European Innovation Partnership on Smart Cities and Communities Operational Implementation Plan: First Public Draft Foreword The Sherpa Group of the European Innovation Partnership on Smart Cities and Communities herewith presents the first public draft of the Partnership's Operational Implementation Plan. We invite all interested stakeholders to respond to this plan, especially by underlining the relevance of particular ideas for actions suggested by this plan or by proposing new ideas for action. This plan has been produced by members of the Sherpa Group; they split into altogether twelve working groups, one for each priority area as well as an additional one on issues concerning the general implementation. Working groups met many times to develop and discuss drafts, which were all presented in close to final versions to all members of the Sherpa Group on 27 January 2014 in Brussels. We tried with all drafts to make them easy to understand also by the general public, but at times a certain knowledge of EU policies and instruments is presupposed since further elaborating on those would have meant losing too much focus of the document. This is a live document, which will be updated in view of forthcoming events and actions under this Partnership. The Sherpa Group is grateful for the support received from the European Commission's Services (Directorate-Generals for Communications Networks, Content and Technologies; Energy; and Transport and Mobility) during this process. Table of contents 1 Priority Area 'Sustainable Urban Mobility' ........................................................................................ 7 1.1 Introduction ............................................................................................................................... 7 1.2 Potential Actions ........................................................................................................................ 7 2 Priority Area 'Districts and Built Environment' ................................................................................ 15 2.1 Introduction ............................................................................................................................. 15 2.2 Potential Actions ...................................................................................................................... 15 3 Priority Area 'Integrated Infrastructures' ........................................................................................ 27 3.1 Introduction ............................................................................................................................. 27 3.2 Potential Actions ...................................................................................................................... 27 4 Priority Area 'Citizen Focus' ............................................................................................................. 35 4.1 Introduction ............................................................................................................................. 35 4.2 Potential Actions ...................................................................................................................... 35 5 Priority Area 'Policy and Regulation'................................................................................................ 44 5.1 Introduction ............................................................................................................................. 44 5.2 Potential Actions ...................................................................................................................... 44 6 Priority Area 'Integrated Planning and Management' .................................................................... 50 6.1 Introduction ............................................................................................................................. 50 6.2 Potential Actions ...................................................................................................................... 51 7 Priority Area 'Knowledge Sharing' ................................................................................................... 58 7.1 Introduction ............................................................................................................................. 58 7.2 Potential Actions ...................................................................................................................... 58 8 Priority Area 'Baselines, Performance Indicators and Metrics' ....................................................... 63 8.1 Introduction ............................................................................................................................. 63 8.2 Potential actions ...................................................................................................................... 63 9 Priority Area 'Open Data' ................................................................................................................. 68 9.1 Introduction ............................................................................................................................. 68 9.2 Potential Actions ...................................................................................................................... 68 10 Priority Area 'Standards' .............................................................................................................. 75 10.1 Introduction ............................................................................................................................. 75 10.2 Potential Actions ...................................................................................................................... 76 11 Priority Area 'Business Models, Finance and Procurement' ....................................................... 86 11.1 Introduction ............................................................................................................................. 86 11.2 Potential Actions ...................................................................................................................... 87 12 General Implementation Modes ................................................................................................. 94 12.1 Introduction ............................................................................................................................. 94 12.2 Implementation Tools .............................................................................................................. 95 13 Conclusion .................................................................................................................................... 99 Annexes .................................................................................................................................................. 100 Annex A: Local Ecosystems – a framework ........................................................................................... 100 Annex B: Example cases of Local Ecosystems ....................................................................................... 102 Annex C: Country Landscaping .............................................................................................................. 105 Purpose of this Document This Operational Implementation Plan (OIP) is a companion document to the Strategic Implementation Plan (SIP) of the European Innovation Partnership on Smart Cities and Communities. The SIP laid out the general direction and the overall goals for the Partnership, which it defined as "a significant improvement of citizens' quality of life, an increased competitiveness of Europe's industry and innovative SMEs together with a strong contribution to sustainability and the EU's 20/20/20 energy and climate targets".1 The SIP specified eleven priority areas as a framework for actions to advance against these goals and spelled out recommendations for actions in these areas. 1 Strategic Implementation Plan, p. 3; see "An Energy Policy for Europe" [COM(2007) 1 final] for the 20/20/20 energy and climate targets. The OIP takes the SIP framework with its eleven priority areas (see graphic below) and recommendations as its starting point, and develops each in more detail. It offers examples intended to inspire interested parties responding to the Commission's 2014 Invitation for Commitments, as well as guide further implementation action that the Partnership could launch at a later stage. The OIP includes a dedicated section for each of the eleven priority areas. Each section starts with a brief introduction that provides some context and outlines why this area should be of concern to those seeking to advance smart cities in Europe. It provides a table with a number of potential actions that are relevant in the respective area, and also details how they relate to what was stated in the SIP. A limited number of these are then developed in more detail – addressing: context; goals; deliverables; preconditions; implementation methods, and monitoring. Through this more in-depth coverage we seek to make each action feel quite practical. Similar topics may be addressed in different priority areas, however these are dealt with from the perspective of that particular priority area – such is the nature of inter-dependent city systems. This fits with the spirit of the SIP, which is crucially about overcoming sectoral silos and integrating solutions in the urban context across the sectors of information and communication technologies, energy production, distribution and use as well as transport and mobility. Specifically, the SIP makes three key recommendations to this end: - Use agreed standards, protocols and common data formats that facilitate interoperability across systems, prevent vendor lock-in and foster competition; - Make data accessible also to third parties (whilst fully respecting consumer privacy and protection of legitimate business interests) so to foster the development and uptake of novel applications; - Re-use existing infrastructure and put it to multiple use. Besides working across the sectoral domains of ICT, energy and transport and mobility it is of equal importance to integrate actors across the innovation chain, to bring together the supply and demand side and engage citizens in planning decisions at an early stage. The intent is for this OIP to remain a live document, and it is currently publicly available in its first version. We foresee updates based on the responses to the European Commission's Invitation for Commitments process, and other ongoing EIP activities. The latter section of the OIP discusses implementation of the smart cities and communities EIP, and identifies a number of areas that will be developed further to ensure we advance in a programmatic manner. This includes the likes of elaborating quantifiable targets against which the Partnership can benchmark its own progress. Through the potential actions in this OIP, and continued mobilisation of European city stakeholders we firmly believe we can make advances to ‘smartening up our cities’ in a way that is true to the principles of this Partnership. 1 Priority Area 'Sustainable Urban Mobility' 1.1 Introduction The SIP stresses the need for substