furthermore, in order to obtain a building permission, a plan must be approved by the local municipality. This plan must indicate the spatial distribution of the building lots, as well as a portion of the area which has to be handed over to the municipality, in order to build public services and infrastructure. The size of this area depends on the estimate of the number of the future residents, which is estimated on the basis of the amount of the housing volume, therefore on the ratio of maximum volume to the area of the lot. The “EZ” zones are either non-developed or partially developed parts of the city where an integration of different functions (residential buildings, public facilities and recreational areas) is required. For each EZ zone, the city Masterplan sets specific rules on the combination of functions. For instance, in an EZ zone important for environmental reasons a maximum of 35percent of the area is available for housing areas, and a 0 percent for public facilities, while a 65percent has to be reserved for recreational areas. A stronger residential EZ is characterized by a 93 percent - 7 percent - 0 percent combination. An EZ zone located in spoiled city outskirts is characterized by a 70 percent - 30 percent - 0 percent combination. There is no prior expectation on the effect of plan-related characteristics on the value of houses except with reference to the presence of parks and mixed-use areas in a house’s neighborhood, which should increase the house’s market value. The last characteristic is related to land cover. The land cover map of Cagliari was drawn from the 2008 land cover maps of Sardinia made available in 2008 by the Sardinian regional administration,7 whose nomenclature is based on that of the inventory of land cover carried out in the frame of the European programme COoRdination de l’INformation sur l’Environnement (CORINE). We consider artificial (urban fabric) surfaces of the neighborhood where a house is located. There is no prior expectation on the effect of this characteristic on the value of houses, since a higher level of urbanization can, to some extent, raise environmental and social quality of urban contexts, but it could be related to the negative impact of services’ and infrastructure’s overcrowding as well. Finally, we consider a spatially-lagged dependent variable as a covariate related to the spatial autocorrelation of the dependent variable. This question is discussed in the following paragraph. Table 3 shows the variables which describe factors related to the value of houses and their descriptive statistics. 4.1.1 Autocorrelation-related spatially-lagged dependent variable If the value of a variable defined with reference to a spatial unit, such as a point where a house is located, is correlated to the values it takes in the closest units, the variable is characterized by spatial autocorrelation. Spatial autocorrelation of the dependent variable in spatial regressions produces biases in the model’s estimates. This issue can be addressed by adding a spatially-lagged dependent variable to the set of covariates (Anselin, 1988; 2003). The presence of spatial autocorrelation of the dependent variable of a model, that is the values of houses described in the previous section is detected through the Moran’s test (Moran, 1950; Anselin, 1988). The Moran’s test concerning the spatial autocorrelation of a variable X which takes values over a finite number of spatial units i, i = 1, …, N, is based on a statistic I defined as follows: , (1)

The 1:25,000 “New Land Use Map of the Region of Sardinia - 2008 Edition” is actually a land cover maps that covers the whole island. Data were obtained mainly from photo-interpretation of aerial photographs, satellite images, and orthoimages, but other vector data sets (e.g., regional digital cartography) were also used, together with on-site surveys. The maps’ minimum mapping unit (Longley et al., 2001, 151) equals 0.5 ha in urban areas and 0.75 ha in rural areas. Both maps can be freely downloaded from http://www.sardegnageoportale.it/index.php?xsl=1598&s=141401&v=2&c= 8831&t=1 [accessed January 21, 2014].

7

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where j = 1, …, N, X is the mean of the components of vector X, Wij is equal to 1 if spatial unit i is spatiallyrelated to spatial unit j, 0 otherwise, and S is equal to . The test assumes that i is normally distributed with a zero mean in case no spatial autocorrelation occurs, which is the null hypothesis of the Moran’s test. If the p-value of the test is lower than 5-10%, a spatially-lagged dependent variable should be added to the set of the covariates in order to make the model unbiased, since it is very possible that the values of the dependent variable are spatially autocorrelated. The spatially-lagged dependent variable, named AUTOCORR in Table 3, is defined as follows (Anselin, 1988; 2003): , where i, j = 1, …, N. The application of the procedure described so far to our study implies the implementation of the Moran’s test. We implement a set of Moran’s tests using GeoDa8 by assuming, alternatively, that Wij of (1) is equal to 1 if the distance between house i and house j is less than 500 meters. The reason we choose this distance is that the p-values of the Moran’s test for the alternative dependent variables described in the previous section show a peak at 500 meters, so spatial autocorrelation maximizes its significance at 500 meters. Table 3 shows the results of the Moran’s tests at different distances. Descriptive statistics of AUTOCORR are shown in Table 2. 4.2 Spatial analysis of factors For each of the 304 apartments in the sample, the value of nearly all of the characteristics listed in Table 3 (except for AREA, Q_POS and Q_TYP, which were assessed, for each apartment, by means of on-site surveys) was calculated by performing some kind of GIS-based analysis, as none of them were available “off the shelf”. This also meant that various data (both geographic and non- geographic) were collated from different sources (accounted for in Table 3) and, in some cases, also pre-processed. In most cases, GIS-based analyses consisting of combinations of buffering and basic geoprocessing operations were performed. This made it possible to develop a geographic dataset, to calculate the value of each characteristics for each apartment, and to analyze their spatial distributions. (2)

Fig. 3: Spatial distribution of some of the characteristics of houses.

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The spatial distribution of four of the potential determinants of market prices is shown in Fig. 3. In the topleft map (AREA), larger and paler points show the localization of apartments taking the highest values of the finished interior area, by using the zoning scheme of the municipal land-use plan of Cagliari as a background. In the top-right map (PARKS), larger and paler points correspond to apartments surrounded by larger amounts of open-space leisure areas; this map shows a clear spatial clustering of the values, with the central part of the city (also comprising the historic district) taking low values, albeit not the lowest, as these form three distinct clusters around the central part (two to the West and one to the North-East). Similarly, the bottom-left map puts in evidence that the factor FOR_2012 is spatially clustered, meaning that foreigners mostly live in the central districts. Finally, the bottom-right map shows the distribution of the variable DISCOAST, accounting for the distance of each apartment from the shoreline. 5 THE HEDONIC METHODOLOGY The hedonic methodology considers quality of urban life as a phenomenon embedded into the value of houses through their characteristics. According to the hedonic approach, a house is a parcel of goods. This means that a person who buys a house, buys a basket of amenities (Thaler and Rosen 1976; Dickens 1984; Gegax et al., 1991). What is paid is the arithmetic sum of what the buyer is willing to pay for each of the amenities or is willing to accept as a refund for each of the bads contained in the basket (King, 1976). If we consider this methodology on the supply side, the vendor sells a bundle of goods and is willing to accept a price that is equal to the arithmetic sum of the values of each contained amenities or bads (a negative price in case of a bad). Assuming the housing market to be in equilibrium, that is, assuming that the market of each amenity or bad is balanced, the price of each amenity or bad represents an equilibrium price between willingness to pay (demand side) and willingness to accept (supply side). Each determinant can be sold just as a component of the bundle of goods contained in the housing unit and its price cannot be observed directly from the housing market; however, it can be estimated as a component of the housing price through direct observation of the housing market. This quasi-market price is called a hedonic price and the function which expresses the housing price as dependent on the quantities of the amenities or bads contained in the basket containing the housing unit is called a hedonic function (Ridker and Henning, 1967; Brown and Rosen, 1982; Cropper and Oates, 1992). The basket of goods a person buys in the housing market can contain not only amenities, but also undesired characteristics, that is, bads. The higher the quantity of bads, the lower the housing price. In other words, the basket paid for by the buyer contains some undesirable characteristics, which decreases his/her willingness to pay. Hedonic functions have the following form: WTP = h (A,B) (3) WTA = g (A,B), where: WTP is the total willingness to pay for a house (demand side) and WTA is the total willingness to accept a payment for a house (supply side); A is a vector of amenities or bads that are included in the housing unit; B is a vector of characteristics of the neighborhood where the housing unit is located. WTP is the hedonic demand and WTA is the hedonic supply function. If the housing market is in equilibrium, the observed price of a house is equal to the willingness to pay for that house (demand side) and to the willingness to accept for that house (supply side). In the same way, the marginal willingness to pay (MWTP) for each amenity or bad contained in that house is equal to the marginal willingness to accept (MWTA). This equilibrium price is the hedonic price of that amenity or bad. Notation Hpi indicates the hedonic price of amenity or disamenity i, i= 1, …, n. In model (3), there are two hedonic functions, one for the demand side and one for the supply side. The estimation of these two functions implies the availability of data on willingness to pay (buyers) and willingness to accept (sellers). Data on the supply side must be collected by directly interviewing sellers, which is a very cumbersome task. Blomqvist and Worley (1981) have suggested assuming the supply of characteristics as perfectly inelastic at any location. In this case, only one of the two equations of model (3) must be estimated. Palmquist (1984; 1991), Blockstael et al. (1991), and Graves (1991) have studied a modification of model (3) which reduces the number of equations to be estimated by taking data on the

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housing market transactions instead of willingness to pay. The dependent variable in the hedonic function is the market price of houses which expresses an attained equilibrium between demand and supply. Utilizing data regarding the housing market instead of data on willingness to pay and willingness to accept reduces the hedonic function to a function, P, which expresses the equilibrium of the housing market as follows: P = f (A,B). (4) If a change in the required quantity of an amenity or bad does occur, the value of the change can be calculated by multiplying the hedonic price of the amenity or bad by the quantity change. The hedonic function operationalizes equations (4) with the form: PRICE = β0+β1HUNIT+β2DEMOG+β3PLANREL+β4LANDCOV+β5AUTOCORR+ε, (5) where the dependent variable, PRICE, is one of the five alternative measures of the value of houses defined in the third section (see Table 2), HUNIT, DEMOG, PLANREL and LANDCOV are the vectors of characteristics of a house (HUNIT), and of a house’s neighborhood (demographic, DEMOG; plan-related, PLANREL; artificial land cover, LANDCOV), discussed in the fourth section (see Table 3), and AUTOCORR is the spatially-lagged dependent variables defined through the procedure described in paragraph 4.1.1 (see Table 3). 6 RESULTS We estimate the five linear multiple regressions indicated in (5), using the five alternative dependent variables discussed in the third section. Results concerning the cadastral value of houses are almost completely non-significant. Moreover, the goodness of fit of the regression is quite lower than in the other four cases, since adjusted R-squared is less than 10 percent. So, we can conclude that cadastral values, which are the values property taxes are based upon, do not represent effectively the value of houses, as it was expected. This outcome indicates that a comprehensive and equity-oriented reform of cadastral values and related property taxes is needed, and that an effective analysis of the factors influencing the value of houses cannot be related to the actual cadaster’s. The results of the other four regression models are quite consistent with each other (see the synthesis shown in Table 4). The coefficients of the variables related to the structural characteristics of houses are almost always significant (p-values less than 5 percent) and show the expected sign. The only case three out of four of them are not significant (p-values greater than 10 percent) is the model where the dependent variable is the average list price recorded from other apartments for sale (SUPP_VAL). Distance from the coast is always significant and presents the expected sign, so we can conclude that proximity to the seashore is one of the most important factors which influences the value of houses in the municipality of Cagliari. Among the variables related to the demographic characteristics of the neighborhood where a house is located, density is significant just in one case (EST_VAL), and it shows the negative sign, which implies no agglomeration effect. A positive sign, which could possibly be related to an agglomeration effect, does occur only in the case of the model which uses rental value (RENT_VAL) as dependent variable, but the estimate of the coefficient is not significant (p-value higher than 10 percent). The coefficients of the variables related to the presence of foreign residents (FOR_2012) and to population size (RES_2012) are almost always significant. The sign of FOR_2012 is consistent with expectation, while the RES_2012’s sign is negative, which indicates that the higher the concentration of residents in the neighborhood where a house is located the less the quality of the urban environment, possibly due to shortage of public services and infrastructure. Plan-related variables show significant estimates only in three cases: PL_ZONE, EZ_ZONE and PARKS. The value of houses located in the historic center is higher than the houses located in the completion areas (dummy variable PL_ZONE), and the presence of enterprise zone areas in the neighborhood of a house implies a negative marginal effect on the value of the house, which could be explained by the uncertainty which characterizes the future residential and public services and infrastructure lay-out of these not-yeturbanized areas. As it was expected, the variable related to presence of public parks in the neighborhood of a house (PARKS) is always positively correlated to the value of houses, and significant in three out of four cases. Nothing can be stated with reference to the other plan-related variables, except in case of A_ZONE, which has a negative and significant effect on the variable related to the market value of houses (EST_VAL), while in the other

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three cases the effect is negative, but not significant, which indicates that houses closer to the historic center are comparative less valuable, which may possibly be explained by observing that historic areas of the city of Cagliari are often characterized by old urban fabric with lots of obsolescent buildings, roads and public areas, which could make the location of houses less attractive, everything else being equal.
Covariate AREA Q_POS Q_TYP DISCOAST DENSITY FOR_2012 RES_2012 PL_ZONE A_ZONE B_ZONE C_ZONE EZ_ZONE MIXUSE PARKS LC_URB AUTOCORR Dependent variable EST_VAL Significance Sign (+/-) (5%-10%-NO) 5% + 5% + 5% + + + + 5% 5% 5% 10% 5% 5% NO NO 10% 5% NO NO 5% OMI_VAL Significance Sign (+/-) (5%-10%-NO) 5% + 5% + NO + + + + 5% NO 5% 5% 5% NO NO NO 5% 5% 5% NO 5% RENT_VAL Significance Sign (+/-) (5%-10%-NO) 5% + 5% + NO + + + + + 5% NO NO 5% 5% NO NO NO 5% NO 5% NO 5% SUPP_VAL Sign (+/-) + + + + + + Significance (5%-10%-NO) NO NO NO 5% NO 5% 5% 10% NO NO NO 5% 5% 5% NO 5%

Table 4. Synthesis of regression models’ estimates: sign and significance. If a coefficient’s estimate is not significant either at 5% or at 10%, then we put a “NO” in the significance column.

Finally, the land cover-related variable (LC_URB) is never significant, while the spatially-lagged dependent variable is always positively and significantly correlated to the four dependent variables, as it was expected. We have also estimated the log-linear specifications of the five regression models discusses in this paper, which gave results quite similar to those proposed in this section, even though with a slight lower goodness of fit. We omit the detail of these estimates in order to comply with the established length of the paper. 7 DISCUSSION AND CONCLUSION In terms of policy planning concerning the housing market it can be observed that a reduction in size through the division of large apartments (greater than 120 square meters) in two or more residential units could increase the value of houses, since the variable AREA decreases. The reason is that reduced-size houses are cost-rewarding and allow for effective functional recovery of apartments, whose living area otherwise would be not appropriate for current needs. The variable Q_POS has a significant relationship with the dependent variable EST_VAL, but it should not be effectively targeted for housing policies. Some aspects of Q_POS, such as the presence of panoramic views, are related to other independent variables such as DISCOAST or PARKS; the variable has a dramatic spatial variability, since Cagliari spreads across seven hills. Moreover, even with reference to the same building, for any residential unit that overlooks the sea or has an excellent sun exposure, it is possible to identify a wide gradient of position quality levels depending on the apartment level and exposition. In addition, position quality usually has its highest influence in price formation in case of high-quality districts, where it is very possible that it works as a specific market segment determinant. For these reasons, Q_POS must be considered as a factor that generates a general market appreciation of position quality. The variable Q_TYP shows a significant correlation with EST_VAL as well, and produces an increase in the value of residential properties. As stated above, some features of typological quality of houses (i.e. building and apartment maintenance level, quality of construction, equipment and mechanical system conditions) can be improved by landlords and homeowners depending on their cost-effectiveness or personal needs related to the use value. In order to increase cost-effectiveness margin, policies that focus on improving the quality level of neighboring urban spaces, with particular reference to green and transportation facilities, can lead landlords and homeowners to renovate private and common parts of their building. Such kind of public investment can possibly have a direct impact on the local community by both encouraging private development and improving citizens’ quality of life.

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In the rest of this concluding remarks we use GIS to comment and discuss policy implications of our results through some spatial representations. Such GIS-based representations are easily reproducible with reference to other urban areas, provided that the value of the characteristics here analysed are available, and they allow for a pretty straightforward spatial interpretation of the results. We started by simulating a “what-if” scenario by building upon the results of the linear multiple regression that uses EST_VAL as the dependent variable: for each apartment, we estimated the magnitude of the impact on the variable EST_VAL, that is the percent change that would occur if a single explanatory variable (among those that are generally significant, as shown is Table 4, and that can be driven in some way by means of appropriate policies, that is, the area of the house, AREA, the distance from the coast, DISCOAST, and the endowment of recreational areas (PARKS) had increased by a given quantity – that is, ten percentiles in that variable’s distribution. Figure 4 presents the results of this process: the greatest change in market price is produced by implementing policies that increase the variable PARKS, as EST_VAL could increase up to 6.61 percent if the value of this characteristic increased by ten percentiles (Figure 4, center); as the map shows, the market price would increase unevenly across the city, as both the lowest and the highest variations are strongly clustered. Policies affecting either the characteristic AREA or the characteristic DISCOAST would produce a consistent decrease in market prices, but not as significant (in quantitative terms) and not as spatially clustered as that produced by varying the value of PARKS. Such spatial representations provide decision makers with clear indications on which are the “best” possible areas that policies should target in order to affect market prices. The results obtained with reference to Cagliari’s urban area allow generalization for two reasons. On the one hand, no similar empirical studies have been implemented to analyze the determinants of the value of houses in other Italian conurbations by means of the hedonic approach. This is most likely due to the scarce availability of data to implement this evaluation. On the other hand, it is not possible to compare the situation of the urban area of Cagliari to a situation in which a more flexible, participatory, faster and bottom-up planning process was implemented. This kind of situation would have probably encouraged people to lobby in favor of effective planning policies concerning the housing market, since the established planning process has been developed quite homogeneously in all of Italy, and counter-examples are very rare. Secondly, empirical results give credit to the view that there would be benefits for the public providing utilities concurrent with development. This finding is relevant in Florida, which has enacted concurrency rules that require this as a condition of development approval; no development with inadequate infrastructure may be allowed (Auerhahn, 1988). This is a controversial policy, since it can slow development or raise development costs. Rigid separation between right to build and property right allows the Italian cities to determine how much developers must pay to compensate the local communities for the increased pressure on the existing public infrastructure and services. This is different from the approach in the United States, where the question is addressed on a case-by-case basis. There, some local governments levy “impact fees.” These are very similar to the building permit fees levied in Italy, since they are based on estimates of the public costs of providing needed public facilities per dwelling unit to be constructed (Lillydahl et al., 1988; Nicholas, Nelson 1988; Nicholas et al., 1991). Urban fringe development, for example, frequently utilizes septic tanks without adequate public utilities. At some point in the future, the public extends public water and sewerage, paying for it in one of several ways: using general tax revenues, special assessments of benefited properties, user charges, or some combination of these. The Boston Zoning Code establishes that the developer’s submission of a project to the city must include an evaluation of the Proposed Project’s impact on the capacity and adequacy of existing water, sewerage, energy, and electrical utility systems, and the need reasonably attributable to the Proposed Project for additional systems facilities (Boston Redevelopment Authority, 1991). The City of Boston and the developer must be aware of the cost of urban transformation, but there is no established sum the developer must pay to build new public infrastructure and services. This is left to the free negotiation between the city and the applicant. French legislation gives cities the task of establishing the contribution developers must pay to obtain their building permits, adopting an approach that lies between the Italian and the United States ones. When a plan d’occupation des sols is approved by a city, payments to obtain building licenses cannot be revised and are

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Deteminants of the Value of Houses: a Case Study Concerning the City of Cagliari, Italy

deterministically established. However, in this case, there is plenty of room for free negotiation (République Française, 1983). Moreover, in light of the empirical results relating to the determinants of the value of houses, it would be interesting to explore if, and to what degree, planning policies aimed at qualitative improvements of houses would develop in a United States or French context had local developers be discouraged due to very high development costs. Adopting a general holistic perspective that regards different conceptual characteristics of smart cities, this empirical work defines and implements a research methodology and design to evaluate the monetary value of the extrinsic and intrinsic characteristics of houses as determinants of the formation of market price of houses. This research methodology and design offers powerful tools to define city fiscal policies which could successfully deal with value generated by urban residential expansion and smart governance. This is implemented through an analysis of the housing market, through direct observation of human behavior in appreciating and identifying a value of environmental qualitative resources that contribute to enhancing their smartness in terms of living standard and environment. The more reliable the information, the more effective policy decisions can be in order to convey part of the generated value to the cities’ economic development, that is to their economic smartness. Regarding this issue, a sound institutional framework is necessary to allow the cities to implement zoning regulations and fiscal policies to deal with the determinants of the value of houses. This would be based on negotiation with developers, landlords, homeowners, and local communities, along with detailed and standardized territorial information systems and databases regarding the housing market in order to provide urban policy-makers with access to factual information concerning transaction prices and, if possible, intrinsic features of the sold properties. 8 REFERENCES

ANCE SARDEGNA [SARDINIAN SECTION OF THE ITALIAN ASSOCIATION OF BUILDING CONSTRUCTORS]: 5° Rapporto sul Settore delle Costruzioni in Sardegna. [5th Report on Sardinia’s Construction Economic Sector]. Available at http://www.sardegna.ance.it/docs/docDownload.aspx?id=10972 [accessed January 21, 2014]. ANSELIN L.: Spatial Econometrics: Methods and Models. Kluwer Academic Publishers: Dordrecht, The Netherlands, 1988. ANSELIN L.: Spatial econometrics. In: Baltagi B.H., ed.: A Companion to Theoretical Econometrics. Blackwell Publishing: Oxford, United Kingdom, pp. 310-330, 2003. AUERHAHN E.: Implementing an impact fee system: ten years of experience in Broward County, Florida. In: Journal of the American Planning Association, Vol. 54, Issue 1, pp. 67-70. Taylor and Francis: New York, NY, United States, 1988. BAnk of italy eurosystem statistics: Economie Regionali. L’Economia della Sardegna. [Regional Economies. The Economy of Sardinia]. Available at http://www.bancaditalia.it/pubblicazioni/econo/ecore/2013/analisi_sr/1321_sardegna/1321_sardegna.pdf [accessed January 21, 2014]. BLOCKSTAEL N.E., McConnell K.E., Strand I.: Recreation. In: Braden J.B., Kolstad C.D., eds.: Measuring the Demand for Environmental Quality. North-Holland: Amsterdam, The Netherlands, pp. 227-270, 1991. BLOMQVIST G., Worley L.: Hedonic prices, demands for urban housing amenities, and benefit estimates. In: Journal of Urban Economics, Vol. 9, Issue 2, pp. 212-221. Elsevier: Amsterdam, The Netherlands, 1981. BOSTON REDEVELOPMENT AUTHORITY (BRA): Boston Zoning Code and Enabling Act. BRA: Boston, MA, United States, 1991. BOULAY G.: Real Estate market and urban transformations: spatio-temporal analysis of house price increase in the centre of Marseille (1996-2010). In: Articulo. Journal of Urban Research. Vol. 9, pp. 1-22.2012.. BROWN J.N., Rosen H.S.: On the estimation of hedonic price models. In: Econometrica, Vol. 50, Issue 3, pp. 765-768. John Wiley & Sons: Chichester, United Kingdom, 1982. CHESHIRE P., Sheppard S.: On the price of land and the value of amenities. In: Economica, New Series, Vol. 62, Issue May, pp. 247-267. John Wiley & Sons: Chichester, United Kingdom, 1995. CROPPER M.L, Oates W.E.: Environmental economics: a survey. In: Journal of Economic Literature, Vol. 30, Issue 2, pp. 675-740. American Economic Association (AEA): Nashville, TN, United States, 1992. DEWI S., van Noordwijk M., Ekadinata A., Pfund J.L.: Protected areas within multifunctional landscapes: Squeezing out intermediate land use intensities in the tropics? In: Land Use Policy, Vol. 30. Issue 1, pp. 38-56. Elsevier: Amsterdam, The Netherlands, 2013. DICKENS W.T.: Differences between risk premiums in Union and Nonunion wages and the case for occupation safety regulation. In: The American Economic Review, Vol. 74, Issue 2, pp. 320-323. American Economic Association (AEA): Nashville, TN, United States, 1984. FORSTER D.L.: An overview of U.S. farm real estate markets. Working Paper of Agricultural, Environmental and Development Economics, Ohio State University: AEDE-WP-0042-06. 2006. Available at http://ageconsearch.umn.edu/bitstream/28319/1/wp060042.pdf [accessed January 21, 2014]. GEGAX D., Gerking S., Schulze W.: Perceived risk and the marginal value of safety. In: The Review of Economics and Statistics, Vol. 73, Issue 4, pp. 589-596. The MIT Press: Cambridge, MA, United States, 1991. GRAVES P.E.: Aesthetics. In: Braden J.B., Kolstad C.D., eds.: Measuring the Demand for Environmental Quality. North-Holland: Amsterdam, The Netherlands, pp. 213-226, 1991.

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Michele Argiolas, Sabrina Lai, Corrado Zoppi GUILING P., Brorsen B.W., Doye D.: Effect of urban proximity on agricultural land values. In: Land Economics, Vol. 85, Issue 2, pp. 252-264. University of Wisconsin Press: Madison, WI, United States, 2009. istat (Italian National Institute of Statistics): Bilancio demografico Dicembre 2012. Provincia di Cagliari [Demographic Balance December 2012. Province of Cagliari]. Available at http://demo.istat.it/bilmens2012gen/index02.html [accessed January 21, 2014]. KIEL K.K., Zabel J.E.: The Impact of neighborhood characteristics on house prices: what geographic area constitutes a Neighborhood? In: Working Papers, n. 9905. College of the Holy Cross, Department of Economics: Worcester, MA, United States, 1999. KING A.T.: The demand for housing: a Lancastrian approach. In: Southern Economic Journal, Vol. 43, Issue 2, pp. 1077-1087, 1976. Southern Economic Association (SEA): Chattanooga, TN, United States, 1976. LILLYDAHL J.H., Nelson A.C., Ramis T.V., Rivasplata A., Shell S.R.: The need for a standard state impact fee enabling act. In: Journal of the American Planning Association, Vol. 54, Issue 1, pp. 7-17. Taylor and Francis: New York, NY, United States, 1988. LONGLEY P.A., Goodchild M.F., Maguire D.J., Rhind D.W.: Geographic information. Systems and science. John Wiley & Sons: Chichester, United Kingdom, 2001. MORAN P.A.P.: Notes on continuous stochastic phenomena. In: Biometrika, Vol. 37, Issue 1/2, pp. 17–33. Oxford University Press: Oxford, United Kingdom, 1950. NICHOLAS J.C, Nelson A.C.: Determining the appropriate development impact fee using the Rational Nexus Test. In: Journal of the American Planning Association, Vol. 54, Issue 1, pp. 56-66. Taylor and Francis: New York, NY, United States, 1988. NICHOLAS J.C, Nelson A.C., Juergensmeyer J.: A Practitioner’s Guide to Development Impact Fees. American Planning Association Planners Press: Chicago, IL, United States, 1991. OMI (ITALIAN National Observatory on Real Estate Market): Rapporto immobiliare 2013. Il settore residenziale. [Report on real estate market 2013. The residential sector]. 2013 Available at http://www.agenziaentrate.gov.it/wps/wcm/connect/daa7ce004f9dc23f8678879065056eba/RI_2013_Quadro_generale. pdf?MOD=AJPERES&CACHEID=daa7ce004f9dc23f8678879065056eba [accessed January 21, 2014]. OREFICE M.: Estimo Civile [Handbook of Civil Real Estate Economics], Vol. 2. UTET Università: Turin, Italy, 2007. PALMQUIST R.B.: Estimating the demand for the characteristic of housing. In: The Review of Economics and Statistics, Vol. 66, Issue 3, pp. 394-404. The MIT Press: Cambridge, MA, United States, 1984. PALMQUIST R.B.: Hedonic methods. In: Braden J.B., Kolstad C.D., eds.: Measuring the Demand for Environmental Quality. North-Holland: Amsterdam, The Netherlands, pp. 77-120, 1991. REPUBLIQUE FRANÇAISE: Loi n. 83-8 du 7 janvier 1983 relative à la répartition de compétences entre les communes, les départements, les régions et l’Etat. In: Journal Officiel de la République Française, Issue 9 January 1983, pp. 215-230. Premier ministre, Direction de l’information légale et administrative: Paris, France, 1983. RIDKER R., Henning J.A.: The determinants of residential property values with special reference to air pollution. In: The Review of Economics and Statistics, Vol. 49, Issue 2, pp. 246-257. The MIT Press: Cambridge, MA, United States, 1967. SHILLER R.J.: The Subprime Solution. Princeton University Press: Princeton, PA, United States, 2008. SKLENICKA P., Molnarova K., Pixova K.C., Salek M.E.: Factors affecting farmlands in the Czech Republic. In: Land Use Policy, Vol. 30. Issue 1, pp. 130-136. Elsevier: Amsterdam, The Netherlands, 2013. THALER R., Rosen S.: The value of life savings. In: Terleckyj N., ed.: Household Production and Consumption. National Bureau of Economic Research: New York, NY, United States, pp. 265-302, 1976. VANOLO A.: Smartmentality: the smart city as disciplinary strategy. In: Urban Studies, Vo. 51, Issue 5, pp. 883-898. SAGE: Los Angeles, United States, 2000. ZOPPI C.: Building abusivism and condono: an estimate for a metropolitan area of Sardinia, Italy. In: Journal of Planning Education and Research, Vol. 20, Issue 2, pp. 214-232. SAGE: Los Angeles, United States, 2000. ZOPPI S., Lai S.: Differentials in the regional operational program expenditure for public services and infrastructure in the coastal cities of Sardinia (Italy) analyzed in the ruling context of the Regional Landscape Plan. In: Land Use Policy, Vol. 30. Issue 1, pp. 286-304. Elsevier: Amsterdam, The Netherlands, 2013.

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reviewed paper European Academic Smart Cities Network – Renewable Urban Energy Systems, Sustainable Mobility and ICT Technology Nexus for Smart Cities Studies Darya Bululukova, Harald Wahl, Mathias Ballner
(Darya Bululukova, BSc, UAS Technikum Wien, Höchstädtplatz 6, 1200 Wien, darya.bululukova@technikum-wien.at) (Dipl.-Ing. Harald Wahl, UAS Technikum Wien, Höchstädtplatz 6, 1200 Wien, harald.wahl@technikum-wien.at) (Mathias Ballner, BSc, UAS Technikum Wien, Höchstädtplatz 6, 1200 Wien, mathias.ballner@technikum-wien.at)

1 ABSTRACT The European Academic Smart Cities Network (EU-ASCIN) project at the University of Applied Sciences (UAS) Technikum Wien, founded by the municipal government of the city of Vienna in November of 2013, aims to set up an academic smart cities network in Central and Southeastern Europe. Within the framework of the project, cooperation with national and international universities and research institutions will be established. The UAS Technikum Wien already offers study programs with some of the main topics of smart cities concept, such as smart energy, smart environment, and smart mobility. In the context of the project, these study programs will be evolved by introducing the concept of smart cities. In the first step, the introduction will be performed as courses of existing programs, and finally it could result in an independent joint or double degree program. International cooperation with partner universities, research institutions, and other academic networks should stimulate the development of the smart cities study programs through know-how exchange, stuff and student mobility, and future joint projects. For the further development of the project and support of the new study program, a Web-based platform will be established. The platform will provide up-to-date information concerning technological progress, new concepts, introduced legislative regulations and current events in the area of smart cities. Information will be presented on different levels of complexity depending on the target audience students, teaching staff, or people simply interested in smart cities. After completion of the project, the platform will act as point of information for academic education and research. The proposed paper will point out the general framework, the main objectives and the current state of the project progress. 2 INTRODUCTION

2.1 Motivation Smart City Vienna is the initiative introduced by the municipal government of the city of Vienna in 2011, which aims to “…consistently and continuously modernize the city in order to significantly reduce energy consumption and emissions without having to forego any aspects of consumption or mobility”1. The main objectives of the initiative are reducing CO2-emission resulting into achieving EU-targets, reducing energy consumption through increasing the use of renewable energy concepts, promoting multi-modal transportation possibilities thereby reducing individual motorized transport share and place Vienna as modern center for research and technological development. An important topic of the initiative is the integration of citizens in the smart city concept, by providing the possibility for participation in decision-making process. By increasing interest of the wide public about responsible and considerate use of the natural resources, the concept of smart city can be invoked into live. Academic education contributes in the wide extent to research and innovation and is an important component of the smart cities implementation process. Currently, the institute of Energy Systems and Electrical Propulsion at the Technical University Vienna is the only academic project partner involved in the Smart City Vienna initiative. The initiative designates only limited involvement of the academic education in the implementation of the smart cities concept. The EU-ASCIN project aims to fill this gap in the Smart City Vienna initiative and to contribute to the development of an independent smart cities study program.

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2.2 Project Framework 2.2.1 Involved Institutions The UAS Technikum Wien got involved in smart cities sub areas through existing study programs. On the one hand bachelor´s program Transport and Environment extensively covers the area of Smart Mobility. On the other hand bachelor´s program Urban Renewable Energy Technologies and master´s Renewable Urban Energy Systems are dealing in the large extent with the sub areas of Smart Energy and Smart Environment. UAS Technikum Wien has already participated in a number of national and international projects in the research area of renewable energy systems in the past several years. UAS Technikum Wien is the only institution responsible for the realization of the EU-ASCIN project. Departments “Information Engineering and Security” and “Renewable Energy” have commonly submitted the project proposal. These two departments are responsible for the technical implementation of the project with the goal to increase competence in the smart cities sub-areas smart mobility and smart energy and to initiate cooperation with other academic organizations. Project management of EU-ASCIN underlies the area of responsibility of MOOSMOAR Energies OG, which is an external consulting company with the main emphasis on renewable energy systems. Endowed professorship for career field research and gender mainstreaming and diversity management representative are also involved in the project implementation process. The sub-goals of the EU-ASCIN project are examination of the existing job market and consideration of the gender aspects. The questions to answer from this point of view are: which job options are offered by the market, which areas are still not covered by existing educational programs and what are future job positions resulting from developments in the smart city area. In the light of the latest research programs, which aim to establish equal opportunities despite differences in age, gender, cultural and ethnic backgrounds, education, career and other fields of life, gender and diversity aspect should also be considered. Thus, EU-ASCIN pursues the idea of equality from begin on in form of consistent screening of the project activities with respect to diversity and gender equality. One of the main ideas of the EU-ASCIN project is the establishment of the partner cooperation on the academic education and research level. For this purpose several project partners were chosen.

Fig. 1: EU-ASCIN project partners.

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Project partners` main role is to contribute with their ideas, their own contacts and partnerships, their professional know-how to the development of the academic network and smart cities study program. Those cooperation partners include Austrian Institute of Technology (AIT), Women In Mobility & Energy, Environment Network (WIMEN) and Steinbeis transfer centre at the university Ulm in Germany. AIT, department Energy and Mobility is the program coordinator of the EU-Initiative for smart cities and project manager of the “Joint Programme for Smart Cities of the European Energy Research Alliance”2. UAS Technikum Wien and AIT are involved into EU strategy-process for education – SET Plan Education and Training Initiative for Photovoltaic Solar Energy. WIMEN is network of women, which perform extensive work in the areas of mobility, energy and environment. Steinbeis center for decentralized and renewable energy systems maintains the European Network of Danube Universities. University Ulm areas of research are smart grids, smart cities and renewable energy. The cooperation between University Ulm and UAS Technikum Wien exists since 2012. Cooperation was performed in form of a summer academy “Green Waves Summer School” with emphasis on renewable energy. The involvement of the project partners includes several workshops and meetings during the whole project run-time. As mentioned above, cooperation partners contribute with their know-how and participate in the project in role of councillors in cases where their knowledge is needed. Second point of this cooperation is collective elaboration of the smart cities study program, where project partners can share their work experience and practical knowledge. This contribution is essential, as the study program should cover the future needs of the job market. Further goal of this cooperation is the joint maintenance of the set up educational and informational platform, where project partners can provide relevant information for the students, lecturers and people involved. 2.2.2 Project run-time and funding

EU-ASCIN project proposal was submitted within the framework of the 14. Announcement of Universities of Applied Sciences Funding Program “Internationalization of Education and Research” provided the municipal government of the city of Vienna. Project is planned for the total run-time of 3 years, starting in November of 2013. The set up Web-platform and implemented smart cities study program will be maintained after project completion. 2.3 Project Goals EU-ASCIN aims to establish an academic network in the area of smart cities based on the cooperation with international universities in Central and Southeastern Europe. Bachelor´s degree programs Urban Renewable Energy Technologies and Transportation and Environment as well as master´s degree programs Renewable Urban Energy Systems and Intelligent Transport Systems at the UAS Technikum Wien are extensively involved into sub-areas of smart cities. Within the framework of this project, these study programs will be elaborated and a new international interdisciplinary “Smart Cities” specialization will be established. Using provided competence in the area of smart cities, the visibility and presence of the smart cities theme in the wide public will be enhanced. Beyond the specialization “Smart Cities” all possibilities for a joint degree study program will be evaluated. Onwards the presentation of the network should be implemented by a Web-platform, which provides information and details to recent technological innovations and upcoming events. The platform presents the know-how of the project partners for the possibility of future cooperation and joint research proposals. Beyond the idea of expert-forum, platform will address students and research-staff who are interested in the study possibilities at the universities of cooperation partners. From the project framework analysis 3 main objectives could be defined. The graphical representation of those can be found below.

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Fig. 2: EU-ASCIN project goals.

2.3.1

Establishment of the international academic smart cities network

The main goal of the project is the establishment of the academic smart cities network, resulting from the cooperation with the international universities in central Europe and Southeastern region. The network shall provide important contacts for the future project cooperation and joint degree programs. 2.3.2 Integration of the Smart Cities Subject in education programs There is already successfully implemented cooperation with other academic institutions, which are manifested in several double degrees programs at the UAS Technikum Wien. Inter alia, these programs are European master`s of science in Intelligent Transport Systems in cooperation with the Linköping University and Czech Technical University and double degree program Information Systems Management in cooperation with Kharkov National University of Economics. Based on these long- standing experiences with multiple degrees programs an own smart cities study program can be developed. For this purpose the established cooperation with the project partners can be of particular use. 2.3.3 Scientific Presence The two sub goals of this goal are: firstly, implementation of the Smart Cities Conference Vienna, which aims to establish the city of Vienna as international centre of competence for smart cities research and development; secondly, development of the Smart Cities information and education platform which should provide people interested in smart cities subject with relevant information, as technical innovation, legislative regulations, recent events, cooperation and possible funding opportunities for research projects. Educational platform offers a possibility to enhance the competence using the e-learning methods. Smart Cities Conference Vienna is the finale step of the EU-ASCIN project. UAS Technikum Wien and cooperation partners together with the municipal government of the city of Vienna will organise a scientific conference. The program with duration of one or several days will link the highlights from the scientific community and will represent in particular most significant projects in the economic environment of the city of Vienna. One of the important issues of the conference will be gender and diversity aspect. Inspired by the Intelligent Transport Systems (ITS) Congress in Vienna, 2012 Smart Cities Conference will emphasize “Women in Smart Cities” aspect and offer various possibilities for participation and meetings.

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3

RELATED PROJECTS AND NETWORKS

3.1 The North See Region Programm 2007-2013 The North Sea Region Programme is a EU-level cooperation project involving Sweden, Denmark, Germany, the Nederland, the Flemish Region of Belgium, the UK and Norway. These countries are connected by the North Sea and share many of the common problems and challenges. The main objective of the cooperation is to share the know-how and experiences, to ensure higher quality of life, sustainable and balanced future in provided region.3 One of the projects implemented within the framework of the North See Region Programme is the Smart Cities project. The general purpose of the project is to interconnect the governments and academic partners, using ICT technology and e-services in particular. The project includes implementation of the Smart Cities Regional Academic Network, which is led by Edinburgh Napier University. The network partners include the Edinburgh Napier University, MEMORI and UAS Oldenburg, commercial and several associate partners from across the North See Region.4 The academic network plays supportive role in the project, by offering practical knowledge, implementing pilot projects, defining white papers and providing good practical methodologies. Academic partners work in close cooperation with the municipal governments to improve e-services, by implementing local IT-infrastructure, developing surveys and analytical tools. 3.2 RCE Vienna Regional Centre of Expertise on Education for Sustainable Development Vienna is a network of existing academic organisations with the main objective to provide higher education level for sustainable development to local and regional communities. The project implements an interdisciplinary, informational and educational communication platform for promoting sustainable development concepts among the regional stakeholders.5 The relevant themes of the RCE Vienna are sustainable urban and regional development, smart cities themes and processes, climate change and sustainable entrepreneurship. Several projects in these areas are “Green Buildings Solutions”, “Eco-Mobility in the Austrian-Hungarian boarder region (EMAH)” and “Sustainability Challenge”. “Green Buildings Solutions” is a three-week summerschool program with the main theme of energy-efficient building, urban planning, passive house concepts and renewable energy sources. EMAH project looks into mobility behaviour of local residents in the AustroHungarian boarder region with the main goal to jointly develop eco-mobility concepts. “Sustainability Challenge” is an interdisciplinary study program with emphasis on sustainable and resilient development in the area of smart cities. Program includes lectures on e-governance, sociological and ecological aspects, climate change and sustainable urban planning. 3.3 SMART Community – Technology – City, TU Wien Research centre for Energy and Environment at the Vienna University of Technology is a cross-faculty network, which deals with several smart cities sub-aspects. The network includes more than 20 lecturers and their assistants from more than eight faculties, which are organised in 19 working groups. Research fields of the SMART community include energy sustainable housing and infrastructure; sustainable and low-emission mobility; climate-neutral energy generation, storage and distribution; environmental monitoring and climatechange; efficient use of fissile resources; and sustainable technologies, products and production. SMART community also offers several lectures dealing with sub-aspects of smart cities, enterprise services, research projects implementation and know-how exchange. 6 4 UAS TECHNIKUM WIEN IN THE CONTEXT OF SMART CITIES Smart cities concept introduces the cities of future, which are more sustainable, resilient, energy efficient, resident friendly and offer higher quality of life for all population groups. The numerous definitions of smart cities, consider at least the areas of Smart Mobility, Smart Environment, Smart Government, Smart Living, Smart Economy and Smart People. UAS Technikum Wien intentionally delimits its scope of themes, and concentrates on 3 sub-aspects of smart cities, such as smart people, smart energy and smart mobility. The sub-aspect of smart people includes stateof-the-art education, active citizen participation in smart city concept and social awareness. UAS Technikum Wien identifies itself as a role model and forerunner for societal opinion, therby the aspect of smart people is the key aspect in implementation of smart cities concept.
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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Smart mobility is the main research area of the bachelor’s degree program Transport and Environment and master´s degree program Intelligent Transport Systems. Smart Energy is the field of employment of bachelor´s degree program Urban Renewable Energy Technologies and master´s degree program Renewable Urban Energy Systems. Exisiting study programs each concentrates on own sub-area, unaware of possible synergies and cooperation possibilities. After introducing the area of smart cities in the scientific community and since the inception of the Smart City Vienna Initiative in 2011, UAS Technikum Wien is designated to set up the competence and offer networked and joint study course in smart cities. As it can be seen from the related projects in 3. Related Projects And Networks, there is no particular study program in smart cities, each project offers own focus, either on energy or on mobility. The main goal of the UAS Technikum Wien in this context is to fill the gap on the educational and research level, by introducing an integrative system approach, where smart mobility and smart energy are interconnected and expanded by the aspects of the ICT and urban planing. EU-ASCIN project is the first scheduled step towards the hollistic integration of the smart cities theme in the educational program. Subsequently existing study programs should provide a well-founded basis to build on the smart cities competence.

Fig. 3: EU-ASCIN topics

4.1 Smart Mobility Smart Mobility is a sub-aspect of smart cities, which focuses on energy efficient, low-emission, safe, comfortable, economically efficient and accessible transportation modes. People take an active part in this concept by living the smart cities concept and choosing consciously “intelligent” solution. Definition of the smart mobility emphasizes in the first line optimized and intelligent use of the infrastructure, considering existing state of the art information and communication technologies. Main driver indicators of smart mobility according to Boyd Cohen are mixed-modal access, clean and non-motorized options and integrated ICT.7 Bachelor´s degree program at UAS Technikum Wien with duration of 6 semester focuses on telematics, traffic management, traffic information systems, multimodal transportation modes, environmental aspects of the traffic engineering, electro mobility, driver assistance systems and traffic simulation. The number of student projects aim to implement the theoretical fundamentals in state of the art technical projects. Those projects include smartphone app development for traffic information, indoor navigation, multimodal ticketing, software development for traffic simulation, fleet management, and container management, methodical analysis of traffic survey, congestions and routing optimization. The ambitions of this study program are to provide students with wide and well-founded basic knowledge, which can be deepened in following master´s degree program Intelligent Transport Systems.

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By introducing the concept of Smart Cities, these two study programs will be enhanced and interconnected with renewable energy aspects, practical implementation of electro mobility concept and alternative propulsion types. 4.2 Smart Energy Smart Energy is the core concept of smart cities, with the main objective to provide future smart city residents with climate-friendly, available and high quality living space and to support their needs according to the sustainable economy concepts. Smart energy includes energy- and resource-efficient concepts primarily based on renewable energy technology concepts. These concepts are using resilient resource systems and innovative approaches for strategic planning. The use of the ICT is an important part of smart energy concept. The area of smart energy covers wide thematic aspects as energy generation, energyconscious buildings design, urban planning and smart grids. Boyd Cohen includes smart energy as main driver of smart environment sub-aspect.7 The Urban Renewable Energy Technologies bachelor’s degree program offers a well-founded education with three topical focuses: renewable energy technologies, industrial-scale plants and buildings – energy – design. Students learn how to develop and set up the power supply systems of the future as well as how to dimension these systems and combine them into an integrated system to provide the world with the power it needs. The knowledge acquired during the bachelor´s degree can be enhanced by following up master´s degree program in Renewable Urban Energy Systems. 4.3 Future Study Programs By using synergies of the both areas of smart mobility and smart energy, and by the expertise and wellfounded technical competence, a new specialization in the area of smart cities becomes possible. In the first line it is a good chance to implement first cross-faculty study courses and subsequently joint research projects. Additionally, after successful cooperation of both faculties and using emerged network contacts from EU-ASCIN an own joint degree master´s program is also conceivable. 5 CURRENT STATUS OF THE PROJECT The implementation of the EU-ASCIN project can be devided into 4 main parts: conception and planing stage; implementation phase with start-up projects; visibility and public work; and supervising project management. The subject of gender and diversity monitoring is an integrate part of all project phases. Currently EU-ASCIN project is on the midway in the conception and planning phase, with workpackages 1 and 2 beeing completed. Within the workpackage 3 a workshop with project partners will be held, this workpackage is already planned and organized. Independent from the project plan, the first steps towards information and communication platform are beeing made. A Web page of the project has been published, providing in the first line project key facts and additional information about project partners. The next step of the project determines detailed conception and further implementation of the platform, considering the input of the project partners from the workshop. 5.1 Conception and Planning 5.1.1 Work package (WP) 1

The project started in November 2013 with the conception and planing phase. Within the WP1 the current status of national and international activities in the research and development area of smart cities was evaluated. The main goals of the WP1 are on the one hand to define the positioning of the UAS Technikum Wien in the smart cities research context and to define the focus of possible research and study areas and on the other hand to provide the demand analysis of the job market in smart cities relevant areas. The WP1 was implemented jointly by teams of smart mobility and smart energy each with their own focus. The result of the this workpackage is summarized in a report with the main focus on economic area of the city of Vienna. According to this workpackage, UAS Technikum Wien is placing its own activities in the smart cities mainly in the thematic areas of urban energy technologies, environment, transportation systems and ICT. These areas are disignated to be enhanced and integrated in an own study focus.Within the reasearch work, the gaps
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in the existing smart cities academic projects and smart cities educational programs have been determined. The main gap emerged is the missing interconnection between the energy and mobility areas. EU-ASCIN aims to fill this gap by considering the isolated interconnection between energy, mobility and ICT technologies. Furthermore, within the WP1 the decision was made to use existing endowed professorship position for carreer field research at the UAS Technikum Wien for the demand analysis of job market in smart cities area.The knowledge of the endowed professorship was already used in the preparation and design of several study programs. Many years of experience on this field should be used to consider the demands of professional market from begin on in smart cities study program design. Using the scientific methods and practical approach, a report considering job market analysis will be provided. 5.1.2 Work package (WP) 2

Existing smart cities networks were evaluated within the conception phase aiming to find possible synergies and potential partners. The objective of the WP2 is to consider the experiences of existing smart cities networks in EU-ASCIN project and to establish the interconnection to the future informational and educational platform. Within the WP2 the cooperation partners of the EU-ASCIN project were designated. There already existing cooperation within the Energy and Transportation area with Austrian Institute of Technology and European Network of Danube Universities (Ulm). The result of this work package will be concentrated in an own report, providing overview over existing academic networks, their main objectives and methodical approach. Furthermore, report will provide recommendations concerning cooperation and synergy possibilities. 5.1.3 Further Steps

According to the project plan, the next phases after conception and planning are the implementation phase and public work. The future work packages and next steps can be found in the table below.
Phase Conception and Planning Phase WP WP1 WP2 WP3 WP4 WP5 WP6 WP7 WP8 WP9 WP10 WP11 WP12 WP13 Description Evaluation Smart Cities activities in research and development Evaluation Smart Cities networks Workshop with the project partners Initiate research cooperation with network partners Design and planning of study programs Design and planning of informational and educational platform Develop study programs Implementing international student projects Implementing and shaping of informational and educational platform Prepare research proposal Publication study programs Release informational and platform Smart Cities Conference Vienna Expected Results Report containing research and development activities, including gender and diversity aspect and demand analysis of the job market Report containing existing networks in the area of smart cities Workshop report, gender and diversity review Research map Brief descriptions of study programs and concepts for student projects Concept paper Curriculum matrix and detailed content of teaching An international student project is performed Document content analysis, screen design, specification to hardware and software; Platform is online Innovative project idea is selected; Call for submission is found; Research proposal is written; Study programs are online Platform is approved for network partners and the general public Conference theme is set, tender is finalized; conference platform is online; conference is organized and conference content is finalized;

Visibility and Implementation Public Work Phase

educational

Project Management

WP14

Gender and Diversity Monitoring

On-going review of gender and diversity management; an annual gender and diversity monitoring report is provided

Table 1: EU-ASCIN work packages

6 CONCLUSION After evaluating the current smart cities activities and existing academic research status it can be concluded that a lot of projects are simply restricted to particular aspects of smart cities concept. It has been determined that there is a number of study programs at several universities which focus on selected sub-aspect of smart cities, such as telematics, energy management, renewable energy systems, traffic management, information and communication technology, solar technology, urban planing, etc.

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As the motivation for EU-ASCIN project, it also has been observed that only a few joint projects exist, which are using synergies between individual sub-aspects, and no study program exist which provides interconected courses and hollistic knowledge in smart cities context. UAS Technikum Wien is going to fill this gap by providing the first of its kind smart cities course with the possibility for an own study program, which considers gender and diversity aspects and is wholly disigned considering the requirements of the job market. Finally UAS Technikum Wien will use developed competence in the smart cities areas to expand own fields of research and submit new projects. 7 REFERENCES

1. Smart City Vienna Initiative. https://smartcity.wien.at/site/en/. 28.01.2014 2. Joint programme on smart cities. http://www.eera-set.eu/index.php?index=30. 28.01.2014 3. The North See Region Programm 2007-2013. http://www.northsearegion.eu/ivb/content/show/&tid=96. 28.01.2014 4. Smart Cities. http://www.smartcities.info/academic-work. 28.01.2014 5. RCE Vienna. http://www.rce-vienna.at/about-us/relevance/. 28.01.2014 6. Smart Community TU Vienna. http://energiewelten.tuwien.ac.at/forschung/smartcity/. 28.01.2014 7. Boyd Cohen. Smart Cities Wheel. http://www.ubmfuturecities.com/author.asp?section_id=219&doc_id=524053& f_src=ubmfuturecities_section_219. 28.01.2014

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reviewed paper Externalities and Local Government Policy as Braking Factors of the Development of Water Supply Systems in the Russian Towns Andrey D. Maksimov
(Professor doctor Andrey D. Maksimov, Perm national research polytechnic university, member of the Board of Directors “Uralvodokanal”, 29, Komsomolsky str., Perm, Russia, amaksimov1955@yandex.ru)

1 ABSTRACT The article deals with the analysis in activity losses of water-supply systems in small and average towns of the Russian Federation, considering preconditions and factors of unproductive expenses. The research is made on the example of the LLC "Uralvodokanal" in Dobryanka in Perm Region – a typical representative of the town of the Russian Federation. Such settlements are characterized by having centralized engineering networks as well as high proportion of housing without modern conveniences. Noted problems are mainly acute in the country towns with the population of 10 - 50 thousand people. The maintenance of the housing and urban (utility) services (HUS) operability comes first in Russia. There are strong reasons to that: • • • • high level of depreciation of the housing stock, urban infrastructure and fixed assets of the resourcesupplying organizations (RSO); levels of HUS costs have dramatically increased, compared to the average wages in the Russian Federation; reduction tendencies development in the municipal budgets formation and decrease in opportunities of local governments to solve problems of housing and utility services; increase of social tension due to the objective growth of tariffs for housing and urban services.

As it is defined by the theory, negative externality effects appear in the conditions of property rights “washing out” and lack of economic feasibility of the transaction expenses connected with protection of these rights. The typical aspects of resource-supplying organizations (RSO) functioning are: shipping opportunities, law nihilism and management companies "cloning", deliberate bankruptcy of consumers, unauthorized inserts in resource transportation systems, etc. As a result all negative externalities find reflection in the increase of tariffs which leads to the decrease of service quality. Losses from externalities with the limit coefficients for tariffs growth set by federal authorities significantly reduce a share of productive costs. Low efficiency of regulatory base and poor performance of law-enforcement system not directed against unauthorized consumption, result in a steady increase of burden on conscientious consumers. Consequently, it leads to the growth of opportunism, reduction of a conscientious consumers share and inevitable destruction of infrastructure as a whole. The main proposed directions to resolve this situation are: • • • improvement of the regulatory base of housing and urban services; defining a measure of territory leaders responsibilities for infrastructure operability and formation of their participation mechanisms in regulation of managing companies and RSO; effective formation of infrastructure projects sources of financing in small country towns of the Russian Federation.

2 ABNORMAL EFFICIENCY LLC "Uralvodokanal" was created in 2003 on the basis of assets of the Perm state district power station for operation of systems of water supply and water disposal of the city of Dobryanka by a group of individuals. The company experienced following problems which were defined as paramount: • • • • execution of license obligations; improvement of provided services quality; decrease in expenses for the production activity; objects operation reliability increase.

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From the moment of foundation of the enterprise all the necessary licensing documents to provide the complex solution of questions of water use, operation of subsoil and waste were received. To date all existing license obligations are strictly fulfilled in terms determined by license conditions. For the purpose of the quality improvement water intake from a surface source (the Tyusevsky reservoir) is almost stopped. 100% of water is taken from restored and newly drilled wells except for winter time. Liquid chlorine is excluded from technological process, contact clarifiers are modernized for the purpose of infectious diseases risks among the city population decrease.

Fig.1 A number of non-standard tests in the water intake points and before distributive network entering

Fig.2. Using of artesian wells stock

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Fig.3. Dynamics of consumption of electric energy from 2004 to 2012, thousand KW

Starting From 2004 the capital investments in the amount of 119,0 million rubles ($3.6 mln) were made for ensuring reliability of functioning and decrease in production costs. Those actions allowed to achieve almost accident-free operation and to decrease significantly production expenses by 33,0 million rub per year (more than 30%). The main components of the reduction of the prime cost are as follows:

Fig.4.Expenses on chemical reagents

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Fig.5.Payments for environmental pollution

However the reached expenses decrease didn't lead to the essential increase in an overall performance of the enterprise as a whole and didn’t enhance the investments return for a number of reasons: (1) The most notable factor is objective decrease in physical volumes of realization in water supply and water consumption (35,3% and 40,4% respectively from level of 2004). Thus total cost of services increased by 7,4%, and the revenue of realization – by 2,9% mostly due to the growth of tariffs. In aggregate growth of tariffs and calculations transfer via metering devices, and falling of physical outputs in the average Russian cities continue to support the trend of water utilities’ services physical volumes reduction. (2) The considerable part of the reached economy on expenses is withdrawn by federal natural monopolies due to the advancing growth of their tariffs rates:

Fig.6. Average tariffs for electric energy, rubles/KW

(3) Important economic problem in the conditions of the Russian reality is represented by lack of support, understanding and active counteraction from bodies of local government. The professional price-rating analysis is rather an exception, than an obligatory element of municipalities work. Local government acts to lead pricing bodies (The regional power commission) in the direction of maximum decrease in tariffs to the detriment of system aiming for populist decisions operability proper maintenance, and ignoring moral ethical standards, thus breaking the principle of balance.

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As a result each party seeks for achievement of marginal result instead of achievement of the higher quality of services. The situation is aggravated with restrictive practice of federal regulators, that are set annually without taking into account lifecycle of infrastructure projects.

Fig.7. The comparative analysis of the actual growth of a tariff for water supply services with greatest possible

Fig.8. The comparative analysis of the actual growth of a tariff for water disposal services with greatest possible

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Fig.9. Expenses structure of "Uralvodokanal" for 2004 year

Structure changes of LLC "Uralvodokanal" expenses for the considered period are presented below:

Fig.10. Structure of expenses of "Uralvodokanal" for 2012 year

It is well seen from the data above that expenses are compressed to a limit, internal reserves are almost depleted, the production program (tariff) does not provide funds for development of fixed assets. The number of examples when trusting to luck turns in a technogenic catastrophe, increases in a geometrical progression with time. (4) Judicial proceedings held for the purpose of adjustment decisions unreasonably made by the pricing bodies take away a lot of effort, time and funds. More than 20 judicial proceedings took place with participation of LLC "Uralvodokanal " during the period since January, 2011 (about 75% of total amount – the claims connected with opportunistic behavior of consumers). However even absolutely advantageous

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cases neither reduce the average number of the current assets in receivables, nor provide sufficient decrease in transaction expenses. (5) Expenses connected with continuous pressure from law enforcement authorities are also significant. Local managers have formed the stereotype according to which the lack of financing can be compensated by an increase of pressure strengthening from the administrative and power block. Based on the above it is clear that the private water utility has no alternative options of survival, except further decrease in expenses. Therefore, when internal opportunities are substantially exhausted, the only alternative is to work with outer effects, the majority of which has a negative influence. As it is defined by the theory, negative externality effects appear in the conditions of property rights “washing out” and lack of economic feasibility of the transaction expenses connected with protection of these rights. The typical aspects of resource-supplying organizations (RSO) functioning are: shipping opportunities, law nihilism and management companies "cloning", deliberate bankruptcy of consumers, unauthorized inserts in resource transportation systems, etc. As a result all negative externalities find reflection in the increase of tariffs which leads to the decrease of service quality. Losses from externalities with the limit coefficients for tariffs growth set by federal authorities significantly reduce a share of productive costs. Low efficiency of regulatory base and poor performance of law-enforcement system not directed against unauthorized companies, result in a steady increase of burden on conscientious consumers. Consequently, it leads to the growth of opportunism, reduction of a conscientious consumers share and inevitable destruction of infrastructure as a whole. The situation arising at operation of water folding columns (further in the text – WFC) in the private sector is classical for the water utilities working in small towns. THE ANALYSIS OF LOSSES OF LLC "URALVODOKANAL" DURING THE WORK WITH WFC To date the supply of drinking water to consumers in the economically weaker section residential districts "Komarovo" and "Zadobryanka" (further in the text – the private sector) is carried out in two ways: • • by connection to the water supply system directly in the house; by water supply through street WFC. 3

In the first case subscribers pay off with RSO – "Uralvodokanal" according to indications of water metering devices, the installation of which are obligatory for subscribers. In the second case the subscribers of the WFC pay off according to the rates of water consumption approved for this category of the consumers. Ideally, the volume of water lifted by a water utility should be equal to the volume of water realized to consumers. In practice, the volume of water realized (paid by consumers) in the private sector is much less than the volume of water given to a water supply system (tabl. 1).
No. 1 2 3 3.1 3.2 3.3 3.4 3.5 Indicator The volume of the lifted water The volume of the realized (paid) water Water losses, including: The technological Error of metering devices of water (further in the text- MDW) Leaks through consolidations of network fittings Losses at the expense of natural losses Unauthorized (unpaid) analysis of water through WFC Unit of measure cubic meter cubic meter cubic meter cubic meter cubic meter cubic meter cubic meter cubic meter Quantity 8 584,7 3 490,7 5 094 502,0 482,0 1 977,0 107,0 2 026

Table 1: The analysis of average monthly indicators on water supply of the private sector in 2013 year.

As shown in the table above, water losses in the private sector (without modern conviences) make up 5 094,0 cubic meters or 59,3%, which brings up a question about economic efficiency of rendered services in water supply. The structure of water losses is presented in the chart. The chart visually presents that the greatest specific weight – 39,77% is occupie unauthorized water consumption through WFC. The analysis made by company specialists the showed that unauthorized consumption of water includes:

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• •

water consumption by the accidental consumers who don't have contracts for water supply (consumers come to WFC by cars, gain capacities and leave); water consumption by the constant consumers who consciously aren't signing contracts for water supply, proceeding from real or imaginary belief that water in WFC – is a national property for which it is not necessary to pay for, or considering free water supply as a compensation for the absence of other amenities; water consumption by the consumers having contracts for water supply at home through water supply systems with metering devices, but actively using WFC.

•

Fig.11. Structure of losses of water in uncomfortable part of the city of Dobryanka

Using the tariffs rates for 2013 year, it is easy to estimate losses of the water-supply organization in the private sector. Monthly LLC "Uralvodokanal" loses 180 735,12 rubles, including unauthorized consumption of water through WFC – 71 882,48 rubles or 862 589,76 rubles a year. Besides losses, the water utility company should incur expenses on maintenance and elimination of emergencies on WFC, not relying on operation frequency and water consumption volumes. Actions attributed to maintenance and technical repair which are carried out by a water utility company are as follows: • • • • replacement of fast-wearing-out materials WFC (rubber laying, collars); replacement of joints (water intakes); pumping of wells; warming WFC during the winter period.

Maintenance and heating costs were calculated for the one WFC for the purpose of the analysis and optimization which made 4 903,75 rubles and 2 452, 34 rubles respectively. For 2012 year 17 water pumps were repaired and 15 of them were warmed. Based on the data above, "Uralvodokanal's" annual operational expenses under this budget line made 120 148,85 rubles. 4 THE DECISION OF "A PROBLEM OF THE FREE RIDER" AT WFC OPERATION Summarizing the above "Uralvodokanal" annually incurs losses from unauthorized consumption of water through WFC of 862 589,76 rubles and maintenance and warming costs of 120 148,85 rubles with WFC providing conscientious customers with drinking water according to the current legislation. Total expenses connected in operation of WFC are 982 738,61 rubles (about 1% of total amount of realization which

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significantly decreases the profitability which does not exceed 5%,) which, finally, finds reflection in the tariff rates for water supply. The analysis shows that the established practice of subjective, most often populist decisions in forming tariffs practically leads to a lack of liquidity. The structure of expenses of "Uralvodokanal" eloquently testifies to it (see above). Therefore any insignificant options of economy of expenses, even at first sight, can't remain unnoticed. The volume and structure of expenses for WFC operation convincingly show necessity of their reduction, the analysis prompts solutions for current situation. The main alternative of operation of WFC remains installing a water supply system to subscribers in each house or apartment. Water supply system will allow: • • • to stop unauthorized consumption of water through WFC; to avoid expenses for WFC maintenance; to organize the exact accounting of volumes of the realized water by installation of metric devices.

Nevertheless not all customers ideologically and financially ready to install a water supply system in the house or the apartment. Having possibilities of uncontrolled consumption of water, including temporary conduits (for example, made rubber hoses) many consumers do not support the offer, but also actively counteract against it. It is obvious that their financial benefit is received from pockets of other consumers, i.e. classical "the effect of the free rider" takes place. The analysis shows that on condition of payment of the cost of materials (approximately 3.5 thousand rubles), and other expenses are gratuitous, the expense of a water utility is economically justified. The average cost of works on laying 25 meters of water supply system with installation of a well and a metering device makes 13 427,44 rubles. Today 197 contracts for rendering services of water supply through WFC are signed. The water utility company’s expenses of water supply system laying will make up 2 645 205, 68 rubles counting all the consumers. The payback period of the project is estimated to be 2.7 years taking into account that the water utility will save 982 738, 61 a year in case of termination of operations of WFC. However implementation of questions: • • this economically obvious project demands to resolve two fundamental

to define a source of financing of works; to keep a component providing economic payback of the project in a tariff rate.

The question of the work financing is the most difficult. Sources of development financing or even preservation of system of water supply/water disposal in a good condition were and continue to remain almost not resolved issue. The practice of covering losses of municipal water utilities developed in the majority of regions is unacceptable for subjects with alternative forms of ownership like, for example, LLC "Uralvodokanal". The main sources of financing of "Uralvodokanal’s" projects of development remain the money of the business firms which have been given out under guarantees of owners of fixed assets in the form of loans and financial rent. However efficiency of use of such financing remains below any criticism for two reasons: • • the price of a resource is 4-5 points higher than the bank; payments of percent on the loans obtained from the commercial organizations don't join in the production program also are repaid from profit of RSO which is almost zero at the moment.

A bank loan for "Uralvodokanal" is still unavailable because there are no financial institutions which accepts to credit socially focused business in Russia. This means a system mistrust of the banking system to the state pricing bodies – the Regional power commissions, and an impasse in development of state-private partnership in the sphere of housing and communal services. A real step of creation of partnership in this sphere could become budgetary guarantees of the target credits for implementation of economically reasonable projects similar to an exception of WFC from the water supply system.

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5 CONCLUSION To summarize, it is necessary to note that the considered problem has systematic character. In addition, the necessity of its solution is obvious to all, from the highest levels of power to private consumers. The main proposed directions to resolve this situation are: • • • improvement of the regulatory base of housing and urban services; defining a measure of territory leaders responsibilities for infrastructure operability and formation of their participation mechanisms in regulation of managing companies and RSO; effective formation of infrastructure projects sources of financing in small country towns of the Russian Federation.

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REFERENCES

In Krasnokamsk scandal. The new conduit doesn't work. The water utility with fear waits for bankruptcy// Perm: nesekretno. Vol. 20, 2013 MAKSIMOV A.D. KUZNETSOV YA.A. Theory and methodology of development of the institutional environment of business. Perm: PGTU publishing house, 2008

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reviewed paper

Pp. 227-238 had to be removed due to conference non-attendance of any of the paper authors.

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reviewed paper Games in Urban Planning – a Comparative Study Bärbel Reinart, Alenka Poplin
(Bärbel Reinart M.Sc., HafenCity University, Überseeallee 16, 20457 Hamburg, baerbel.reinart@hcu-hamburg.de) (Prof. Dr.-Ing. Alenka Poplin, HafenCity University, Überseeallee 16, 20457 Hamburg, alenka.poplin@hcu-hamburg.de)

1 ABSTRACT The purpose of this paper is to show and discuss the results of a comparative study of games for urban planning. We provide an overview of the selected games available on the market. Because of the variety of offered games, we decided to group them in categories distinguishing among non-digital/traditional, digital and pervasive. The group of non-digital/traditional games includes some well-known, but also some recently developed games: Broken Cities, CLUG, Ginkgopolis, Masterplan, Neue Heimat, Pop-up Pest, Stadtspieler and The Harbour Game. In the category of digital games we considered: Anno, City One, Civilisation, Community PlanIt, Green Sight City, Minecraft/Block by block, Plasticity, Securing Sydney´s Urban Planning, SimCity and Surfing Global Change. The category of pervasive games included: Mogi, PacManhattan and REXplorer. We compared them according to the predefined criteria including participation, interaction, realistic visualization, learning effect and knowledge transfer. One of the positive aspects comprehended that there are some games used for integrating people in urban planning processes. The critical aspects included that there are many games focusing on urban planning issues, but only little were used for integrating people in active urban planning processes. We conclude our paper with a critical discussion of the results of our study and a reflection about further research on games for urban planning. 2 INTRODUCTION The development and implementation of games in urban planning is an emerging research and application area. Games can show abstract and very specific planning processes in a playful way. Players can take on different roles in a game and act according to the unique requirements and rules of the game. For example, an environmental activist and a real estate investor can make different decisions due to their different roles in an urban planning process. Research about games in urban planning (Abt 1972, Sanoff 2000, Borries; Böttger; Walz 2006, Lange 2007, Poplin 2011) discusses the use of games for attracting people to participate and learn about urban planning processes in a playful way. It can be seen as an advantage in which games can enable players to make decisions in an experimental, game-based environment (Sanoff 2000, page 76-79). Related to urban areas von Borries explains: “Spaces are realized in another way during playing in them. Not just simulation is in the front, also engagement and enthusiasm of the actor and so the examination of the gaming object – the city” (Borries; Böttger; Walz 2006, page 43). In addition, games are also often criticized, because they predominantly implicate fun. These are the most common and popular games which have purely an amusement function. Furthermore, there are serious games, which include in addition to entertainment serious aspects. One of the first experts Clark C. Abt defines serious games as: “Games which achieve an explicit, cautious, educational function and whose major feature is not just entertainment. That does not mean games should not be enjoyable; they can be used to impart knowledge in a playful way” (Abt 1972, page 5 ff.). This leads us to an important question: Are there actually games, which can entertain people and simultaneously animate them to participate in applied planning processes as well as facilitate learning about the current process in a playful way? This question motivates us in our research. The structure of this article is as follows: In Section 3 we review the different groups of games which are relevant for this paper. In Section 4 we explain the research methodology, and the evaluation and results of the comparative study. In the same section we critically discuss the results. Conclusions and ideas for further research are presented in Section 5. 3 SELECTED GROUPS OF GAMES FOCUSED ON CITIES The game industry is multifaceted and the focus on cities is very popular. Some of them are serious and include realistic visualizations of the city or city district. A few games also enable knowledge transfer, which means that concrete information about a planning situation is given. Many of them just aim to entertain the

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player. In this paper we distinguish among three categories of games: non-digital/traditional, digital and pervasive games. This three groups cover most of all games. This games can be serious or just used for entertainment. Non-digital/traditional games can be played without using electronic means or computers. This can be board- and card games like “CLUG”, which is an applied education game. The player learns about influence and relationships of urban growth. Recently, digital games, which use computers and electronic devices, come to the fore in urban planning (Poplin 2012, page 198). PC-games like SimCity are very famous. In this game, the player has to create a successful working city. The third category includes pervasive games, which got popular since the invention of internet and its fusion with GPS-capable mobile telephones. In these games, the borders between virtual and physical almost disappear. According to Montola: “The family of pervasive games is diverse, including individual games ranging from simple singleplayer mobile phone games to artistically and politically ambitious mixed reality events” (Montola 2009, page 7). Recent technology allows completely new playing areas which are used for example by geocaching in the game MOGI. 3.1 Non-digital/traditional games: board- and card games This group includes well known, but also recently developed games. The selection covers the description of the following games: Broken Cities, CLUG, Ginkgopolis, Masterplan, Neue Heimat, Pop-up Pest, Stadtspieler and The Harbour Game. Broken Cities: is a competitive city building game published in 2011. At the beginning of this role-play, the user has to choose whether he wants to be a polluting profit chasing landlord or a green-minded real estate mogul. It is placed in an abstract real world. The player can see the consequences of his decisions in realtime. The interaction consists of dealing with implications of other players decisions irrespective of how their own team behaves (Suarez; de Suarez; Juhola 2011). CLUG (Community Land Use Game): 1965 developed by Allan G. Feldt as a game for education. It is based on a board with 144 squares representing lots of land. The transport is operated on the streets. A port, a terminal and a supply center are included in the game. One player acts as a moderator and takes the part of an instructor. He works as a neutral visitor and defines the rules of the game, keeps the rules observation, gets the transport fee and can also announce unexpected catastrophes. The use of this game is to show the player essential relationships, which determine the urban growth (Diekmann; Leppert 1978, page 51-58). Ginkgopolis: entered the market in 2012 as a strategy card game. The player represents an urban planner. The activity is composed of designing, developing and controlling a city. It offers high interaction because all players are permanently involved in the game by overbuilding and replacing each other. To reach the goal, the player has to collect points of success via planning, urbanizing and building (Z-Man Games 2014). Masterplan: was generated in 2011 as a tactical game for two persons. The board game shows a masterplan and the included figures are houses, parks and towers. The game process provides the possibility to construct a city on the masterplan. The goal of this game is to build houses as close as possible to the parks and towers to get the most winning points (Lach; Rapp 2013). Neue Heimat: was also published in 2011 and deals with urban topics and actors like a mayor, real estate investor, speculator, special permit or local recreation area. The gaming process allows real estate speculation. New plans of land development, new deals in credits as well as new buildings can arise. Interaction runs through the whole game because there are no waiting times for each player. There is no “next to you”, all players are permanent in the game with buying something at an auction (Zoch 2013). Pop-up Pest: was presented as educational game in 2012. This game was especially made for children, which live in Budapest, Hungary. According to their wishes, they could design the city and make fictive urban plans. The lying on the floor game board is 25 m2 and shows the map of Pest (part of Budapest). Pest includes touristic attractions as well as a deprived area with urban deficiencies. The children who played the game, live in this part of Budapest and should express their needs and wishes in their environment via Popup Pest. There were several missions to fulfill. Urban interventions were symbolized by building blocks, which are divided into: environment, transportation and culture. Interaction took place by acting together, collaborating with other players, helping each other, working in a community and discussing about urban planning issues. The player took on different roles during the game. The purpose of Pop-up Pest was to

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support children in learning about their environment as well as understanding possible changes in urban spaces (Tóth; Poplin 2013). Stadtspieler: was published in 2003 in Leipzig, Germany. Since then it has been often used in civic participation processes in urban and regional development. The game bases on a board which can be adapted of particular situations (Fig. 1). The attendant city can be built with putty by the players during the game. The purpose of the game is to create a high quality living environment. To reach this goal permanent roleplay is intended. Communication is crucial and the players can develop a common level of language over the game. Interaction turns out to be informing, creating, communicating, controlling, analyzing and evaluating. This game makes the complexity of planning processes practical (Ullrich; Pohl 2005, page 38-40).

Figure 1: Stadtspieler event with TRENDBÜRO Hamburg 2011(Photo: Felix Borkenau) and the game board. www.stadtspieler.com

The Harbour Game: was developed in 2003 as a mixed reality game. It aims to promote the development of the harbor in Aarhus, Denmark. The port is built on a large game board. The players can discuss possible problems and ideas, inform others about the development and share texts and photos. There are two playing alternatives: An expert-mode with complex rules and detailed information and an public-mode with simple rules and abstract problems. In planning processes people mostly are integrated after a plan has been finished. The purpose of the game is to change the existing procedures in urban planning and integrate people earlier in the process. (Lossing; Nielsen; Lykke-Olsen; Delman 2007, page 388). 3.2 Digital games: PC-games First games for computers were researched and designed at universities. With an emerging distribution of personal computers and gambling machines (later consoles), PC-games became popular also among the citizens (Lange 2007, page 16 - 19). Today, the technical progress makes games in fictive 3D-visualizations possible. The player can get a feeling of being directly in the virtual world. By now the industry of PC-games is a mass market and serves various games for different user groups. We considered games, which deal with urban planning aspects and selected the following: Anno, City One, Civilisation, Community PlanIt, Green Sight City, Minecraft/Block by block, Plasticity, Securing Sydney´s Urban Planning, SimCity and Surfing Global Change. Anno: was developed as one player game in 1998 with the aim to simulate economic systems. First the player can colonize an island, build a city and satisfy the inhabitants’ needs. With rising requirements also the missions, that the player has to fulfill, grow up and the steps of civilization become more complex. There are diversified interactions for reaching the main goal: create a prospering city. Many computerized rivals complicate the defense and conquest of the players´ island. All characters in the game are male, which can be considered critically, especially for those who might want to choose a female character. City One: entered the market in 2010 and was created as a serious game by IBM. The base of this simulation game is the reality; there are more than 100 real world scenarios included in the game. It was developed for special users like city planners and government agencies. The main player´s activity is to convert a city through technologies that save water, reduce traffic congestions or by choosing alternative energy sources. Players learn how to balance the city’ interests including finances, environment and sociology. The purpose of the game is to create a green environment with a limited budget. The user can communicate (or interact) with other players or IBM experts (IBM 2014). Civilisation: was designed in 1991 as a global strategy PC-game. It is the player´s job to lead a nation from the Neolithic to the present age, up to colonization of a new planet. The purpose of the game is to assemble

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an own empire which is bigger, more productive and more progressive than the competitor’s one. The aim of this game is to get money and force. Social and ecological aspects grow up in the latest versions. In the meantime interaction is given by diplomatic relations and negotiations with other civilisations (Fischer 2013). Community PlanIt: is an online game platform and part of the research project “Engagement Game Lab” founded at the Emerson College in Boston. This game was produced as a local participation game. The function of the game is to impart joy for planning in a community and additionally to communicate knowledge about the city and community living in the city. Its purpose is to optimize the communication between all stakeholders as well as to share information and involve communities in planning processes. The users can learn about the impact of games, social community planning processes and local participation. Each game can be adapted to particular planning processes in a commune. It is available via facebook and Twitter. First the player has to complete different missions, assist in a planning process, and win money. The players interact, share their stories and show their ideas. They also communicate, discuss and make new connections with other players. The earned money can be pledged to a local project, and the player can make real immediate impact. The purpose of this game is to make better places by the community because the answers and annotations will be used by the planners (Engagement Game Lab 2013). Green Sight City: is a social game which was published by the Daimler-Benz group in 2011. The player can reconstruct an existing city into an ecological one. The economic system can be boosted without getting a gridlock and without additional pollution of the environment. The purpose of the game is to rebuild a common city into an ecologic operating city. Interactions are affected thru other facebook-gamers in replacement, help and giving hints. The aim of this game is to impart knowledge about eco-friendly mobility, renewable energy as well as innovative technologies (Neymeyer 2011). Minecraft: entered the market for single- and multiplayer games in 2011. The player can release recourses in an imaginary world and converts it by using objects needed for building and defending houses. Besides the only action is to fight against computer-based monsters. At first sight this game is not directly connected with urban issues. But since 2013 it is used in real life to get real convertible results. This “Block by block” called game (Fig. 2) is a partner project between Minecraft, UN-Habitat and UN-Agency. It is used for young residents of problematical areas to take part in planning processes. It started in Nairobi, where people could create urban areas with the help of blocks. The purpose of the game is to redesign 300 public places till 2016 (Persson; Bergensten 2011/ Westerberg 2013).

Figure 2: Block by block Playground Undugu. Westerberg 2013.

Plasticity: was used as project for urban planning from 2004 to 2006. It was a multiplayer PC-game with the focus on the city of Bradford. In the first step the players could change the lake´s water level. After that they could implement collaborative strategies for urban planning. Interactions could happen between game designers and urban planners and were based on dialogues. One of the purposes of Plasticity was to enable the residents to experiment playfully and explore their own urban environment. They also could learn collaboration and that they are not able to change their city by themselves. They also could participate in a mutual exchange of suggestions and planning acts (Fuchs 2007, page 370).

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Securing Sydney´s Urban Planning: is the latest developed (2013) computer simulation. It is based on an interactive replication of Sydney´s central business district (CBD). The player can act as the brain of the game; he can measure security problems related to public and private places in the CBD, design and redesign the buildings, etc. This game also offers unforseen events like floods, explosions, emergencies as well as varying weather patterns. It is made for urban planners, architects and developers and is available via facebook and Twitter. Also the exchange between players and experts works via social media. The purpose of the game is to develop the capacity of Sydney´s CBD and to change the way of thinking about the use of space (Strachan 2013). SimCity: the first version appeared on the market in 1989. Several novel versions have been developed since then. The game plays in a virtual world. The player is in the role of the major and has to build up a city from zero. Avatars, called “the sims”, live in the storyline and act like instructors. The factors of influence are broaden to crime, environment, traffic flow, education, infrastructure and missions. The purpose of SimCity is to create a prosper city. The use of waking people´s interest of geographical information software is visible. But there is also criticism, for example social aspects are lacking (Devisch 2011, page 26-30). Surfing Global Change: was designed in 2003 for education as a role game. The player can learn to understand the contents; he can write about and reflects upon his own attitudes, ponder aspects of topics and has the chance to win chips. He gets to know with bargaining of complex consensus. Users of this game can be apprenticed urban planners, architects or civil engineers. In the fore is communication with each other. The use of the game is learning how to bargain in order to reach a solution for the problem. The user can learn about social processes in situations of negotiations (Handler; Trattnigg 2011). 3.3 Pervasive games: games in urban environment Pervasive games are also engaged in topics of cities. New technologies open the possibilities to explore urban areas. The reason why urban games are sold successfully and became mainstream trend, is for example the affordability of GPS technology as well as the social integration via internet (Bitz 2010, page 3). We decided to present three games, which act in urban environment: Mogi, PacManhattan and REXplorer. Mogi: was invented as a multiplayer, location-based role-playing-game in 2000. It was used for geocaching on the streets of Japan. The course of action consists of choosing geocachers from a list and entering coordinates of the geocache into the GPS device. The player can use his GPS device to assist others in finding the hidden geocache. After finding it, he can sign the logbook and return it to its original location. At the end the player can share his stories and photos with other players. They feel united because they can work in teams on common missions. This game combines offline and online activities. The purpose of this game is to explore new ways of interaction (Joffe 2007, page 224). PacManhattan: is one of the most popular video games published as Pac-Man in the USA in 1980. The playground is originally based on a labyrinth which was adopted in Manhattan in 2004. The labyrinth was changed into a map of the city. This adoption aimed to establish a connection between the virtual and the real world. The game consists of controlling a little yellow figure called Pac-Man in the labyrinth. His challenge is to eat a specified amount of “dots” to get points and reach the next level. He is followed by four ghosts. The purpose of the game is to stay alive and collect points as long as possible. In practice, a player wears a Pac-Man-Suit, ranges the area around the Washington Square Park and collects dots along the streets. Four more players are wearing ghost suits and try to catch Pac-Man. They can communicate via mobile device and internet (Lantz 2004; Müller-Lütken 2012). REXplorer: is a pervasive game for tourists published in 2007. It enables mobile guided tours through the city of Regensburg in Germany. It is made for tourists, especially for younger people, to show them the history and culture in a playful way. The story is based on secret mystic symbols written on a gravestone. These symbols are connected with transcendental activities in Regensburg. To research this connection, fictive scientists designed an interactive mobile phone (Fig. 3). They can interact in front of significant buildings. The player gets answers to different questions via this phone. He is guided through the whole city. At the end he can create a souvenir-blog, where he can see and share his experiences of the day. Also a map of his walk is shown on the mobile device (Ballagas; Walz 2007, page 366).

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Figure 3: REXplorer map and technological equipment. Ballagas; Walz 2007, page 367.

4 COMPARATIVE STUDY The aim of our paper is to compare different games according to the predefined criteria. These criteria include participation, interaction, realistic visualization, learning effect and knowledge transfer. In our study we compared twenty-two games shortly described in Section 3. We selected the most popular games as well as some of the recently developed ones. We informed about the use and the publicity and we showed diversified contents as much as possible. We took extracts of the categories non-digital/traditional, digital and pervasive games. First we matched the games inside their three groups and showed the connection between games and criteria. For example we compared inside one group how interaction in each game is given, which methods are used and if there is social media involved. Then we evaluated which one implies all criteria. At the end we presented the results of comparing with positive aspects and critiques. 4.1 Criteria for comparison We focus on participation, interaction, realistic visualization, learning effect and knowledge transfer in our research. “Participation” means that interested people and residents take part in planning processes in concrete places with the help of the game. In our definition the game relates to a practical situation or a planning project. The user´s requests and needs can be included in the planning process and its implementation. A direct link between the game and the development plan can be established within the game environment. “Interaction” consists of talking, writing or discussing with each other. This can happen among the users or in a discussion with experts. They are able to communicate and/or even to compare their notes. The results of their interaction can be exchanged via social media, for example facebook or Twitter. “Realistic visualization” supposes that the story of the game plays in a real, existing city. This city can just be the base of a fictive storyline. But it can also include a real planning process in this urban area. This depends on the particular situation. “Learning effect” is given when players find out something about correlation and interdependency in the planning structure or learn about the city. They can get to know about extensive planning systems by playing the game. They can also argue with other positions and learn about different perceptions. This criterion means common learning effects. In contrast to learning effect, “knowledge transfer” communicates facts and figures about a real planning situation or a practical city. Then concrete information is indispensable in the game. Contents are always linked to the real-world knowledge related to the current projects and places in the city. The more criteria a game exhibits, the merrier it fits to our research question. If there are actually games, which can entertain people and simultaneously animate them to participate in authentic planning processes as well as facilitate learning about the current process in a playful way? 4.2 Results of the comparison We compared the games inside the groups of board- and card games, PC-games and games in urban environment. To represent all games according to the criteria clearly, we made some graphs (figure 4, 5 and 6). The colored fields show the games which are analyzed. The criteria are arranged on the x-axis. It is shown which game includes which criterion. The size of the colored fields is irrelevant, it adapts according to the number of games. In this way it can directly be shown which criterion includes lots of games and which less. We present the quantity of each field.

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4.2.1

Comparing board- and card games

The eight described board- and card games have similarities and differences. Participation was used in four games: Broken Cities, Pop-up Pest, Stadtspieler and The Harbour Game. All games include interaction. Communication was in the fore. In all games player interacted with other users or experts. As shown in Figure 4, realistic visualization was implemented in only three games: Pop-up Pest, Stadtspieler and The Harbour Game. Stadtspieler can be adapted to every planning situation; it inserted realistic visualization as well as participation. Including Broken Cities and CLUG as an official game for education, these five games offer real knowledge transfer and learning effects. People got to know about the complexity of urban planning processes in general. How to discuss and behave as well as what to respect in this process. The Harbour Game gave a lof of information about the needs of Aarhus and the importance of the harbour. Residents could inform them and according to this, they could add their needs and show their ideas. Pop-up Pest was the only game especially made for supporting children in learning about urban planning issues. Ginkgopolis, Masterplan and Neue Heimat are primary tactical games with more entertainment aspects than education. Ginkgopolis and Neue Heimat enable only interaction. We could outline that only three games had realistic visualization: Pop- up Pest, Stadtspieler and The Harbour Game. Four imparted participation and six of eight games had learning effects. Interaction was enabled in all games.

Figure 4: Board- and card games and their criteria.

4.2.2

Comparing PC-games

Only Block by block, Community PlanIt and Securing Sydney´s Urban planning imparted participation. People could take part in the authentic process and their ideas influenced the implementation. Communes continued processing with the outcome of the game. Interaction was all over given. Online games made an exchange with social networks like facebook or Twitter very easy. Thereby the possibility for communication grew and networks could increase. Many games included discussions with experts. It was demonstrative that Minecraft covered just the criterion interaction, but the game which resulted from it (Block by block) covered all criteria. In the field of PC-games it became apparent, that there were many games which focus on entertainment. We could present also some games which had realistic visualization of the real-world cities (Fig.5). These games had real knowledge impact and learning effects. Anno, Civilisation and SimCity are very popular games, but they serve primary entertainment. The player just experienced about little realistic connection in urban planning systems. The learning effect as well as the use for participation function was very low in this three games. Altogether eight games had learning effects and seven games offered knowledge transfer. 4.2.3 Comparing games in urban environment

Participation was completely missing because all games acted in the city, but not in relation to planning processes (Fig. 6). All three games had placement in real-world cities as well as using the urban area as a board in common. The player could move in physical, real-space and was dependent on interactions. Communication and common exchange was essential for the players of the game. This could be enabled via

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networked technology or inside a group. The basis was the reference to the real world. Mogi enables players to learn interacting with geographical information and getting along with maps in the environment. REXplorer is the only game, which conveys real knowledge about a real-world city. The player is guided through the city along important buildings and places of interests. He could learn about the history in a playful way. The characteristics of the game REXplorer were in contrast to the features of PacManhattan. The main challenge was just catching Pac-Man and collecting dots. This game had just an entertaining function and did not involve any education.

Figure 5: PC-games and their criteria.

Figure 6: Games in urban environment and their criteria.

4.3 Discussion Even though we analyzed many games, we just found five games (Block by block, Community PlanIt, Popup Pest, Stadtspieler and The Harbour Game) that match our research question: Are there actually games which can entertain people and simultaneously animate them to participate in applied planning processes as well as to learn about the current process in a playful way? These five games implemented all predefined criteria and were developed with the purpose to support urban planning processes. Pop-up Pest focuses even children in learning about their environment and understanding changes in urban areas. These games might have a crucial impact in current planning processes. They are exemplified and transferable for other projects. Surfing global change was developed as educational game. It focuses on learning effects and interaction but without any realistic visualization. The entertainment function in this game is low. Actually games in urban environment included only few of our criteria; this group did not satisfy our research question. All three games could entertain people, but they were not used for participation in realworld planning processes. These games arose in the recent years due to the novel technological possibilities. We could not find games enabling participation in this group. The selected list is limited and some novel games might be on the market, which include the possibility to participate in urban planning processes. We can conclude that we found five of twenty-two games, which entertain people and simultaneously animate them to participate in real-world planning processes in a playful way. Block by block, Community

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PlanIt, Pop-up Pest, Stadtspieler and The Harbour Game are our current examples for games that combine participation, interaction, realistic visualization, learning effect and knowledge transfer.
Positive aspects: Some games were on practice in urban planning. 5 Critiques: Participation (7 games) and realistic visualization (11 games) is low. Less than half of all games. Especially games in urban environment don´t offer more than just entertainment. There are lots of games with urban planning issues but they are not sufficiently are used for integrating people in real-world planning processes.

All games are designed for interactions and possible learning effects are high. Although a game like Minecraft seems to be unfitting to urban issues first, a successful game for real planning processes could be developed. Only some games enable pure entertainment (8 of 22). The applied games could already show successful results. For example Block by block got ideas for redesigning public places by players, which are used for further planning.

Table 1 summarizes the positive aspects and critique of the analysed games.

5 CONCLUSIONS Games for urban planning can show planning processes in a playful way and they can facilitate participation and interaction. In Section 2 we stressed that games are often criticized because of their only focus on an amusement function. We tested twenty-two games and five of them complied with our criteria: participation, interaction, realistic visualization, learning effect and knowledge transfer. Only eight of twenty-two games implicated just fun. We can conclude that although there are entertaining games, we also found several serious ones. In this article we concentrated on finding games that satisfy our criteria. This turned out to be a complex task. The games industry offers a mass on commercial games which focus urban planning aspects. During our research we found many games in which a player had to create a prospering city, similar to SimCity. Getting detailed information about these games was complicated. We were always sent to the official game homepage, where information were just visible with a registration. Unknown games as well as board- and cardgames were hard to find besides the mass of popular ones. If games were used in communes, they were often hidden. It was difficult to get serious information about games that focus urban planning processes. We reflected our predefined criteria and one of them is “interaction”, which consists of talking, writing or discussing with each other. We focused on the relationship between users among each other. According to Salen and Zimmerman, interaction can also be the interactivity between the game and the player. They mention: “The relationship between the player´s choice and the system´s response is one way to characterize the depth and quality of interaction” (Salen; Zimmerman 2004, page 57 ff.). There are several definitions of interaction, but the connection between action and outcome as well as many forms in which interaction can come through the game, is very interesting too. In our former research we will add other levels of interactivity to our criteria. The practice of using and implementing games in urban planning can help people to find out what they really need in their urban environment. Block by block is a good example for a game that enables non-experts to upgrade space in a slum area via a PC-game. This game can be transferred to other situations. For example if a public place has to be redesigned, users could place important objects like street furniture in the virtual place. They could see costs, planning documents as well as administrative barriers. They could get to know arising circumstances in a concrete project. PC-games enable simulations of realistic scenarios in an easy way. Board games can be produced faster than PC-games, but they require a higher imagination. At this time ideas with focus on planning processes could not be implemented in the environment. Upcoming technological innovations will make those games possible. We can imagine a game for example, in which users could play geocaching with real street furniture and objects for public spaces. They could play together in groups, catch important elements and place them for example on a real market place. People could create a concept for this place and show their

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needs. The groups could be divided into topics like “green”, “furniture” or “lightning”. One benefit could be, that players see directly their results and discuss in the environment which is the content of the planning process. Those games require a higher effort than a PC-simulation does. But here residents could connect new technologies with play, discussion and participation in the real world. The games industry has a rapid development. New games will be evolved soon and this comparative study is a kind of snap-shot. We hold that rapid development has also potential for designing more games that motivate people to participate in real processes. We are especially interested in designing a pervasive game that participate people in planning processes. In our research we found only one game (Pop-up Pest) that was specifically made for children. We will create a game, that especially invites marginal groups to participate. We would like to cooperate with a commune and develop a game that motivates concerned migrants for example. 6 REFERENCES

Abt, Clark C. (1972): Serious Games. New York. Ballagas, Rafael; Walz, Steffen P. (2007): REXplorer. In: Space Time Play – Computer Games, Architecture and Urbanism: The next level. Editors: Borries, Friedrich von; Walz, Steffen P.; Böttger, Matthias. Page 366-367. Basel. Bitz, Kate (2010): Fun & Games. Urbane Spiele als räumliches Phänomen. Bachelor-Thesis in Urban Planning, HCU Hamburg. Borries, Friedrich von; Böttger, Mathias; Walz, Steffen P. (2006): Ausweitung der Schießzone. Computerspiele im urbanen Raum. In: Archithese, book 4, page 43. Devisch, Oswald (2011): Sollten Stadtplaner Computerspiele spielen? In: Bauwelt 24.11, page 26-30. Hasselt. Diekmann, Peter; Leppert, Heribert (1978): Planspiel und Planspielsimulation in der Raumplanung. Basel, Stuttgart. Engagement Game Lab (2013): Your Community. Your Future. https://communityplanit.org. Retrieved December 10, 2013. Fischer, Matthias (2013): Civilisation. http://www.civilized.de. Retrieved December 10, 2013. Fuchs, Mathias (2007): Plasticity. In: Space Time Play – Computer Games, Architecture and Urbanism: The next level. Editors: Borries, Friedrich von; Walz, Steffen P.; Böttger, Matthias. Page 370-371. Basel. Handler, Martina; Trattnigg, Rita (2011): Zukunft der Öffentlichkeitsbeteiligung – Chancen. Grenzen. Herausforderungen. http://www.partizipation.at/fileadmin/media_data/Downloads/Zukunftsdiskurse-Studien/zukunft-deroeffentlichkeitsbeteiligung.pdf. Retrieved December 10, 2013. IBM (2014): City one. Real World Game, Real World Impact. http://www-01.ibm.com/software/solutions/soa/innov8/cityone/. Retrieved January 28, 2014. Joffe, Benjamin (2007): Mogi. In: Space Time Play – Computer Games, Architecture and Urbanism: The next level. Editors: Borries, Friedrich von; Walz, Steffen P.; Böttger, Matthias. Page 224-225 Basel. Lach, Bernhard; Rapp, Uwe (2013): Spielen, klar doch! http://www.klarspieler.de/1.html. Retrieved January 28, 2014. Lange, Andreas (2007): Places to play. In: Space Time Play – Computer Games, Architecture and Urbanism: The next level. Editors: Borries, Friedrich von; Walz, Steffen P.; Böttger, Matthias. Page 16-19. Basel. Lantz, Frank (2004): Pacmanhattan. http://pacmanhattan.com/about.php. Retrieved October 10, 2013. Lossing, Tobias; Nielsen, Rune; Lykke-Olsen, Andreas; Delman, Thomas Fabian (2007): The Harbour Game. In: Space Time Play – Computer Games, Architecture and Urbanism: The next level. Editors: Borries, Friedrich von; Walz, Steffen P.; Böttger, Matthias. Page 388-389. Basel. Montola, Markus (2009): Games and pervasive games. In: Pervasive games – Theory and design. Editors: Montola, Markus; Stenros Jaakko; Waern, Annika. Page 7-22. Burlington. Müller-Lütken, Jürgen (2012): So kam Pacman auf die Welt. http://www.onlinespiele-sammlung.de/pacman/about-pacman.php. Retrieved October 10, 2013. Neymeier, Nico (2011): Green Sight City – Das Spiel für eine grüne Zukunft. http://blog.daimler.de/2011/11/10/greensight-city-dasspiel-fuer-eine-gruene-zukunft. Retrieved December 10, 2013. Perrson, Markus; Bergensten, Jens (2011): Minecraft. https://minecraft.net/game. Retrieved December 10, 2013. Poplin, Alenka (2012): Playful public participation in urban planning: A case study for online serious games. In: Computers, Environment and Urban Systems. Editors: Thill, J.C. Page 195-206. Charlotte, USA. Salen, Katie; Zimmerman, Eric (2004): Rules of play: game design fundamentals. Massachussets Institute of Technology. Sanoff, Henry (2000): Community Participation Methods in Design and Planning. Canada. Strachan, Fran (2013): Securing Sydney´s CBD. http://newsroom.unsw.edu.au/news/design/securing-sydneys-cbd. Retrieved December 10, 2013. Suarez, Pablo; de Suarez, Janot Mendtler; Juhola, Sirkku (2011): Broken Cities. http://www.nordstar.info/attachments/article/41/Broken_Cities.pdf. Retrieved December 10, 2013. Tóth, Eszter; Poplin, Alenka (2013): Pop-up Pest: An Educational Game for Active Participation of Children and Youth in Urban Planning. Ullrich, Annette; Pohl, Georg (2005): Spiele als Instrument der Gemeinwesenentwicklung. In: Sozialextra, 10/2005. Page 38-40. Westerberg, Pontus (2013): First Minecraft workshop in Kibera! http://blockbyblock.org. Retrieved December 10, 2013. Z-Man Games (2014): Ginkgopolis. http://zmangames.com/product-details.php?id=1200. Retrieved January 28, 2014. Zoch, Klaus (2014): Neue Heimat. http://www.chili-spiele.de/. Retrieved January 28, 2014.

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reviewed paper Global Competition needs Smart Solutions, Urban Design Elements on City Branding Hossein Mohamad Hassani
(MA in Urban Design, Hossein Mohamad Hassani, Urban Design and planning Department, Faculty of Architecture and Urban Planning, Shahid Beheshti University, Tehran, Iran, h.mhassani@yahoo.com)

1 ABSTRACT Globalization is one of the most important issues that changes cities. Global competition makes cities to need a range of solutions in order to be different from opponents and attract more economical investments. Branding is a customary topic for economics but globalization, attracting more investments and tourists to cities caused the topic an emerging subject for urban design and planning. Contemporary researches on integrated sustainable city can be turned into reality with city branding approaches. One of the fundamental decisions of urban studies approaches is to manage urban and spatial planning according to the urban design elements on city branding and identity of place. City branding is a smart solution for urban development, creation of jobs and providing a greater place to live and work. Advertisement and communication technologies could have a key effect on city branding. Mobile apps and websites can be used to deliver city branding goals and a lot of cities used ICT as a key policy to present their brand. But urban design elements on city branding should be represented in these activities in order to express the unique brand of the city and the elements are not the same in different cities. These elements should be identified and appraised in the cities rather than relying on stereotypical responses to a commercial order. This study considers key urban design disciplines and previous attitudes on city branding to offer a framework for urban design elements on city branding. This concept introduces the elements in main approaches and dimensions. In order to introduce urban design elements on city branding, this study uses a laboratory experiment that happened during Fourth International Conference on Urban and Extra Urban Studies 2013, Amsterdam, The Netherlands and concluded fourteen urban design elements for Amsterdam brand. 2 GLOBALIZATION AND URBAN STUDIES The idea of the city branding was a subject of economics; but in last decade, the importance of space political economy grows gradually and researchers also have paid attention to this topic as an urban issue. Cities do not need gentrification solutions and the role of urban design should not be overlooked because urban design projects have a dominant effect on city's future economy (Cuthbert 2005, 56). Increasing investment and marketing constraints have addressed a new interest in local differences to create particular image of the city for new target groups and stakeholders. One of the urban planners and administrators tasks is to facilitate people interaction with the environment and new developments of the city according to the context of the city, rather than relying on the stereotyped responses and methods (Erickson and Roberts 1997, 35-37). Erickson and Roberts have suggested that civic spaces are frequently bound to commercial leisure and retail industries. Yet many local government authorities encounter competition with large out-of town shopping centers. City authorities would like to market the town center as a more interesting alternative than the shopping mall. If they do not appraise their unique urban identity, branding activities will lead to places as indistinguishable as the branches of chain stores in cities (Ibid, 35). Marketing and urban studies are some of the impressive items in city branding. Growing global competition on absorbing financial and human sources have maximized the interest of city managers (Simmonds and Hack 2000, 271). Banalscapes are the outcome of branding process without urban design approaches on city identity in public space, so the lack of urban design analyses in branding may loss urban identities and local differences (Munoz 2010, 78). Contemporary changes in cities economical approaches from industrial to post-industrial have highlighted urban regeneration. For example, over 5000 transactions shows that from 2000 to 2006, at least 10.000.000 square meters of industrial land has been disposed of by companies in 96 locations throughout the Netherlands. By the end of 2006, about 75 % of these locations were redeveloped (Figure 1). This is surprising in a small country like the Netherlands with few available development areas and the sites were often located in central urban areas (Havermans, Meulenbroek and Smeets 2008, 7-8).

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Fig. 1: Reasons for disposition industrial sites in the Netherlands and new functions after redevelopment. Source: Haverman, Meulenbroek and Smeets 2008, 8.

A minority of urban designers and planners have exposed to this topic recently. Many discussions in this topic have been issued by economists and they have emphasized that interdisciplinary approaches should become more prevalent in city branding (Dennie 2010, 4). Marketing specialists have done considerable effort in city marketing and many examples of these activities are available. They point out that a city is not a product and cannot be treated as products (Kavaratzis and Ashworth 2005, 507). Due to the complex urban issues in city branding the necessity of an interdisciplinary group for city branding is crucial. Thus marketing experts can work more closely with urban designers to determine the process of city branding. Using websites and mobile apps are common to exhibit branding elements. Nowadays, almost all city branding campaigns have at least a website and provide a range of mobile apps, such as, tourist information mobile applications, to express the unique elements of the city. Based on the needs of target groups a range of ICT products for cities can be offered. These are smart tools should express the brand of city and appraise the unique elements of city. Urban designers and planners can distinct both unique visual and verbal means of city in all scales of the urban socio-spatial continuum and can represent them for the other experts, like as websites and mobile apps producers. The purpose of this study is to represent a conceptual framework of city branding elements in terms of urban design approaches to clarify them for all experts, which are a part of promoting city branding, including ICT experts. This paper explore the literature review of city branding and strategies of the topic, moreover, key urban design approaches on the topic will issue. Finally urban design elements on city branding are introduced and a laboratory experiment in Amsterdam is used in order to introduce an example for the mentioned elements. 2.1 Literature Review In 1960s and the idea of place marketing emerged by Kotler and Levy. O’Leary and Iredal were the first authors introduced marketing as a challenging issue for the future and described that as " designed to create favorable dispositions and behavior toward geographic locations" (Zenker, Eggers and Farsky 2013, 134). A brand is something more than an identification name and the image of places cannot change by logos or advertisement easily (Kavaratzis and Ashworth 2005, 508). A brand is the collection of physical, psychological and social attitudes that are related to a product (Simones and Dibb 2001, 218-19). Besides, visual and aesthetic commendation of the urban landscape may lead to dispositions the residents’ relationship with the place (Govers and Go 2009, 256-57). Place marketing can be considered as a range with two borders. First one is describing urban capabilities and unique identity for target groups, and the second one is selling the place like a product and emphasis on advertisement and avoid the ugly backs of the place that may create a schizophrenic inspiration to place (Ericson and Roberts 1997, 53-58). Place marketing often misunderstands as place selling. Place marketing highlights an economic matter and the increasing of social functions to forms a major goal. It is a customerorientated approach, which should consider existing and potential “customers” of the city; yet place selling concentrates solely on the promotional aspects of marketing. Place selling disregards the true aims and range of place marketing and branding (Zenker 2011, 41).

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City branding theory is in the initiative stages of the accomplishment. This is expected that the global competition and contemporary economical necessities cause cities to enhance their unique brand in order to achieve urban development and regeneration goals (Dinnie 2010, 7). Branding is a deliberate process of boosting the symbolic value of a production or service in comparison with the other commentators (Zenker and Beckmann 2013, 7). A simple definition for place branding is applying product branding for places; yet places are more complex than products and a logo or new slogan cannot create a new identity for places (Kavaratzis and Ashworth 2005, 508). Place marketing and place branding are used instead of each other occasionally. Place marketing and place branding are used instead of each other occasionally. In fact place marketing concentrate on advertisement but place branding engaged to promote place identity and image (Pergelova and Angulo Ruiz 2011, 2). In recent years, losing local identity issues and the target groups’ image of the city are known as branding, although marketing was used frequently in the early years of 90s. A city can strengthen the uniqueness of its images by place branding. Branding can help the target groups to distinguish the city from its competitors and introduce a decent destination for investors, tourists or other stakeholders so target groups should be considered as an important section in literature review. 2.2 Target Groups A variety of authors introduced residents, visitors, and investors as the main target groups in the process of city branding. Residents have a higher priority and visitors and investors are in the later priorities because the majority of strategies and policies, such as economic, cultural and formal, are designated to increase the quality of life for city residents. All of these groups have different perceptions and demands from the places, for example, tourists are looking for great shopping and cultural activities and financial investors are interested in economic; therefore city customers will not be interested in a dot on the map and they need a decent place for their intended purposes (Zenker and Braun 2010, 2). Target groups in branding practice are much more complex. Visitors can be divided into business and leisure time tourists (Zenker and Beckmann 2013, 7). Professional visitors can be categorized as archaeologists and architects; besides, residents can be separated into current residents (internal group) and potential residents (external group). Within these groups, target groups may be specifically introduced, such as students or creative classes (Florida 2002, 67-79). These two target groups show a different knowledge structure that is based on different levels of experience (Figure 2). External target groups represent more common and stereotyped associations, whereas internal target groups possess a heterogeneous place brand perception (Zenker and Beckmann 2013, 8).

Fig. 2: Target groups in city branding. Source: Author

3 A FRAMEWORK FOR URBAN DESIGN ELEMENTS ON CITY BRANDING Urban design can be defined as the multi-disciplinary activity of shaping and managing urban environments. It is interested in both the process of this shaping and the spaces it helps shape. Combining technical, social, and expressive concerns, urban designers use both visual and verbal means of communication, and engage in all scales of the urban socio-spatial continuum (Madanipour 1997, 22). Urban design has influenced by various interdisciplinary factors based on new challenges, such as economical necessities and marketing (Dinnie 2010, 7). In spite of the fact that lots of marketing authors have issued different essential elements

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on the topic, urban designers, as professionals who are noticing urban qualities, did not express urban design elements of the topic. Urban design is highly sensitive in identifying and appraising of the city identity. Urban designers and planners can make a professional interaction with municipal authorities to represent implementation strategies and policies as supplementary planning guidance according to the statutory plans. This is a batch process with marketing experts and the other stakeholders. Dimension of brand evaluation method issued by Zenker is a decent way to measure the current situation and target picture of branding elements. This evaluation may be considered for all identity base elements; moreover, Asset and Brand Strength method can be helpful due to the fact that elements can be compered each other by possible maximum points. This study has presented Three-dimensional city branding elements scoring model based on the combination of above methods to evaluate brand elements (Figure 3). Each element scored from -5 to +5 points in three dimensions and the summation of the element’s points determines the current situation or target picture total point. X-axis corresponds to points of uniqueness, Yaxis related to the positive and negative effects of the element and Z-axis evaluate the strength and weakness points of the element base on the questionnaire outputs. The questionnaire should be prepared comprehensively to measure brand elements in terms of responder opinion for current situation and target picture in three axes. Current situation is the present image of element and target picture illustrates the responder expectations of element for the future as showed in figure 4.

Fig. 3: Three-dimensional city branding elements scoringmodel. Source: Author

This paper considers spatial, visual, physical and public realm organizations as the key urban design disciplines (Zekavat, 2002, 30-32). This study uses previous attitudes on city branding and urban design diciplines to offer a framework which explore urban design elements on city branding. This concept introduces city branding elements in approaches and dimentions. The focus of this paper is on identity appraisal approach and the other approaches may be considered in later researches. Urban design elements on city branding is a framework for apprising unique identity elements in urban areas. This framework offers 26 elements in 3 dimensions for identity appraisal approach that helps to categories the elements in urban areas in order to strength cities’ differences. Besides, Urban design elements on city branding contains an evaluation model for identified features. Using this framework can address some weaknesses of branding campaigns due to the fact that usually they do not express a distinct process for exploring unique elements of urban areas. The goals of this framework can be issue as follow: • • • • Promoting tourism economy Boosting social pride among residents Upgrading the global position of the city Promoting livability in urban areas

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•

Apprising the difference and unique identity of the city for target groups

Identity appraisal approach is the first main groups that signify urban design elements on city branding. These are introduced in ecological, social and artificial environments as three dimentions of this approach. The second approach is implementation, which indicate factors and mechanisms of the implementation process. Fundraising, backup infrastructure, participation themes are different dimentions of implementation approach. And the third one explain the supplementary approach that happened during branding process by monitoring and advertisement (Figure 4). Three-dimensional city branding elements scoring model is an evaluation model for prioritising the strength of every branding elements and features. Positioning in current situation and target picture exhibit the most important elements among 26 identity appraisal elements and features. Besides, positioning represent some of the elements which earned zero points. These elements and features are considered as not applicable branding elements in the city. So the elements will be different in different cities. This framework clarify branding elements for all experts, which are a part of promoting city branding, including ICT experts in order to relay on the unique elements of the city rather than relying on stereotypical responses to a commercial order.

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Fig. 4: Urban design elements on city branding. Source: Author

3.1 Empirical Study In 2003, the city of Amsterdam have started a branding campaign to strength the position of Amsterdam as a major cultural center has been threatened by a growing competition from other cities both within and outside The Netherlands. They established a picture of priorities and opportunities for the current situation and target picture, representing the sixteen dimensions in the form of a spider’s-web (Figure 5).The spider’s-web provided the city necessaries to work on. Living conditions in the city, for example, Liveable City and Residential City need considerable improvement (Kavaratzis, 2008).

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Fig. 6: Proposal Amsterdam brand dimensions in the form of a spider’s-web.Source: City of Amsterdam 2003,17.

In spite of the fact that Amsterdam authorities have chosen a strategy that addresses, or intends to address, the needs not only of the tourism sector, a wider base of urban elements and target groups in the selection of these dimensions should be considered with caution for two reasons. First, all cities are obviously versatile and most of dimensions are not unique to Amsterdam. Secondly the process of choosing the specific dimensions shows clear signs of a top-down approach and there is no framework for priorities and introducing these dimensions. There is perhaps a question arising from these points of criticism. Could cities have chosen an urban design based strategy or a stronger theatrical framework to introduce unique identity elements of the city? This is related to the wider question of how to apply or evaluate the efficacy of branding elements in cities? In order to conclude urban design elements on city branding for a city in practice, this study uses a laboratory experiment with urban studies researchers’ in Spaces and Flows: International Conference on Urban and Extra Urban Studies, Amsterdam, The Netherlands, as participants in the questionnaire. Identity appraisal elements of Amsterdam were derived from 20 participants using qualitative in-depth interviews and the laddering technique, the participants average age was 29.2 years (SD=2.59), 34 per cent were male. Despite its merits, the present study features two main limitations. First, do in-depth interviews with 20 participants reveal all the relevant associations of the identity elements of Amsterdam brand? Second, all of the participants did not live in Amsterdam and they could not express nonphysical elements of the city brand well and they are small target group of city branding. Despite this limitation, Amsterdam is one of the well-known cities for architects, urban designers and planners so they have enough information to evaluate the current situation and target picture of the city and all of participants have the opportunity of visiting the city before the conference. The empirical study has signified fourteen urban design elements applicable for Amsterdam brand. Threedimensional city branding elements scoring model shows that social elements are dominant elements for the research target group. Canal architecture, semicircular spatial organization of the city center and Rijksmuseum, have taken the most points in current situation (E1,2,3,...,n) and target picture positioning (e1,2,3,...,n) (Figure 6). This study shows that social environment identity elements have a dominant effect on urban design elements of Amsterdam brand and it emphasizes the importance of apprising nonphysical identity elements in city branding. The focus of this paper is on identity appraisal approach and it is evident that, implementation and supplementary approaches should be considered for different target groups in later researches to achieve all urban design elements of Amsterdam brand. Some of the concluded elements may be considered as negative elements for the image of the city in terms of target group points of view, for example in this study participants reduced the importance of the Red-Light district as an identity element for Amsterdam in target picture (the element score 7) in comparison with current situation (the element score 9). Besides, some elements may be contained more than one feature, like as iconic building that covers 4 features in Urban design elements on city branding for Amsterdam..
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Fig. 6: Urban design elements on city branding for Amsterdam. Source: Author

According to the above chart, urban design elements on city branding for Amsterdam are concluded respectively as follow table. These elements have been prioritized in current situation and target picture (Figure 7). Moreover, the elements can be used to provide urban development policies and principals in an urban design guideline on city branding for Amsterdam. It would be the subject of an urban design and planning project that will pursuit the proposed framework goals.

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Fig. 7: Urban design elements on city branding priorities for Amsterdam. Source: Author

4 CONCLUSION Data collection, data analysis, making solution and evaluation are dominant stages in urban design process (Shirvani 1985, 111) and urban design elements on city branding are very helpful to represent the unique brand of a city in urban development process. This study introduces a conceptual framework of city branding elements in terms of urban design approaches to clarify them for all experts, which are a part of promoting city branding, including ICT experts in order to relay on the unique elements of the city rather than relying on stereotypical responses to a commercial order. This study offered a framework to represent urban design elements on city branding and signifies that a range of ecological, social and artificial dimentiones must be considered in city branding. Moreover, threedimensional city branding elements scoring model is a way for positioning current situation and target picture of the elements in target groups’ point of views. The focus of this paper is on identity appraisal approach and it is evident that implementation and supplementary approaches should be considered for different target groups in later researches to represent all urban elements on a city brand. To manage future urban development, an urban design and planning guidance on city branding may be a valuable document that explores branding principals for cities. Urban design and planning guidance on city branding can be considered as an official document for cities and municipality can supervise urban development according to the guidance principals, policies and guidelines. It would be the subject of further urban design and planning researches, in addition, urban authorities have to consider advertisement and monitoring during the long term city branding process. Urban design elements on city branding described in this paper is the beginning of a comprehensive study, the purpose of which will be to contribute to the realization of the city branding both theoretically and empirically. 5 REFERENCES

Anholt, Simon. Competitive Identity: The New Brand Management for Nations, Cities and Regions. Palgrave Macmillan. New York, 2007.

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Global Competition needs Smart Solutions, Urban Design Elements on City Branding Carmona, Matthew, Claudio de Magalhães, and Leo Hammond. Public Space: The Management Dimension. Routledge. New York, 2007. Carmona, Matthew, Tim Heath, Taner Oc, and Steve Tiesdell. Public places-urban spaces: the dimensions of urban design. Boston: Architectural Press, 2003. Cuthbert, Alexander. “A debate from down-under: spatial political economy and urban design.” URBAN DESIGN International 10: 223–34, 2005. Dinnie, Keith. City Branding: Theory and Cases. New York: Palgrave Macmillan, 2010. Erickson, Bill, and Marion Roberts. “Marketing local identity.” Journal of Urban Design 2: 35-59, 1997. Florida, Richard. The Rise of the Creative Class – and How It’s Transforming Work, Leisure, Community and Everyday Life . New York: Basic Books, 2002. Govers, Robert, and Frank Go. Place Branding: Glocal, Virtual and Physical Identities, Constructed, Imagined and Experienced. New York: Palgrave Macmillan, 2009. Havermans, Dave, Rianne Appel-Meulenbroek, and Jos Smeets. “Rebranding the City- The Case of Eindhoven.” Paper presented at Proceedings of the Corporations and Cities Conference, Brussels, Belgium, May 26-27, 2008. Kavaratzis, Michalis. “From City Marketing to City Branding: Towards a Theoretical Framework for Developing City Brands.” Journal of Place Branding 1: 58–73, 2004. Kavaratzis, Michalis, and G. J. Ashworth. “City Branding: an effective Assertion of Identity or a transitory marketing trick?” Tijdschrift voor Economische en Sociale Geografie 96: 506–14, 2005. Kotler, Philip, and Sidney Levy. “Broadening the concept of marketing.” Journal of Marketing 33: 10–15, 1969. Madanipour, Ali. “Ambiguities of urban design.” In: Carmona, M, and Steve Tiesdell, ed. 2006. Urban Design Reader. London: Architectural Press, 1997. Muñoz, Francesc M. “Urbanalisation: Common Landscapes, Global Places.” Urban Studies Journal 3:78–88, 2010. Papp-Váry, Árpád. “The Anholt-GMI City Brand Hexagon and The Saffron European City Brand Barometer: A Comparative Study.” Regional and Business Studies 3: 555–62, 2011. Pergelova, A and Luis Fernando Angulo Ruiz. “Place Marketing Performance: Benchmarking European Cities as Business Destinations”. Working paper. Universitat Autonoma de Barcelona, 2011. Shirvani, Hamid. The Urban Design Process. New York: Van Nostrand Reinhold, 1985. Simmonds, Roger, and Gary Hack. Global city regions: their emerging forms. London: Spon Press, 2000. Simones, Cláudia, and Sally Dibb. “Rethinking the brand concept: New brand orientation, Corporate Communications”. An International Journal 6: 217-24, 2001. Zekavat, Kamran. “Urban Design and supplementary planning guidance”. Urban Management 9: 28-44 (In Persian), 2002. Zenker, Sebastian. “How to catch a city? The concept and measurement of place brands.” Journal of Place Management and Development 4:40–52, 2011. Zenker, Sebastian. “The Place Brand Centre –A Conceptual Approach for Place Branding and Place Brand Management.” Urban Studies Journal 3:78–88, 2010. Zenker, Sebastian, and Erik Braun. “The Place Brand Centre –A Conceptual Approach for Place Branding and Place Brand Management”. Paper presented at 39th European Marketing Academy Conference, Copenhagen, Denmark, June, 1–4, 2010. Zenker, Sebastian, Felix Eggers, and Mario Farsky. “Putting a price tag on cities: Insights into the competitive environment of places”. Paper presented at the 38th European Marketing Academy Conference, Nantes, France, May, 26–29, 2013. Zenker, Sebastian, and Suzanne C. Beckmann. “My place is not your place- different place brand knowledge by different target groups.” Journal of Place Management and Development 6:6–17, 2013.

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reviewed paper Identifikation von Kriterien für den smarten Einsatz von Elektrobussen in den Netzen des ÖPNV Carina May, Conny Louen
(Carina May M.Sc., Institut für Stadtbauwesen und Stadtverkehr RWTH Aachen, Mies-van-der Rohe Str. 1, 52074 Aachen, may@isb.rwth-aachen.de) (Dr.-Ing. Conny Louen, Institut für Stadtbauwesen und Stadtverkehr RWTH Aachen, Mies-van-der Rohe Str. 1, 52074 Aachen, louen@isb.rwth-aachen.de)

1 ABSTRACT In Deutschland werden in den kommenden Jahren die Busflotten der öffentlichen Personennahverkehrsbetriebe vor allem zur Reduzierung der Umweltbelastungen (Schadstoffe, Lärm) sukzessive elektrifiziert. Ein zentrales Problem, das die breitere Nutzung der Elektromobilität im öffentlichen Personennahverkehr (ÖPNV) stark behindert, ist die Frage der Klimatisierung batterieelektrisch angetriebener Busse. Im Rahmen des Projektes „CO2-neutrale Klimatisierungstechnologie für Elektrobusse“ werden die unmittelbar praxisbezogenen Grundlagen für eine lokal CO2-freie Elektrobus-Klimatisierung auf der Basis der Sorptionstechnik geschaffen, ohne dabei die sehr beschränkten Traktionsenergievorräte des Fahrzeugs einsetzen zu müssen. Das Projekt wird durch Mittel der Exzellenzinitiative des Bundes und der Länder gefördert und von vier Instituten der RWTH Aachen University durchgeführt. Das Institut für Stadtbauwesen und Stadtverkehr als eines der vier Institute, beschäftigt sich dabei mit der Frage der Einsatzpotentiale von Elektrobussen in den Netzen des ÖPNV. Um eine intelligente und nachhaltige Umstellung für Verkehrsbetriebe und Kommunen zu ermöglichen, ist zu überprüfen, welche Linien- und Netzstrukturen sich für den Einsatz von Elektrobussen besonders eignen. Zudem ist zu klären, wie diese optimiert werden können, um einen smarten Einsatz von Elektrobussen zu ermöglichen. Im Rahmen dieser Überlegungen werden Kriterien entwickelt, die dabei helfen zu entscheiden, welche Strukturen sich unter welchen geographischen und weiteren infrastrukturellen Randbedingungen für einen elektrifizierten Betrieb eignen. Die Kriterien zur Bestimmung der Einsatzpotentiale kommen von den vier Partnern des Projektes und werden unter Berücksichtigung technischer Grenzen, betrieblicher und verkehrlicher Rahmenbedingungen und der Gestaltbarkeit der Netze entwickelt. Die Kriterien bilden die Grundlage für einen multikriteriellen Ansatz, der die verschiedenen Möglichkeiten hinsichtlich einer Vereinbarkeit der Kriterien aufzeigt. Bei der Gestaltung eines ÖPNV-Netzes spielt bei klassischer Antriebstechnik der Busse mit Verbrennungsmotoren vorrangig die Siedlungsstruktur, also die Verteilung und Dichte der bebauten und bewohnten Fläche eines Raumes, sowie die gewünschte Art der Erschließung eine Rolle. Verfügbare Energiemengen und Nachlademöglichkeiten brauchen bislang bei der Strukturierung der Netze nicht berücksichtigt zu werden. Die technischen Restriktionen beim Einsatz von Elektrobussen begrenzen jedoch die realisierbaren Netzstrukturen, wodurch ein Spannungsfeld von Nutzerakzeptanz und technischer Notwendigkeit entsteht. (ITMC et al., 2013) Die Stadt der Zukunft wird aufgrund der Verknappung der Ressourcen ohne fossile Energieträger auskommen müssen. Die Elektrifizierung der Busse stellt demnach eine nachhaltige Strategie dar, welche darüber hinaus dazu beiträgt, die Umweltbelastungen zu reduzieren und die Lebensqualität der Bevölkerung zu verbessern. Gerade der ÖPNV hat im Hinblick auf die Elektrifizierung große Chancen, da durch den vorgegebenen Linienweg der Energiebedarf ziemlich genau abgeschätzt werden kann. (Soffel, Schwärzel, 2013) Dieses Paper gibt einen Überblick über die im ersten Schritt des multikriteriellen Ansatzes entwickelten Kriterien aus Sicht des ÖPNV. Die Kriterien sind allgemein gültig und bilden die Grundlage für die Entwicklung des Ansatzes unter der Berücksichtigung weiterer Kriterien wie z. B. aus den Bereichen Material oder elektrische Netze. 2 PLANUNG IM ÖPNV Der Planungsprozess im ÖPNV orientiert sich an dem Bedarf von Personen. Dazu gehören Aspekte wie die Erschließung, die Mindestversorgung oder auch die Nachfrage von Personen nach dem ÖPNV. Während in Städten vor allem die Nachfrage entscheidend ist, rücken in ländlichen Regionen dagegen Aspekte wie Mindesterreichbarkeiten oder eine Mindestversorgung in den Vordergrung. Um die in der Bedarfsplanung

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ermittelten Anforderungen bedienen zu können, ist das Angebot im ÖPNV entsprechend auszulegen. Die Planung kann dabei in Angebots- und Betriebsplanung unterteilt werden (vgl. Abb. 1). Die Angebotsplanung umfasst die Netz-, Linien- und Fahrzeitplanung. In der Netzplanung wird zunächst das Streckennetz des ÖPNV bestimmt. Anschließend wird in der Linienplanung der Verlauf der einzelnen Linien festgelegt. Das Ziel bei der Linienplanung ist ein hoher Direktfahreranteil, d.h. ein hoher Anteil Reisender, die im untersuchten System nicht umsteigen müssen. Durch die Fahrzeitplanung werden anschließend die Abfahrtszeiten sowie die Taktfrequenzen festgelegt. Das Ergebnis der Fahrzeitplanung ist der fertige Fahrplan.

Abb. 1: Planungsprozess im ÖPNV (Quelle: eigene Darstellung ISB)

Der Einsatz von Elektrobussen würde bereits bei der Angebotsplanung zu Wechselwirkungen führen. So müssten bei der Planung z. B. Ladeorte berücksichtigt werden, die zu einer Veränderung des Linienverlaufs führen könnten. Gibt es einen zentralen Ladeort oder sollte ein Laden an jeder Endhaltestelle möglich sein? Und in wieweit hat die Ladezeit einen Einfluss auf den Fahrplan? Könnten sich durch die Ladung oder den Wechsel der Batterie auch die Reisezeiten für die Fahrgäste verändern? Dies sind nur einige Wechselwirkungen die durch den Einsatz von Elektrobussen im ÖPNV entstehen und bereits im Planungsprozess berücksichtigt werden sollten. Die Betriebsplanung beinhaltet die Umlaufplanung, die Dienstplanbildung sowie die Dienstreihenfolgebildung. In der Umlaufplanung wird der Einsatz der Fahrzeuge festgelegt, wobei eine effiziente Ausführung des Fahrplans angestrebt wird. Es werden räumlich und zeitlich passende Fahrten hintereinander gelegt und zu einem Umlauf verbunden. Durch die Festlegung der Umlaufzeiten ergeben sich am Ende der Route Lücken, welche als Wendezeiten bezeichnet werden. Die Wendezeiten dienen dazu, Verspätungen aufzufangen und gesetzlich vorgeschriebene Pausenzeiten für den Fahrer zu ermöglichen. Am Ende der Umlaufplanung ist der Laufweg für jedes Fahrzeug festgelegt. Dieser beinhaltet dann alle Stillstände, Betriebs- und Nutzfahrten. Die Dienstplanbildung und die Dienstreihenfolgebildung legen im Anschluss an die Umlaufplanung fest, wie das Personal optimal eingesetzt wird. In der Dienstplanung erfolgt eine Zuordnung von Diensten zu den Mitarbeitern. Eine große Herausforderung bei der Dienstplanung ist die Berücksichtigung von Randbedingungen wie Pausenregelungen, Ruhe- oder Dienstzeiten. Diese ergeben sich aus unterschiedlichen Regelwerken, wie dem Arbeitszeitgesetz, der Fahrpersonalverordnung (FPersV), EU-Verordnungen, Tarifverträgen oder Betriebsvereinbarungen. Diese Planungen werden oft auch vor der Umlaufplanung durchgeführt, da die hohen Personalkosten bei einer wirtschaftlichen Betrachtung in der Regel den maßgebenden Fall darstellen. Die Zuordnung konkreter Fahrzeuge und Fahrer zum Fahr- und Dienstplan, wird als Disposition bezeichnet und erfolgt nach der Planung. Auch die Betriebsplanung würde durch den Einsatz von Elektrobussen beeinflusst. So kommt z. B. die Frage auf, ob ein Elektrobus auf dem vorgegebenen Linienweg überhaupt in der Lage ist das Fahrgastaufkommen

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aufzunehmen und somit die Beförderungsnachfrage befriedigen kann. Oder ob vielleicht der Takt verdichtet werden müsste oder ein größeres Fahrzeug gewählt werden sollte? Die Planung im ÖPNV erfolgt unter Berücksichtigung verschiedener Kriterien, die sich aus den Anforderungen der Nutzer, der Betreiber und der Allgemeinheit an das ÖPNV-Angebot ergeben (Kirchhoff et al., 1999). In Abbildung 2 sind die von der Forschungsgesellschaft für Straßen- und Verkehrswesen (FGSV) erarbeiteten Kriterien dargestellt. Die Kriterien werden in Kriterien mit Raumbezug und Kriterien mit Qualitätsbezug unterteilt. Die raumbezogenen Kriterien beziehen sich auf den Bedienungsraum und dessen Struktur. Bei den qualitätsbezogenen Kriterien steht dagegen die Qualität der Beförderung aus Sicht des Fahrgastes im Vordergrund. Die Kriterien mit Raumbezug berücksichtigen die Anbindung der Gemeinden an das Liniennetz und unterstützen bei der Erstellung des ÖPNV-Fahrtenangebots. Für die Qualität der Beförderung ist es wichtig, dass der Fahrgast das gewünschte Fahrtziel schnell erreichen kann. Neben der Beförderungsgeschwindigkeit ist aber auch die Beförderungsqualität in den Fahrzeugen wichtig. In diesem Zusammenhang ist der Besetzungsgrad der Busse ein wichtiger Indikator. Da die Attraktivität des ÖPNV-Angebots und die Kosten dieses Angbots sich gegenseitig beeinflussen, ist es wichtig, einen sinnvollen Kompromiss zu finden.

Abb. 2: Kriterien für die Planung und den Betrieb des ÖPNV (Quelle: eigene Darstellung May, in Anlehnung an FGSV 2010)

Durch den Einsatz von Elektrobussen in den Netzen des ÖPNV entsteht ein Wechselspiel zwischen den in Abbildung 2 aufgeführten Kriterien und den Kriterien, die sich durch die wesentlichen Randbedingungen und Anforderungen der Elektrobusse ergeben. Im nächsten Abschnitt werden die Randbedingungen und Anforderungen erläutert, sowie die im Rahmen des Projektes entwickelten Kriterien vorgestellt. 3 ANFORDERUNGEN UND GRENZEN ELEKTRISCH BETRIEBENER BUSSE Linienbusse im ÖPNV eignen sich besonders gut für eine Elektrifizierung. Sie sind in ihrem Betrieb verhältnismäßig gut planbar, wodurch sie sich entsprechend deutlich wirtschaftlicher nutzen lassen als etwa individuell genutzte Elektro-Pkw. Der Linienverlauf der Busse ist vorgegeben, was die Abschätzung des täglichen Energiebedarfs recht präzise ermöglicht. Darüber hinaus kann der Abschreibungsanteil der derzeit noch teuren Batterien an den Betriebskosten auf ein vertretbares Maß gedrückt werden. (ITMC et al., 2013) Durch die Elektrifizierung der Busse werden Umweltbelastungen wie der Schadstoffausstoß und Lärmemissionen reduziert. Bei einem verstärkten Einsatz von Elektrobussen ist jedoch aufgrund der technischen Restriktionen und der dadurch auferlegten Begrenzung realisierbarer Netzstrukturen ein Spannungsfeld von technischer Notwendigkeit und Nutzerakzeptanz zu erwarten. Ein Nachladen energetischer Ressourcen, was zurzeit über einen Betriebstag hinweg nicht vermieden werden kann, führt zu einer geringeren Transportgeschwindigkeit. Große Batteriekapazitäten, die eine höhere Reichweite ermöglichen würden, sind dagegen ökonomisch (Kosten, Bauraum, Nettotransportgewicht) nicht vertretbar.
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Der Energieverbrauch der Elektrobusse setzt sich aus dem Traktionsenergieverbrauch und den traktionsfremden Energieverbräuchen zusammen. Der Traktionsenergieverbrauch der Busse ist von verschiedenen Faktoren abhängig. Das Fahrzeug hat bei der Bewegung den Fahrwiderstand zu überwinden, welcher wiederum von der Größe des Busses, der Geschwindigkeit oder z. B. auch der Topographie abhängig ist. Zu den traktionsfremden Energieverbräuchen zählen z. B. der Verbrauch für die Klimatisierung der Busse oder die benötigte Energie für pneumatische Systeme (Türen, Kneeling). (Sinhuber et al., 2012) Um den Einsatz von Elektrobussen in den Netzen des ÖPNV realsieren zu können, ist auch die städtebauliche Integration der Ladeinfrastruktur erforderlich. Dafür ist zunächst zu klären, ob bei den Fahrzeugen ein Austausch oder ein Laden der Batterie erfolgen soll (vgl. Abb. 3). Für den Austausch der Batterie sind zusätzlich zur vorhandenen Infrastruktur Batteriewechselstationen zu errichten, was z. B. zentral am Depot erfolgen könnte.

Abb. 3: Mögliche Ladezeiten und -orte (Quelle: eigene Darstellung May)

Für das Laden der Batterie stehen induktive und konduktive Systeme zur Wahl. Beim induktiven Laden wird die Batterie durch eine Spule im Boden der Fahrbahn berührungslos geladen. Dies könnte z. B. an Haltestellen, Ampeln oder auch im Depot erfolgen. Diese Art des Ladens bedarf allerdings einer aufwendigen und teuren Ladeinfrastruktur. Dies hätte jedoch den Vorteil, dass sie sich nahezu unsichtbar in das Stadtbild integrieren würde. Beim konduktiven Laden erfolgt die Energieübertragung an einer Ladestation. Dies könnte über eine Kabelverbindung oder mithilfe von Oberleitungen erfolgen. Das konduktive Laden würde jedoch durch die erforderlichen Ladesäulen optisch in das Stadtbild eingreifen. Bei der Platzierung der Ladestationen sind zudem einige Randbedingungen zu beachten. Wo kann wie lange geladen werden, ohne dass der ÖPNV an Attraktivität für seine Kunden verliert, zugleich aber auch der Energiebedarf für die gewünschte Reichweite gesichert ist? Informatiker aus Hongkong haben sich mit der optimalen räumlichen Verteilung von Ladestationen für Elektroautos beschäftigt (Lam, Leung, Chu, 2013). Einige dieser Randbedingungen können auch auf den Einsatz von Elektrobussen übertragen werden. So muss ein voll geladener Bus mit der Strommenge in der Lage sein, eine andere Ladestation erreichen zu können. Idealerweise sollte dies ohne ein Abweichen vom Linienweg möglich sein. Der Abstand zwischen den Ladestationen darf daher nicht über der Reichweite des Elektrobusses liegen. Eine weitere Randbedingung ergibt sich aus der begrenzten Kapazität der Ladestation. Die lokale Nachfrage an dieser Station sollte befriedigt werden können, ohne den Linienverkehr einschränken zu müssen. Darüber hinaus sollten insgesamt so viele Ladestationen vorhanden sein, dass der gesamte E-Bus-Betrieb im Stadtgebiet abgedeckt werden kann. Eine optimale Verteilung ist dabei wichtig, da zu viele Ladestationen, die ineffizient genutzt werden, ökonomisch nicht sinnvoll sind. 4 KRITERIEN FÜR DEN EINSATZ VON ELEKTROBUSSEN Im Rahmen des Forschungsprojektes „CO2-neutrale Klimatisierungstechnologie für Elektrobusse“ wird ein multikriterieller Ansatz entwickelt der die Widersprüche zwischen nachfragebedingten und elektrooptimalen Netzstrukturen analysiert. Die Herausforderung besteht darin, die unterschiedlichen Anforderungen, die sich durch den Einsatz von Elektrobussen im Netz des ÖPNV ergeben, gegeneinander abzuwägen. Durch den

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multikriteriellen Ansatz sollen verschiedene Möglichkeiten hinsichtlich einer Vereinbarkeit der unterschiedlichen Kriterien aufzeigt werden. Bei der Planung des ÖPNV werden bei einem Einsatz von Elektrobussen aufgrund von technischen Grenzen, betrieblicher und verkehrlicher Rahmenbedingungen und der Gestaltbarkeit der Netze, neben den Kriterien aus Abbildung 2, weitere Kriterien zu beachten sein. Die Kriterien werden von den vier Partnern des Projektes interdisziplinär entwickelt und berücksichtigen Randbedingungen und Anforderungen die sich durch den Einsatz von Elektrobussen im Linienbetrieb mit der neuen Klimatisierungstechnologie ergeben. Die multikriterielle Analyse erfordert somit eine Abwägung zwischen betrieblichen, ökologischen, fahrzeugtechnischen und infrastrukturellen Aspekten (vgl. Tab.1).
Betriebsablauf Linienlänge Wendezeit Fahrgastnachfrage Fahrzeugtechnik Geschwindigkeit Rekuperationspotential Ökologie Lärmbelastung Schadstoff-emissionen Infrastruktur Integration Ladeinfrastruktur Netzinfrastruktur der

Tabelle 1: Kriterien für den Einsatz von Elektrobussen (Quelle: eigene Darstellung May)

Der Einsatz von Elektrobussen im ÖPNV wird zu einer Veränderung in der Angebots- und Betriebsplanung führen. Um den Elektrobus optimal einzubeziehen ist es wichtig, dass der Linientyp und die Netzstruktur den Einsatz ermöglichen ohne dabei die Attraktivität des ÖPNV-Angebots zu beeinflussen. Der Bereich Betriebsablauf beinhaltet daher Kriterien, die aus betrieblicher Sicht den Einsatz von Elektrobussen begünstigen. Bedeutende Unterschiede zum Dieselbus liegen in der begrenzten Reichweite und dem erforderlichen Laden oder Wechseln der Batterie. Für den Betrieb mit Elektrobussen sind solche Linien geeignet, die ein entsprechendes Betriebskonzept durch ihre geographischen und organisatorischen Eigenschaften unterstützen. Des Weiteren sollen die Vorteile des Elektrobusses bestmöglich genutzt werden, da so Resscourcen eingespart und der Nutzen gesteigert werden können. Die Kriterien aus dem Bereich Fahrzeugtechnik berücksichtigen den zu erwartenden Energieverbrauch der Fahrzeuge. Durch die Kriterien aus dem Bereich Ökologie soll die Umweltentlastung Beachtung finden, die durch den Einsatz der Elektrobusse entsteht. Da ein Elektrobus bei dem momentanen Strommix nur lokal CO2-frei ist, bietet sich der Einsatz von Elektrobussen auf einer Linie an, bei der die größte Anzahl durch Schadstoffe betroffener Anwohner entlastet werden kann. Der Bereich Infrastruktur behandelt die Problematik der Ladeorte und Ladestrategien, die sich durch den Einsatz von Elektrobussen ergibt. 4.1 Betriebliche Kriterien Die betrieblichen Kriterien setzen sich zusammen aus der Linienlänge, der Wendezeit sowie der Fahrgastnachfrage. Die Informationen für diese Kriterien können zum Teil direkt aus dem Fahrplan abgelesen werden. 4.1.1 Linienlänge Durch die begrenzten Energievorräte eines Elektrobusses ist die Reichweite der Fahrzeuge beschränkt. Die Linienlänge hat einen Einfluss auf die mitzuführende Energiemenge des Elektrobusses, die notwendige Ladeleistung an den Ladestationen sowie die Batteriekapazität im Bus. Bei langen Linien sind die Batterie sowie die Ladeleistung deutlich größer zu dimensionieren als bei kurzen. 4.1.2 Wendezeit Bei einem optimalen Fahrplan sollte die Wendezeit möglichst gering sein, da in dieser Zeit keine Verkehrsleistung erbracht wird. Dies spiegelt sich auch im Fahrplanwirkungsgrad wieder. Der Fahrplanwirkungsgrad dient in der Betriebsplanung als Qualitätsindikator für den erstellten Fahrplan, indem er den Anteil der Beförderungszeit an der Umlaufzeit ausweist. (Köhler, 2001) Wenn die Wendezeit jedoch für das Nachladen eines Elektrobusses benötigt werden kann, ist eine aus betrieblichen Gründen schon vorhandene, lange Wendezeit besonders günstig. Für das Nachladen der Busse
Proceedings REAL CORP 2014 Tagungsband 21-23 May 2014,Vienna, Austria. http://www.corp.at ISBN: 978-3-9503110-6-8 (CD-ROM); ISBN: 978-3-9503110-7-5 (Print) Editors: Manfred SCHRENK, Vasily V. POPOVICH, Peter ZEILE, Pietro ELISEI

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kann jedoch nicht die gesamte Wendezeit genutzt werden. Je nach Ladetechnologie ist ein mehr oder weniger langer Initialisierungsprozess notwendig. Zudem sollte auch weiterhin ein Puffer eingeplant sein, um Verspätungen auffangen zu können. Verlängerte Wendezeiten können auch bei der Personaldisposition genutzt werden. Die Standzeiten der Busse können mit den Pausenzeiten des Fahrpersonals kombiniert werden, sodass weniger Fahrerwechsel nötig sind. Demnach eigenen sich Linien mit einer schon vorhandenen langen Wendezeit besonders gut für den Einsatz eines Elektrobusses. 4.1.3 Fahrgastnachfrage

Wenn der Elektrobus in die bestehenden Strukturen des ÖPNV integriert werden soll, sollte der einzusetzende Bus in der Lage sein, dass Fahrgastaufkommen der bisherigen Linie aufzunehmen. Die Größe des Busses ist demnach so zu wählen, dass genügend Plätze vorhanden sind, um die derzeitige Nachfrage auf dieser Linie befördern zu können. Dabei sollte die Beförderungsqualität in den Fahrzeugen beachtet werden. Der Verband Deutscher Verkehrsunternehmen (VDV) empfiehlt im ÖPNV einen Besetzungsgrad von 65% als Mittelwert über die Spitzenstunde nicht zu überschreiten (VDV, 2001). Der Besetzungsgrad ist der Quotient aus der Zahl der Fahrgäste und der Zahl der Plätze (Sitz- und Stehplätze) je Richtung. Wenn der bisherige Fahrplan der Linie beibehalten werden soll, ist die Größe und Anzahl der einzusetzenden Elektrobusse dementsprechend auszuwählen. Anderenfalls sollte der Fahrplan der Linie hinsichtlich Takt und Umlaufzeit angepasst werden. 4.2 Fahrzeugtechnische Kriterien Die fahrzeugtechnischen Kriterien setzen sich zusammen aus der Geschwindigkeit und dem Rekuperationspotential. 4.2.1 Geschwindigkeit Gerade der ÖPNV eignet sich durch die geringen Durchschnittsgeschwindigkeiten besonders gut für den Einsatz von Elektrobussen, da diese in der Regel für einen geringen Geschwindigkeitsbereich ausgelegt sind. Der Einsatz eines Elektrobusses bietet sich auf den Strecken an, bei denen ein Dieselbus besonders ineffizient ist. Dies ist gerade im langsamen Geschwindigkeitsbereich der Fall. Denn dort arbeitet der Dieselbus im niedrigen Teillastbereich. (VDV, 1999) Die Fahrplangeschwindigkeit ergibt sich aus der Division der Fahrplankilometer mit der Fahrplanzeit, und kann als erster Anhaltspunkt für die durchschnittliche Geschwindigkeit auf einer Linie dienen. Sollte diese durchschnittliche Geschwindigkeit die Höchstgeschwindigkeit des Elektrobusses übersteigen, ist ein Einsatz des Fahrzeugs auf dieser Linie nicht möglich. 4.2.2 Rekuperationspotential Elektrobusse können dank eines regenerativen Bremssystems auch Energie zurückgewinnen. Die zurückgewonnene Energie kann in der Batterie gespeichert und erneut verwendet werden. Die Energierückgewinnung wird aktiviert, sobald der Fahrer den Fuß vom Gaspedal nimmt. Linienwege, auf denen viel Energie zurückgewonnen werden kann, bieten sich daher besonders für den Einsatz von Elektrobussen an.

4.3 Ökologische Kriterien Die ökologischen Kriterien umfassen die Kriterien Lärmbelastung und Schadstoffemissionen. Elektrofahrzeuge gelten als besonders umweltfreundlich. Die von ihnen ausgehenden Belastungen sowohl durch Schadstoffe als auch durch Lärm sind deutlich geringer als die eines Dieselbusses. 4.3.1 Lärmbelastung Im städtischen Umfeld gilt vor allem der Straßenverkehr als Hautpverursacher des Lärms (UBA, 2011). Während man den Güterverkehr zeitlich und räumlich leiten kann, ist dies im ÖPNV keine Option. Da ein Elektrobus durch den nahezu geräuschlosen Motor deutlich weniger Lärm verursacht als ein Bus mit Verbrennungsmotor, würde der Einsatz von Elektrobussen gerade in dicht besiedelten Bereichen zu einer spürbaren Reduzierung der Lärmbelastung beitragen. Bei höheren Geschwindigkeiten verursacht ein

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Elektrobus jedoch ebenso Roll- und Windgeräusche wie ein konventioneller Bus. Daher würde der Unterschied gerade bei geringen Geschwindigkeiten deutlich. Je dichter der Bereich um den Linienverlauf herum besiedelt ist, umso höher würde der Nutzen durch eine Umstellung auf Elektrobusse ausfallen. Die Elektromobilität könnte auf dieser Linie somit zu einer beträchtlichen Entlastung im Bereich des Lärms führen. 4.3.2 Schadstoffemissionen

Durch den Einsatz von Elektrobussen kann der Schadstoffausstoß im Vergleich zu Dieselbussen reduziert werden. Jedoch lässt er sich derzeit noch nicht vollständig vermeiden. Ein elektrisch betriebener Bus stößt beim Fahrvorgang zwar kein Kohlenstoffdioxid (CO2) aus, jedoch kann der Strom, der zur Ladung der Fahrzeuge benötigt wird, mit Emissionen behaftet sein. Das Treibhausgas CO2, welches beim Verbrennen fossiler Entergieträger entsteht, wirkt sich auf das Klima aus und ist mitverantwortlich für den Treibhauseffekt (Dykhoff, Souren, 2007). Die elektrische Energie zum Laden der Batterien muss demnach als Zwischenprodukt gesehen werden, bei dem als Primärenenergieträger vor allem fossile Brennstoffe in Großkraftwerken zum Einsatz kommen. Bei dem derzeitigen Strommix in Deutschland fährt ein Fahrzeug mit Elektroantrieb somit nicht wirklich schadstoffärmer als mit Verbrennungsmotor (Öko-Institut, ISOE, 2011). Damit die Umstellung der Busse auf Elektroantriebe auch zum Klimaschutz beitragen kann und die CO2-Emissionen dauerhaft gesenkt werden können, müsste der Energiebedarf auf erneuerbare Weise gedeckt werden. Der schnelle Ausbau erneuerbarer Energien ist dafür unumgänglich. Die Umstellung auf Elektrobusse und die Verlagerung des Emissionsortes aus dem Ballungsraum trägt momentan somit noch nicht zum Klimaschutz bei, sehr wohl aber zum Gesundheitsschutz der Bevölkerung, da neben dem klimaschädlichen CO2-Ausstoß, ein Teil der Schadstoffe, wie z. B. Stickoxide, Schwefeloxide oder Partikel auch gesundheitsschädigend wirken (FGSV, 1998). Die Schädigung des menschlichen Organismus kann sich z. B. in emissionsbedingten Atemwegserkrankungen, Augenreizungen oder auch Herz-Kreislauf-Störungen äußern. Demnach sind nicht nur die globalen Emissionen von Bedeutung, sondern auch die lokale Verteilung der Schadstoffe. Die Feinstaubbelastung kann durch den Einsatz von Elektrobussen stark reduziert werden, da elektrische Motoren im Betrieb keine Partikel ausstoßen und demnach Feinstaub nur durch den Reifen- und Straßenabrieb entsteht. Dies würde die Kommunen dabei unterstützen die geforderten Grenzwerte einzuhalten. Da Elektrobusse lokal nahezu emissionsfrei sind, ist der Nutzen eines Elektrobusses folglich besonders groß, wenn der Bus innerhalb von dicht besiedelten Gebieten fährt und somit dort zu einer Reduzierung der Schadstoffbelastungen führt. Durch eine genaue Analyse des genutzten Strommixes könnte zudem eine Aussage über den Beitrag zum Klimaschutz getroffen werden. 4.4 Infrastrukturelle Kriterien Zu den infrastrukturellen Kriterien zählen die Integration der Ladeinfrastruktur sowie die Netzinfrastruktur. Zum einen muss die Ladeinfrastruktur am Ladeort städtebaulich eingebunden werden können. Zum anderen sollte die Netzinfrastruktur ein Laden an diesem Ort auch ermöglichen. 4.4.1 Integration der Ladeinfrastruktur

Um je nach Ladestrategie ein Nachladen der Busse oder einen Wechsel der Batterie ermöglichen zu können, sollte die Errichtung der benötigten Ladeinfrastruktur an dieser Linie bzw. in der Stadt auch möglich sein. Für den Wechsel der Batterie werden Wechselstationen benötigt, welche eine relativ große Fläche in Anspruch nehmen. Für das Laden der Batterie des Elektrobusses wird eine Ladestation benötigt. Da die ortsfeste Ladestation in räumlicher Nähe zum Bus sein muss, sollte am Ladeort für den Bus ein garantierter Stellpaltz vorhanden sein. Gerade in der Innenstadt behindern Lieferverkehre oder Falschparker häufig die Haltestellen der Busse. Solche Störungen sind im Umland, bei geringerem Parkdruck tendenziell seltener zu erwarten. Der mögliche Ladeort des Busses sollte demnach eine ausreichende Fläche aufweisen, um eine Lade- bzw. Wechselstation errichten zu können. Bei der Wahl des Ladeortes könnte auch untersucht werden inwieweit eine Nutzung der Ladeinfrastruktur durch andere Nutzergruppen wie z. B. Lieferverkehre möglich wäre.

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4.4.2

Netzinfrastruktur

Bei der Auswahl der Ladestrategie und der Errichtung von Lade- oder Wechselstationen ist eine Analyse der bestehenden Netzinfrastruktur erforderlich. Mögliche Ladeorte sollten über eine ausreichend vorhandene Stromnetzinfrastruktur verfügen, um das Laden der Batterie ermöglichen zu können. Sollte die vorhandene Infrastruktur nicht ausreichend sein, ist zu überprüfen, ob der Ausbau möglich ist, und ob er an diesem Ort auch als sinnvoll erachtet wird. Darüber hinaus sollte auch überprüft werden, wie sich ein Aufladen vieler Elektrobusse in Spitzenlastzeiten auf die Stromnetze auswirkt, und ob größere Beschränkungen auftreten könnten. Durch ein intelligentes Lademanagement könnte dem entgegengewirkt werden. Eine weitere Herausforderung stellt die Kopplung der Elektrobusse an erneuerbare Energien dar. Wenn die Anbindungspotentiale des Ladeortes an das Stromnetz besonders hoch sind, bietet sich der Einsatz eines Elektrobusses auf dieser Linie an. 5 FAZIT UND AUSBLICK Der Einsatz von Elektrobussen wird im Vergleich zur Dieseltechnologie zu Einschränkungen im Hinblick auf eine deutlich geringere Reichweite, höhere Anschaffungskosten und Mindeststandzeiten bedingt durch die Aufladung oder den Austausch der Batterien führen. Dies wird zu einem Wechselspiel zwischen nachfragebedingten und elektrooptimalen Netzstrukturen führen. Um diese Herausforderungen bestmöglich zu meistern, ist die Entwicklung geeigneter Linien- und Netztypen für den Einsatz von Elektrobussen unbedingt erforderlich. Im Vergleich zum herkömmlichen Antrieb wird beim Einsatz von Elektrobussen ein geringerer Schadstoffausstoß, geringere Lärmemissionen sowie ein geringerer Energieverbrauch erwartet. Im Rahmen des durch die Mittel der Exzellenzinitiative des Bundes und der Länder geförderten Projektes „CO2-neutrale Klimatisierungstechnologie für Elektrobusse“ sind Kriterien entwickelt worden, die die Grundlage für einen multikriteriellen Ansatz bilden der die verschiedenen Möglichkeiten hinsichtlich einer Vereinbarkeit der Kriterien aufzeigt. Die entwickelten Kriterien stellen dabei keine Endlösung dar. Es ist ein ergebnisoffener Prozess, der das Wechselspiel der Kriterien aufzeigen und als Hilfestellung dienen soll. Im Laufe des Projektes werden die Kriterien, aufgrund der neuen Klimatisierungstechnologie, durch weitere Kriterien zu ergänzen sein. So kann bei dem Klimakonzept z. B. eine Nebelwolke entstehen, die städtebaulich berücksichtigt werden muss. Auch ein Wasseranschluss, nahegelegene Abwärmequellen und ein Anschluss an das Fernwärmenetz könnten für das Klimakonzept relevant sein und einen Einfluss auf mögliche Ladeorte nehmen. Der multikriterielle Ansatz bildet die Grundlage für die Ableitung elektrooptimaler Netz- und Linientypen, die neue Anforderungen berücksichtigen und somit den Einsatz von Elektrobussen begünstigen. Durch den Einsatz von Elektrobussen können lokal emissionsfreie und nachhaltigere Mobilitätskonzepte unterstützt werden. Der effiziente Einsatz von Elektrobussen trägt demnach zum Umweltschutz bei und steigert die Lebensqualität in den Innenstädten, wodurch ein positiver Beitrag zum Themenfeld Verkehr und Mobilität auf dem Weg zu einer Smart City geleistet werden kann. 6 LITERATUR

Dyckhoff, Harald; Souren Rainer: Nachhaltige Unternehmensführung. Grundzüge industriellen Umweltmanagements. Berlin, Heidelberg 2007. Forschungsgesellschaft für Straßen- und Verkehrswesen (FGSV): Volkswirtschaftliche Kosten und Nutzen des Verkehrs. Heft 108. Bonn 1998. Forschungsgesellschaft für Straßen- und Verkehrswesen (FGSV): Empfehlungen für Planung und Betrieb des öffentlichen Personennahverkehrs. Köln 2010. Institut für Technische und Makromolekulare Chemie (ITMC), Lehrstuhl und Institut für Stadtbauwesen und Stadtverkehr (ISB), Lehrstuhl für Technische Thermodynamik (LTT), Lehrstuhl und Institut für Stromrichtertechnik und Elektrische Antriebe (ISEA): CO2-neutrale Klimatisierungstechnologie für Elektrobusse. Unveröffentlichtes Angebot. Aachen 2013. Kirchhoff, P.; Heinze W.; Köhler U.; et. al.: Planungshandbuch für den öffentlichen Personennahverkehr in der Fläche; Bundesministerium für Verkehr, Bau- und Wohnungswesen, Reihe direkt, Heft 5. Bonn 1999. Köhler, Uwe: Verkehr. Straße, Schiene, Luft. Kap. A-8, A-9, Abschn. B-3.1, B-5.2, C-2.5, Kap. F-3, Berlin 2001. Lam, Albert Y.S.; Leung, Yiu-Wing; Chu Xiaowen: Electric Vehicle Charging Station Placement: Formulation, Complexity, and Solutions. Department of Computer Science, Hong Kong Baptist University, Kowloon Tong. Hong Kong 2013. Öko-Institut e.V. & Institut für sozial-ökologische Forschung (ISOE): OPTUM: Optimierung der Umweltentlastungspotenziale von Elektrofahrzeugen. Schlussbericht. Freiberg 2011. Sinhuber, Phillip; Rohlfs, Werner; Sauer, Dirk Uwe: Study on Power and Energy Demand for Sizing the Energy Storage Systems for Electrified Local Public Transport Buses. IEEE Vehicle Power and Propulsion Conference, Seoul, Korea 2012.
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Carina May, Conny Louen Soffel, Christian; Schwärzel, Christine: ÖPNV als Vorreiter und Innovationsmotor der Elektromobilität in Deutschland. In: Internationales Verkehrswesen, Heft 4, S. 72 ff. Dresden 2013. Umweltbundesamt (UBA): Auswertung der Online-Lärmumfrage des Umweltbundesamtes. Dessau-Roßlau 2011. Verband Deutscher Verkehrsunternehmen (VDV): Verkehrserschließung und Verkehrsangebot im ÖPNV. Köln 2001. Verband Deutscher Verkehrsunternehmen (VDV): Linienbusse, fahrgastfreundlich - wirtschaftlich - schadstoffarm. Düsseldorf 1999.

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reviewed paper Identifying Cultural Ecosystem Services of Urban Green Infrastructure – Report about a Pilot Project undertaken in Lower Austria Christine Rottenbacher, Tim Cassidy
(DI Dr. techn. Christine Rottenbacher, Ingenieurbüro für Landschaftsarchitektur, 2093 Geras, christine@rottenbacher.at) (Tim Cassidy, Ingenieurbüro für Landschaftsarchitektur, 2093 Geras, tim@rottenbacher.at)

1 ABSTRACT Access to adequate environmental amenities is fundamental for the sustainability and quality of human life, requiring a better understanding of ecological patterns and processes in the places most people call home. As more people will live in cities than in rural environments, this means that the daily interaction with nature for most people will come from their everyday urban places, including urban green infrastructure. The Lower Austrian "Wohnbauforschung" has funded our pilot project in Laa an der Thaya to investigate ecosystem services of urban green infrastructure. This article focuses on our identification of cultural ecosystem services. In itself, green infrastructure represents a compendium of ideals, seeking to improve human well-being and living conditions. Included in those ideals are the concepts of ecosystem services, restoration of natural habitats, improving biodiversity, human well-being and adaptation to climate change. One of the most important challenges of the 21st century is to sustain the functions of ecosystems and to support ecosystem services for those issues. Urban green infrastructure is intrinsically a heterogeneous landscape of microinfrastructure networks set in a culturally-determined ecosystem. Sustaining and co-ordinating the multiple benefits from an urban network of neighbourhood green infrastructure will require an integrated landscape framework, a coherent approach to governance and collaborative adaptive management. Urban green infrastructure is considered more and more as a strong sustainable tool in adressing those challenges1. A paradigm shift at multi-scalar levels requires an urban green infrastructure strategy that integrates some of the fundamental concerns of urban citizens in their everyday lives. These include quiet places for contemplation and restoration of their health and well-being, environmental security, and the cultivation and culture of food. In these everyday gestures can the relationship between people and nature be restored. The value of ecosystem services in the form of urban green infrastructure has become increasingly recognised in the policy agenda (Carpenter et al., 2009), supported by a growing number of studies on their benefits and costs. But the gap to implementation remains to be bridged over. As the ecosystem services of green infrastructure are still not well recognised in Austrian municipal councils, we initiated a place-based approach to the perception of green infrastructure and climate change in Laa an der Thaya. This pilot project aims on the one hand to enhance the understanding of ecosystem service benefits of green infrastructure and on the other to strengthen the potential for the implementation of green. Urban green infrastructure included all public spaces, urban forests and parks. We considered green infrastructure as a network integrating a broad range of quality green places, designed and managed to enhance the character of place, while providing multiple benefits of ecosystem services. Our investigations at selected places represent a placebased scale where it is possible for humans to perceive and understand effects of climate change, as well as the benefits of urban green infrastructure. Within this approach the perceived cultural ecosystem services of the stakeholders were incorporated with a survey of existing ecosystem services (CO2 storage, rainwater management and urban heat island effects) to estimate the benefits from green infrastructure. This would lead to the intitial development of modules to implement and enhance the urban green infrastructure in Laa. To overcome the barriers to implement green infrastructure an integrated approach has been developed together with a core stakeholder group. The "cultural services"2 were investigated in a public participation process, the Moved Planning Process or "MPP" (Rottenbacher 2009), in conjunction with a SWOT analysis to strengthen reflection and appreciation of the natural benefits of urban green infrastructure systems. In a
see European Calls (e.g. FP7-ENV-2013- Urban biodiversity and green infrastructure) and policies (e.g. European Commission, D. G. Environment (2012). Science for Environment Policy. In-depth report on “The Multifunctionality of Green Infrastructure”. http://ec.europa.eu/environment/nature/ecosystems/docs/Green_Infrastructure.pdf
2 1

"Cultural services are primarily regarded as the ‘environmental settings, locations or situations that give rise to changes in the physical or mental states of people, and whose character are fundamentally dependent on living processes’. Over millennia these environmental settings have been co-produced by the constant interactions between humans and nature" (Church et al., 2011; Haines-Young and Potschin, 2013; in: CICES going local).
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dialogue about cultural ecosystem services and the multiple benefits of green infrastructure we defined together "special " areas, i.e. areas that are of a particular value, eg. for recreation, as meeting places, but also available places wherein green infrastructure can be implemented. 2 DEFINITIONS

2.1 Urban Green Infrastructure Green infrastructure is defined as an interconnected network of green space that conserves natural ecosystem values and functions to provide associated benefits to human populations. "The underlying principle of Green Infrastructure is that the same area of land can frequently offer multiple benefits. By enhancing Green Infrastructure, valuable landscape features can be maintained or created, which are not only valuable for biodiversity but also contribute to the delivery of ecosystem services such as the provision of clean water, productive soil, attractive recreational areas as well as climate change mitigation and adaptation. In addition, Green Infrastructure can sometimes be a cost-effective alternative or be complementary to grey infrastructure and intensive land use change." (31.7.12: http://ec.europa.eu/environment/nature/ecosystems) Different studies and reports present a variety of definitions of green infrastructure. These definitions differ in their emphasis on the various components, features and characteristics of green infrastructure. Some definitions stress the importance of biodiversity conservation, through the role in connecting ecological networks and contributing to landscape scale conservation. Others focus on the functionality of green infrastructure and stress its importance in providing ecosystem services, comparing its role to man made infrastructure such as engineered drainage systems and flood defences. In other context, the emphasis is on the benefits of green infrastructure to communities in enhancing the built environment and providing a resource for recreation, supporting human health and improving quality of life. Urban green infrastructure is primarily set within a human ecosystem that is defined by gradients of “nature”, and its 'domesticated' ecosystem functions, services and biodiversity. This matrix represents the relationship between humans and nature whose cultural landscape is a unique signature of ecosystem services. Furthermore, humans privilege certain green infrastructure forms and processes over others, to maximise benefits possibly at the expense of ecosystem functions and intrinsic values. In negotiating a framework to recognise the potential for socio-cultural adaptations, we require a dialogue to explore the relationship between people and their urban nature. This is to reach a more durable stewardship of natural processes that would manage trade-offs among ecosystem services. The green infrastructure paradigm in urban areas requires the restoration of natural processes and functions to a meaningful degree, relative to the location, type and scale of the problem (Convention on Biodiversity, 2000). Urban green infrastructure can neither be a “return to the wild” nor the dissembling objection that nature is simply a cultural artefact. Instead urban green infrastructure should provide a significant restoration of natural processes to a meaningful performance of urban ecosystem services starting with a dialogue about their cultural ecosystem services. 2.2 Ecosystem services Ecosystem Services ("ESS") derive from ecological processes or functions that are essential for human wellbeing and have a value to individuals or society at large. The terms ecosystem function and ecosystem service have been used interchangeably, creating confusion that still exists. Ecosystem function is defined as the "capacity or capability of the ecosystem to do something that is potentially useful to people" (Costanza et al., 1997). The capacity to deliver a service exists independently of whether anyone wants that service. This capacity becomes a service when benefits can be identified. “Put simply using ecosystem-based approaches means working with nature for human well-being."3

In May 2011, the European Commission adopted the Biodiversity Strategy which aims to halt the loss of biodiversity in the EU by 2020. Target 2 of this Strategy states that "by 2020, ecosystems and their services are maintained and enhanced by establishing green infrastructure and restoring at least 15% of degraded ecosystems. To achieve this target three closely related actions are foreseen: • Improve knowledge of ecosystems and their services in the EU (Action 5) • Development of a Green infrastructure Strategy (Action 6) • Ensure no net loss of biodiversity and ecosystem services (Action 7)"

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Christine Rottenbacher, Tim Cassidy

We consider that the sustainable use of ecosystem services, delivered in the form of urban green infrastructure, is a cost-effective solution in mitigating the anthropogenic impacts of urban regions.

Fig.1 The ecosystem service cascade model, showing the relationship between biophysical structures and processes, functions, services, and benefits as well as values for human well-being (Potschin and Haines-Young, 2011)

2.2.1

Valuing ecosystem services of urban green infrastructure

For an integrated cultural ecosystem services approach it is particularly important to assess local knowledge and place-based values in conjunction with biophysical parameters associated with the range of ecosystem services available. In urban centres, where humans with their cultural diversity are an integral ecosystem component, such services are indispensable to the quality of urban life. However these services have been the most impacted from degradation. Integrating cultural ecosystem services into decision making and planning processes incorporates different societal concepts of world views, meanings and attachment to place and include values associated with place. The concept of values (natural character values of green infrastructure and character values of place e.g. identification and attachment) describes the process of evaluation by which people and their communities attach importance or significance to a natural process or natural resource within their neighbourhood or locality. Character values of place are defined by place quality parameters (design analysis) and by the attachment to place. The dynamic relationship between the biophysical and cultural worlds play a role in facilitating place making4 and place meaning.5 People come to identify with nature and place within an integrated process. Personal knowledge about place derived from experiences is incorporated into the cultural framework dealing with social relationships, circumstances, patterns and other codes of conduct. These structures and social realities are reconstructed, confirmed and extended with everyday experiences with place. Simultaneously the modalities of perception orientate individual feelings, emotions and thinking patterns. The capacities for environmental concern in the context of place making lie in how we perceive, feel, discover and invent place, and how we integrate our concern into to everyday actions. There have been investigations concerning the role of cultural values, meanings and place attachment (Höppner et.al.2008), how they determine self-efficacy and outcome-efficacy in place-based participation processes. This then can be further developed to an ongoing adaptation of actions necessary to implement and maintain green infrastructure. These feedbacks can reduce policy resistance as it requires us to see how our actions feed back to shape our environment (Sterman 2008). Adaptive management provides a useful and widely applicable approach: • • • can be applied at different scales (regional, national and local) and benefits can be realised over short and long term time periods; may be more cost-effective than measures based on hard infrastructure and engineering; can integrate local traditions and cultural values.

The TEEB synthesis report (2010) identified aspects of cultural ecosystem services (e.g. spiritual values) as non-use values that are not associated with actual use but stem from people’s knowledge that nature exists
The concept of place making describes the process how the values are manifested in ongoing behavior, engagement and maintenance of place. 5 Meaning of places represents various phenomena of emotional relationships to places (positive and negative). The range reaches from concepts of rootedness, of belonging, protection, appropriation, the sense of possession and control over a place, of comfort, to humans´experiences with nature and wilderness.
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(‘existence value’) or because they wish it to exist for future generations (‘bequest value’) or for others in present generations (‘altruist value’). Generally these are important values and are rarely valued in monetary terms. 2.2.2 Frameworks for classifications- from MA to CICES As there are a diversity of approaches and multiple classifications, comparisons of assessments are difficult. Often used classification systems are the Millenium Assessment (2005) ("MA") and Common International Classification for Ecosystem Services (2012) ("CICES"). According to the complexity of the topic and the different ideals staying behind it seems reasonable to integrate these classification models within holistic planning frameworks and adaptive management. A need was recognized to design a "common base" of approach that enables comparison between ESS assessments at different places (Haines-Young and Potschin, 2009). This approach should be specific enough to relate to the several context, while remaining relevant to a multitude of objectives for which frameworks and adaptive implementations can be developed (Nahlik et al., 2011). CICES in comparison to MA refers to the final outputs from ecosystems. Following common usage in the ESS literature, the classification recognises these outputs to be provisioning, regulating and maintenance, and cultural services, but it does not cover "supporting services" used in the MA. As the supporting services are only indirectly consumed or used, they are treated as part of the underlying structures and processes that characterise ecosystems. CICES was initiated by the European Environment Agency (EEA) and is coordinated by the University of Nottingham (Haines-Young and Potschin6). One of the advantages of the CICES approach is that it allows adjustment to local conditions. The latest CICES classification for cultural ecosystem services was applied to focus areas in Laa using a participation and negotiation process, while integrating the benefits of regulating services. 2.2.3 Cultural Ecosystem Services

All cultural service classes in CICES refer to a bio-physical setting that can provide cultural services. Direct benefits we can derive from cultural services are: • • • • • • recreation – physical, social, spiritual and mental well-being; nature exploration, contemplation; living in an attractive and healthy environment; nature education; motoric and creative development for children; ongoing cognitive recreation, reflection and development (not in CICES).

Benefits for wellbeing are mentioned in the last column of CICES. There also benefits like the satisfaction and mental well-being from outdoor work are mentioned. Our Investigation in Laa focused on regulating and cutural services.

Fig.2 Focus of work /Regulating- and Cultural Ecosystem Services

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Haines-Young and Potschin are mainly responsible for adaptations of the CICES classifications.
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For surveying cultural services we combined the recent classification of CICES-Be7 (Turkelboom et al. 2013) with insights from environmental studies about human health and well-being in the context of urban green infrastructure and the Moved Planning Process (MPP). Our goal was to enhance the classification, as well as to develop an implementation and management framework, using the dynamics of the community to express their identification with the cultural ecosystem services. We also assessed degraded or missing services in order to identify opportunities for additional green infrastructure. The relationships between nature, environmental changes and human health are complex because they often can be perceived and experienced indirectly, displaced in space and time. Human health ultimately depends on ecosystem benefits, which are essential for a productive livelihood. The diversity of interactions between climate change, changing conditions for urban vegetation as well as health and well-being is not yet integrated in planning frameworks. Longer hotter summers can cause an increase of greenhouse gases, health effects due to the heat, an increase in energy costs due to the increased demand for air conditioning and a deterioration of the conditions of urban vegetation. Well-being in residential environments is based on a continuum of available identification and fields for expressions and activities, each dependent on contact with green places in their seasonal rhythms. Wellbeing also identifies several components for a good life, such as freedom and choice, health, good social relations and personal safety. Research results about the relationship human-nature suggest that parks and other natural environments play a crucial role in human health and well-being as humans also have psychological, emotional and spiritual needs (Wilson 1984, Frumkin 2001, Wilson 2001). An interesting overview about research and assessment methods on nature experience, cognitive function and mental health is given by Bratman, Hamilton and Daily (2012), who differenciate which elements of the natural environment may have impacts on cognitive function and mental health and what may be the most effective type, duration, and frequency of contact. Nature contact can happen in various forms: • • Stay in a park can reduce stress, the experience of green spaces support recreation and relaxation, stress reduction and mental health. Natural environments also have a restorative function. Ulrich (1984) for example, examined that hospital patients with views of trees and nature in front of their windows experience faster healing;

Chiesura (2003) has shown that natural environments with vegetation and water cause relaxation - using this natural elements for calming in urban areas is increasing - as stress is a growing aspect of daily life in towns. In addition to aesthetic, cognitive, and health benefits, natural features can also bring social benefits, such as a diverse use of open space, which can increase social integration and interaction among neighbors. For example, national and international initiatives for urban community gardening that provide a cogent means to strengthen integration of immigrant communities.8 3 STRATEGY Collaborative adaptive management provides a strategic approach to realise the potential of sustainable ecosystem services in mitigating the impacts from urban settlements and development. 3.1 Collaborative Adaptive Management CAM The collaborative adaptive management approach is an implementation framework for urban green infrastructure that facilitates and enhances community participation, collaboration, monitoring, natural character assessments, best practice guidelines, conflict resolution and negotiation with policy impediments. It represents a flexible platform for citizen science and support for communities of practice. Adaptive management is a paradigm that assumes urban green infrastructure policies and actions are not static, but are adjusted based on learning from actions affecting ecosystem functions and services. A collaborative adaptive management approach incorporates and links knowledge and credible science with the experience and values of stakeholders for more effective management decision making.
CICES-Be (Belgium) is a recent development of the CICES framework that provided a more refined categorisation of cultural services that was more amenable to our project in Laa. 8 see research results on https://communitygarden.org/resources/research/, from 3.3.2014.
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Identifying Cultural Ecosystem Services of Urban Green Infrastructure – Report about a Pilot Project undertaken in Lower Austria According to Sterman (2008), complexity in a world (i.e. ecosystem) that is dynamic, evolving and

Fig.3 CAM Collaborative Adaptive Management to integrate learning and acting

interconnected reduces our ability to discover the impacts of interventions. This hinders the implementation of policies on the basis of evidence.9 Even when strong evidence is available, common mental models and judgemental bias lead to erroneous but self-confirming inferences: overconfidence in our judgments (underestimating uncertainty); wishful thinking (assessing desired outcomes as more likely than undesired outcomes); confirmation bias (seeking evidence consistent with our preconceptions). There is a tendency to think in short, causal chains, assuming each effect has a single cause. Ignoring or not recognising feedbacks in policy design can lead to policy resistance. Given the inherent ecological and social uncertainty in complex urban decision making, adaptive management recognises that it is not always possible, a priori, to identify the "best" management alternative. Therefore, an experimental approach is warranted, and learning about the system becomes a deliberate goal. In the Laa project we try to increase public knowledge by initiating an iterative learning process or 'spiral' through the reflection of cultural ecosystem services. This then will be embedded in a collaborative adaptive management program. 3.2 Communities of Practice The concept of communities of practice ("CoP") is based on social learning theories and practices to address complex systems and challenging environmental issues. There is a dynamic connection between identity and practice. Developing a practice requires the formation of a community whose members can engage with one another. They deal with shared interests as well as with the group dynamic of shared practice, and the effects of belonging to the group through the way they engage in action with one another and relate to one another. The challenge is to foster CoP development with existing neighbouhood groups in Laa. In this sense, the formation of a community of practice is also the negotiation of identities: • • • • Identity as negotiated experience. We define who we are by the ways we experience ourselves through participation. Identity as community membership. We define who we are by the familiar and the unfamiliar. Identity as a learning trajectory. We define who we are by where we have been and where we are going. Identity as a relation between the local and the global. We define who we are by negotiating local ways of belonging to broader constellations and of manifesting broader discourses (Wenger 2010).

We investigated methods of stakeholder and community participation using the Moved Planning Process (MPP) combined with targeted focus group interviews, along with participatory mapping of community and place character values. These initiatives are designed to link local perceptions of place to environmental values, providing an important contribution of local knowledge. Similarly the aim is to raise awareness of the
“Creating a healthy, sustainable future requires a fundamental shift in the way we generate, learn from, and act on evidence about the delayed and distal effects of our technologies, policies, and institutions. Deep change in mental models arises when evidence not only alters our decisions within the context of existing frames, but also feeds back to alter our mental models. An iterative learning process in which we replace a reductionist, narrow, short-run, static view of the world with a holistic, broad, long-term, dynamic view, reinventing our policies and institutions accordingly." (Sterman 2008).
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green infrastructure policy, as well as opportunities for implementation and innovation. These investigation methods also provide insights into attachment to place in conjunction with green infrastructure functions, spatial structures and services. The place- and people-based approach is used to directly investigate local knowledge and local perceptions of individuals and groups, collecting and sharing narratives. Based on the concept that places can retain a position of significance for individuals because they are repositories of personalised memories and centres of everyday routines, we assume they are distinguished by the uniqueness of personal place attachments. At the same time, collective sentiments too can accord meaning to place. Social places are similarly textured by layers of everyday meanings and representations of narratives. When personalised and collectivised meanings intersect, place meanings are augmented, by: • Developing place meanings as a successor of inventive interplays between time and setting, varying with individuals and the conditions in which they find themselves, as well as with groups of individuals. Identifying places through their character and personality that distinguish them from other places. People identify with a place, to feel a sense of belonging and attachment to it (Manzo 2005).

•

Each community develops its practice by sharing and developing the knowledge of the participants. Elements of a practice include its repertoire of tools, methods and stories as well as activities related to learning and innovation (Wenger 2010). The MPP also supported the dynamics of existing neighbourhood groups. Walking as a group was undertaken at selected sites to help express emotional relationships (attachment to place), to use the dynamic of mutual experiencing of meanings within the group. We walked together through the places and conducted different place/nature experience questionnaires. As imagination and understanding emerge from our embodied experiences, the walk of the group, the bodily movement and interaction integrate recurring patterns of perception and develop new ones (Rottenbacher 2009). The coexistence of shared grasping and deciphering contain already prearrangements about the shared "lebensraum", and can lead to monitoring and maintaining activities. The results were developed into insights about:
Invisible Parameters of Place Values (investigated by questionaires, narratives, MPP) Place identity Sense of place/spiritual places Place attachment of individuals Community attachment Visible Parameters of Place Values (investigated by questionaires, narratives, MPP) Architectural Analysis of Place Natural Character of Place

Tab.1 Differentiation of visible and invisible parameters of place values

4 INVESTIGATION IN LAA To reach the public on several levels we started with a press conference and developed a TV video about ecosystem services in Laa, writing as well in the local newspapers and starting to work together with the town renewal initiative. There we built a core stakeholder group consisting of interested parties from the public and employees of the municipality. The following steps were: • • • We investigated cultural ecosystem services together with affected people, integrated perceptions and defined shared values together with the core stakeholder group. We related our expert knowledge with the everyday knowledge of the neighborhood groups during the assessments and reviewed it together with the core stakeholder group. We developed modules for implementaions according to the different local built qualities and the existing impediments with neighborhood groups.

4.1 Investigation of cultural ecosystem services together with stakeholders Based on the mentioned SWOT analysis and the resulting values attached to it the interview guide was developed, which was reflected together with the neigboorhood groups in the selected areas. This reflection

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included an inventory of the ecosystem services as well as perceptions of natural processes and functions and how climate change in the cultural city landscape is currently observable. The questions in the interview guide dealt for example with: the accessibility of the amenities, the security, sustainable available services, how often those amenities are used, who else uses them, how are qualities of natural services experienced (also questions about noise, temperature, smell, dust), where are degraded services and about social and cultural qualities. Spiritual places were investigated as personal or shared "Kraftplätze" beside religiously occupied places. The interview guide was presented to the neighborhood groups, where the individual participants were asked to move around the place for experiencing place and answering the questions. Afterwards, all were invited to walk together to show each other mutually their perceptions and meanings. In a further evaluation process the results and surveys by experts have been merged. Natural character values were attached by the core stakeholder group and external experts according to together predefined criteria and selected indicators.
Selected place Green Infrastructure and Natural Character Sealed/degraded environment plaster-sealing-pot plants plaster and water-bound areas as well as minimal greenery (grass, annuals) also use of perennials + natives trees along streets parks urban forests Existence good air good drinking water good food free of noise free of light Health/WellBeing physical health mental /spiritual health Security differentiation: personal security accessibility amenity sustainability facilities Social Relations definition of different qualities for meeting places, retreat places, gardening maintenance, places together Meaning Of Place differentiation of: historical meanings, aesthetic valuation naming of places and narratives

Tab.2 Example for classification of place character values

4.2 Merging expert knowledge with local knowledge The concept that expert knowledge has to be merged with the everyday knowledge of the residents to develop sustainable local solutions, takes into account how people identify with place and nature. To support the CAM and CoP strategy this identification process is crucial for an ongoing stewardship. Personal knowledge of the place is derived from perceptions and experiences and incorporated in the given cultural framework and the social relations and rules. These social realities of the communities can be reconstructed, be confirmed or rejected and expanded. The capacity for expansion, e.g. a paradigm shift to use urban green infrastructure, lie in how we attach meanings to the places that constitute our identities (Manzo 2005). Main meanings and character values that could be agreed to are: Many public green areas in Laa bring the countryside into the city and are easily accessible from almost all population groups, such as the green belt along the "Mühlbach"- the "jungle" (also spiritual place), and "Thaya Park", the "Schubert and Schiller Park", the Castle Square, Church Park, the paths through the "Wehr"gardens, and the place at the tower (also spiritual place), these generate identity and character, bring the landscape into the city, provide a good connection for recreation and cause cooling and a pleasant microclimate. The city is trying to close a green belt around new settlement areas and to achieve an attractive corridor throughout those areas which was attached a high value. As degraded areas mainly the commercial centres, big sealed parking areas, some new dwelling areas were identified as "non" places, with nearly no character and natural character values. In Laa several initiatives started feeding into the CAM and CoP concept, like planting communities for trees, tree sponsorships, neighborhood groups planting and maintaining street amenity beds, swales and rainwater storing ponds in the commercial area, and initiatives of schools. 4.3 Participatory mapping and identifying places to implement green infrastructure The identified place character values were related to the map of Laa to support the process of building the CAM as an ongoing implementation framework:

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Fig. 4: Place character values

Based on this map we developed place-related proposals for interventions in accordance with the requirements of the various sites.

Fig. 5: Example for proposed implementations according to previously investigated place values

5 CONCLUSION AND OUTLOOK An integrated cultural ecosystem services approach experiences several challenges in reflecting place-based values together with stakeholders. The process of evaluation by which single individuals and communities attach importance to a cultural service and natural process can create a dynamic impulse for groups to immediately seek to enhance the amenity of places. These measures have to be embedded in a planning framework that considers costs and time for implementation to maintain the community momentum. A further decision criteria will be the calculation of existing ecosystem services (CO2 storage, rainwater management and urban heat island effects). A number of factors have been identified so far, which can support or hinder a successful implementation of urban green infrastructure in Laa an der Thaya. Impeding factors: • One major barrier is the differing priorities and points of view amongst stakeholders and the resultant competing interests and fears. For example the groundwater level in some areas still changes quite unpredictably, therefore the implementation of rainwater management modules will be difficult. Though there are enough data uncertainties in performance and cost still are strong. Further “trust building” activities are needed.

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• •

A guideline to select techniques and support the policy goal of the council is missing, this will be developed and negotiated with the council and further experts. Fragmented responsibilities and the lack of integrated management will not be resolved yet, as it is only possible to work on the level of the council, one main impediment we experienced was the lack of coordination of the energy and water infrastructure- e.g. often the hole street was used for the infrastructure and no place could be identified for planting trees. Lack of funding and effective market incentives- in Laa neighborhood groups started to organise events for collecting money for green infrastructure implementations. Practitioners and authorities require a demonstration of successful implementation in their own communities before they are willing to adopt any of the ecosystem service tools available. Special meanings, relationships play a strong role in valuing cultural ecosystem services benefits as well as certain groups and individuals overtook a dynamic role in communicating and acting.

• •

Enabling Factors: •

At the moment Laa has about 80 volunteers planting and maintaining public places. 6 ACKNOWLEDGEMENT We thank the Lower Austrian Wohnbauforschung for supporting this project. 7 REFERENCES

BRATMAN, G.N. HAMILTON, J.P. & G.C. DAILY: The impacts of nature experience on human cognitive function and mental health. in: annals of the New York Academy of Sciences. Issue: The Year in Ecology and Conservation Biology. 2012 CARPENTER, S.R., Mooney, H.A., Capistrano, A.J. et al.: Science for managing ecosystem services: beyond the Millennium Ecosystem Assessment. Proceedings of national Academy of Science USA 106:1305-1312. 2009. CHIESURA, A.: The role of urban parks for the sustainable city. in: Landscape and Urban Planning 68, 129-138. 2004. CONSTANZA, R. D’ARGE R., De GROOT R., FARBER S., GRASSO M., HANNON B., et al. (1997). The value of the world’s ecosystem services and natural capital. Nature 387:253–260. CHURCH et al., 2011; Haines-Young and Potschin, 2013; in: CICES going local. 2013. FRUMKIN, H.: Beyond Toxicity Human Health and the Natural Environment. American Journal of Preventative Medicine, 20, 234– 240. 2001. HÖPPNER, C. et al. What Drives People's Willingness to Discuss Local Landscape Development? In: Landscape Research, Vol 33, Issue 5 2008 Recovering Landscape As A Cultural Practice. 2008: MANZO, L.C.: For better or worse: Exploring multiple dimensions of place meaning. Journal of Environmental Psychology 25 (2005) 67-86. 2005. NAHLIK, A.M., Kentula M.E., Fennessy M. S. and Lander D.H.: Where is the consensus? A proposed foundation for moving ecosystem service concepts into practice. Ecological Economics, 77, 27–35. 2011 ROTTENBACHER, C. : Moved Planning Process. Shared experience leads to common agreement in the planning process. Südwestdeutscher Verlag für Hochschulschriften. 2009. STERMAN, J.D.: Risk Communication on Climate: Mental Models and Mass Balance. Science 322: 532-533. 2008. TEEB - The Economics of Ecosystems and Biodiversity for Local and Regional Policy Makers. 2010. TURKELBOOM, F., et al.: CICES going local: Ecosystem services classification adapted for a highly populated country. 2013. ULRICH, R.S.: View through a window may influence recovery from surgery. Science 224:420–421. 1984. WILSON, E. O.: Biophilia. Cambridge, MA.: Harvard University Press. 1984. WILSON, E. O.: The Ecological Footprint. Vital Speeches, 67, 274–281. 2001.

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reviewed paper In the Public Eye: Toward the Electronic Transparency of Planning Process Aleksandra Stupar, Aleksandra Djukic
(Associate Professor Dr Aleksandra Stupar, University of Belgrade, Faculty of Architecture, Bulevar kralja Aleksandra 73/2, Belgrade, Serbia, stupar@afrodita.rcub.bg.ac.rs) (Associate Professor Dr Aleksandra Djukic, University of Belgrade, Faculty of Architecture, Bulevar kralja Aleksandra 73/2, Belgrade, Serbia, adjukic@afrodita.rcub.bg.ac.rs)

1 ABSTRACT The numerous technological possibilities have significantly improved the performances of contemporary planning. The open access to information and continuous upgrading of data bases have certainly raised the level of interaction between planners/professionals and public audience/users, leading to a better understanding of sensitive urban mechanisms, anticipated development options and available spatial resources. The digitization of planning process has also become an important issue in developing countries, especially related to problems of public participation and visibility of information. Similar problems were detected in Serbia, causing delayed implementation of plans, but also blurring investment possibilities. However, during the last decade a number of planning institutions have been using web platforms to present different planning documents to the public, facilitating communication with different groups of users and providing valuable information about planned transformations. The paper discusses a relationship between contemporary cities, their digital skeleton and planning trends, focusing on the expected and achieved transparency of planning process. The case of Serbia is emphasized, considering the possibilities of digitization in the field of planning/urban development. The selected examples (Pozarevac, Belgrade and Zrenjanin) will be presented, the main elements of the applied enetworking will be analyzed and the possible obstacles in a process of upgrading will be identified. 2 INTRODUCTION The city of the 21st century has gradually become an open system shaped by the increasing significance of technology and information. The role of planners is changing and adjusting to new trends, shifting the focus to innovative methods, techniques, strategies and procedures. The upgraded complexity of planning has become a necessity of/for further urban development which should provide better understanding of fastchanging urban processes, efficiently tackle the problems of multiplying urban realities and facilitate preferred inter- and multi-modal nature of urban spaces. The existing technology, with its various applications and implications, is frequently labeled as an important element of urban culture. Reflecting its power on all levels and scales, technology pervades cities, stimulates interaction between urban space, urban society and innovations, and opens numerous perspectives and possibilities. However, urban socio-technical change could face problems of obduracy/inflexibility, which might reflect in urban development. Hommels (2005) identifies three different conceptions dealing with this problem - concept of frames, embeddedness and persistent traditions. The concept of frames could be found in urban planning and design and applied to situations in which both users and planning/technology experts are restricted by the rigid ways of thinking and interacting. The concept of embeddedness emphasizes the importance of interlinked social and technical elements, clarifies heterogeneous nature of a city and its networks and considers technological inflexibility of urban systems or their elements. The concept of persistent traditions is focused on structural, cultural and symbolic factors influencing the inflexibility of urban structure and its technological background. Technology also provdes new tools which might help citizens to find information, connect with others (groups, communities, experts, administrative bodies etc.) and to participate in planning process transcending traditional spatial, social or economic boundaries. Simultaneously, technology increases efficiency but often decreases opportunities for socializing and making contacts. Changing the traditional dynamic and the rhythm of everyday life it also affects space organization and emerging typologies in many ways.

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3 CONNECTING THE PLANNING REALMS The link between cities and advanced technology has generated numerous alterations in our perception of urban surrounding, processes, groups and individuals. Digital and physical worlds have become intertwined, allowing mutual recognition and more-less synchronized functioning of both multiplying communities and challenging identities. The way we communicate also defines urban planning and design. Consequently, the performances of the current technological realm guide our actions in physical space, as well as within numerous analogue and digital networks. 3.1 Public participation The real effects of public participation in the process of urban planning have often been questioned both by numerous authors and the public. According to Fung (2006), by applying a synchronized participation of citizens and government in the planning process it could be possible to achieve three democratic values legitimacy, effectiveness, and justice. However, the problems related to the involvement of representatives of all citizens, relevant inputs and ability of citizens to join the process are still present and mostly unsolved. Still, the active public participation, which includes more responsibilities for the planning outcome and implementation, has also been recognized as a precondition of sustainable urban development. It is important to notice that we can identify several groups of participants in the process of decision making, but they rarely represent all interested parties. In general, these groups are determined by their role in planning process, as well as by their potentials, resources, knowledge and level of influence. Therefore, we can distinguish three main categories - the professionals (in charge for the proposal of the plan), the decision makers (local government and city authorities) and the public (which has to be well informed, highly motivated and trained to act and contribute to the process). The theory and practice of participation has evolved since 1969 and the famous Arnstein's essay "A Ladder of Citizen Participation". In general, a contemporary political theory has distinguished two modes of decision making - aggregative and deliberative (Cohen, 1989; Gutmann and Thompson, 1996). Simultaneously, the practitioners have developed many methods and techniques in order to recruit participants (e.g. random selection - Fishkin, 1995), to facilitate meetings and to design entire participation processes adjusted to possible (and inevitable) civil disputes, regulatory challenges and law making (Connor, 1988; Creighton, 2005). The trend of public participation also affected the methodology of planning process. Instead of experts and urban administrators who were traditionally in charge of creating urban plans, the contemporary comprehensive planning includes and supports an extensive involvement of citizens and nongovernmental stakeholders (Brody et al., 2003). Consequently, a number of participatory techniques has been created and used, ranging from interactive workshops and meetings to Internet websites (Creighton, 2005). In general, there are five basic types of engagement which aim to inform, consult, involve, collaborate and empower participants. The main objectives of these engagements are: • • • • • providing objective information to stakeholders which could be used for building skills and knowledge of the community; obtaining feedback from the community on various analysis, options and decisions which can be used for future policies and plans; ensuring understanding and consideration of public concerns and aspirations; working with a community in order to cover every aspect of the decision, develop alternatives and identify preferred positions; ensuring power (and shared responsibility) of the public in the final decision-making.

Although the direct public participation could be manifested on all levels of governing, it is evident that the highest efficiency could be achieved on local and regional level. The citizens could be involved in the process of various analysis, stimulation, conceptualization, implementation and evaluation of decisions, especially those related to environmental issues, public services (education, public health etc.), economic and social development. However, there is always a noticeable tension between citizens and experts, which is the

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result of an imbalance of resources and knowledge of these two groups. Therefore, it is necessary to provide a high level of decentralization, local control and direct participation, maintaining the fragile equilibrium. 3.2 Wired, viral or virtual? Beside traditional modes of participation, the advanced technology has introduced benefits of e-participation which is supposed to provide cyber-democracy and enable creation and functioning of virtual democratic communities. The created inter and intra urban e-networks have also influenced a new perception of public spaces, which provide and support interaction within and across urban communities, but via digital interfaces and tools. These on-line meeting places could be seen as an improvement of the level of democratic participation, but frequently they could be used as another tool of political manipulation or a testing ground for anticipated changes. Although declaratively open and transparent, the digital realm of contemporary cyberspace has its own system(s) of control and boundaries, which often has a boomerang effect both on users and the system's security. In order to follow recent patterns of 24/7 accessibility we have to be continuously linked and interactive. Consequently, e-networking represents a new supporting system and social glue that saturates all areas of our lives. Producing new and redefining existing urban processes and relationships, electronic web has upgraded urban tissue with superimposed digital realm. Introducing a completely different set of values, opportunities and social constructions, digital infrastructure has directly or indirectly guided latest urban transformations in order to create a perfect (efficient) setting for further increase of electronic interconnections. Mitchell (2000) described cities of the 21st century as systems of interlinked, interacting, silicon- and software-saturated smart, attentive, and responsive places. And indeed they have become complex interfaces affecting a new logic behind urban restructuring - on spatial, functional and social level. However, it is evident that digital nodes of gathering, interaction and intellectual exchange cannot completely replace physical ones, although they certainly provide easier flow of information and ideas, representing an additional connector between public and professionals (planners, architects, urban designers) and an efficient tool for social and economic integration. However, in order to work properly, all these access points should provide 'both freedom of access and freedom of expression' (Mitchell, 2000). Sometimes, the availability of different options could direct users towards like-minded participants in the process, which might cause creation of homogenized groups and disable favorable discussions and debates originating from different perspectives. The relationship between technology and community, although frequently emphasized as a necessity which leads to a better accessibility, transparency and democratization, actually represents an insufficiently defined and simplified field of interaction, in which participants usually act as passive consumers of information, instead of being their active producers (Schon et al., 1999). However, in order to reach a higher level of participation, especially in the planning process, it is essential to extend the role of technology, activating its communicative potential, instead of using it as an advanced data base. 4 PRACTICE AND LEARN Although Serbia ratified the Aarhus convention (1998), which is supposed to grant the public rights regarding access to information, public participation and access to justice concerning environmental issues, some of the most important principles of this convention are not included into the latest Law of building and construction. This law, as well as its predecessors, only guarantees the planning procedure which requires the public presentation of spatial/urban plans, but not the actual participation in the conceptual phase of the plan. After the public display, all comments, questions and remarks are sent to the team in charge of the proposal, which is obliged to react and respond to them. However, even in this limited participation, a number of problems have been detected: • • • • the structure of public meetings is too rigid and controlled by the authorities which moderate them; the presentation of the plan (its language and elements) are not adjusted to non-expert participants; meetings are usually organized during working hours, which excludes some of possible participants from the process; meetings/public presentations are usually organized in the municipal building, which might not be accessible to all interested parties (due to financial limitations or available time);
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• •

some meetings could be obstructed by small, but aggressive groups of citizens; majority of citizens is not aware of the fact that they could participate in the planning process, or they do not know how to obtain that right.

Evidently, the Serbian model of public participation does not provide training for active participation in the conceptual phase of the plan or decision-making. Instead, the public is only informed about the proposal, allowing the possibility for reaction and comments. According to Serbian practice and laws, cities and municipalities are obliged to create spatial and master plans for their territories, which are re-evaluated every five years. Master plan of a city, representing a strategic document, should provide guidelines for anticipated land use and public investments. Since the document does not include actions which tackle the level of individual property, citizens are usually not motivated to participate in the planning process which does not maximize their personal benefit (Djukic, Milovanovic, 2003). However, there are some examples which represent a certain improvement, especially in the field of public participation based on electronic accessibility. 4.1 Working together: the city of Pozarevac During the last decade, Pozarevac adopted several urban plans and the new Master plan 2025, was created by the team of the Faculty of Architecture, University of Belgrade. Methodological framework was based on a planning paradigm which used variables generated by the prevailing condition of general social and economic uncertainty. During the conceptual phase a data base was established, a catalog of existing sites/locations was created, as well as an atlas of their potentials. The structure of the catalog could be directly used for an interactive map, enabling faster access to information related to current and planned land use, identified condition of urban infrastructure and possibilities for further implementation of the plan. This kind of application would certainly facilitate general e-accessibility providing a higher transparency of anticipated transformations. The concept of the Master plan was supported by an extensive participation of citizens and the outcome of this phase was included in a program for the Master plan (Ralevic, 2006). It is interesting to notice that the Serbian legislative does not formally recognize the importance of public participation in this phase. Instead, it is considered to be an important element of the next phase, suggesting a necessity of public meeting(s) before its official confirmation by the City Assembly. During the planning process related to the Master plan of Pozarevac, citizens were asked to express their views and ideas related to the identity and value of urban spaces and ambiances. The survey with closedended questions was conducted, along with a series of systematically reviewed meeting minutes ('meetingin-a box'), thematic panels with local experts and brainstorming, which included relevant maps and photos. This methodology engaged lay stakeholders i.e. the unpaid citizens with a deep interest in some public concern, willing to be involved and to represent those with similar interests. Simultaneously, many associations, NGOs, professional associations, but also public officials and representatives, took part in these meetings and discussions. The conclusions resulted from three separate rounds and were structured around three complex topics - (1) land use, urban land rent, heritage and value; (2) green, tourist and sport activities and facilities; (3) traffic and land equipment. The result of this process also emphasized some special concerns about a typology of housing and density, public services in local communities, new parks and green areas, lack of parking lots, connections with antique Roman city Viminacium, as well as a problem of neighboring rural areas. Since February 2012, the city of Pozarevac is using a specific e-service, as a possible channel of communication between city government and citizens. During the last two years the service detected 56 questions addressing the city authorities. About one third of them is related to communal issues, but some of the questions might be solved by revising the existing documents and implementing new measures. It is also interesting to notice that some questions overlap with conclusions generated from meetings which followed the process of master planning - from those underlining the traffic problems (available parking space, quality of street pavement, signalization), inadequate infrastructure, street furniture, accessibility for all groups of users, to legal issues and environmental conditions.

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Fig.1: City of Pozarevac - official web-presentation: section for questions, as a channel for communication between local government and citizens.

4.2 Improving accessibility: the city of Belgrade During the preparation of the Master plan of Belgrade in 2003, public participation was also included into the first phase of the process. The conceptual phase used the method of 'random participation', targeting all interested parties. Several hundreds of Belgrade citizens communicated with a special team in charge for the preparation of Master plan, using various media - from phone calls, to emails. After the completion of the second phase (and before the official approval of the plan), citizens also participated in the public meeting which gave them a detail insight into the document. Although majority of citizens were mostly interested in small-scale interventions i.e. a level of their own lot or building, approximately one-fifth of the present citizens was interested in the problems of public good, giving a number of useful ideas and suggestions related to crucial urban issues - green network, urban infrastructure, main bridges, articulation of river banks, protection of certain areas and buildings, quality of the environment.

Fig. 2: Town Planning Institute of Belgrade, web-site: frequently asked questions related to different aspects/problems of urban development (e.g. planned activities and capacities, procedures, public presentations of plans etc.)

Following this practice, the Town Planning Institute, as the leading planning institution of Belgrade, has posted all planning document related to the development of Belgrade and enabled an interactive approach to the documents produced during the last six years. The Institute has also opened a special e-service oriented towards citizens, intensifying the communication between the users of urban space and experts of the Institute. The majority of questions has been related to the process of implementation of approved plans, as well as to other areas of spatial development and transformation, on all levels and scales.

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4.3 Increasing efficiency: the city of Zrenjanin The city of Zrenjanin has also established a mode of e-government. The web-site of the city administration includes a section related to planning documents containing all levels if plans - from the Regional and Master plan, to the plans of general and detail regulation of urban zones. The documents (textual files and drawings) could be downloaded from the site by all interested parties. The site also incorporates two interesting services - 'The office of quick responses' and 'System 48'. The first one provides information about urban sites/locations, including the data about potentials and limitations of a particular building lot, defined by the planning documents. The 'System 48' is used for communal problems, which could be reported by phone, text messages or Internet. It interlinks services of all public institutions founded by the city of Zrenjanin, enabling efficient response to identified urban problems and demands of citizens, as well as facilitating their solution. The system is active non-stop and within 48 hours all users receive a status report about the activities related to the problem.

Fig. 3: City of Zrenjanin, web-presentation: 'System 48' - a user-friendly service of e-government, which enables interaction between citizens and all institution founded by the city.

The web-site of the city administration has another user-friendly option, which enables citizens to check the status of their documents (to be issued or applied for). However, this e-platform does not provide information about the content of user's requirements, remarks and comments (in contrast to the platform in Pozarevac), or the insight into frequently asked questions (which is possible in the case of Belgrade). 5 CONCLUSION The contemporary technology enables improvement of traditional methods of public participation during the planning process. However, its success still depends on numerous elements which should increase the motivation of citizens to participate in planning activities, provide necessary information about detected problems and actions which might have spatial consequences and train citizens to formulate and express their opinions and suggestions in all phases of the process. The best results could be achieved when participation represents an inseparable part of all phases of the process - from conceptualization, decision-making to implementation. The electronic transparency of planning is preferred because it increases the accessibility of information, provides different possibilities for training and education of the public, and ensures continuous and interactive participation. However, in spite of numerous advantages, it cannot be used as a substitute for other, more traditional techniques, but just as a complementary tool which might increase efficiency of interaction. Although Serbia still has to increase the significance and influence of public participating, as well as its electronic support, it is noticeable that some positive changes have occurred since 2000. However, they are mostly related to the final part of the planning process or post-planning activities, when electronic transparency represents an option for gathering information and communicating with urban services and institutions. Therefore, it is necessary to further develop integrative potential of e-platforms for participation, provide a stronger political support, increase scope and intensity of use, as well as a level of inclusion. The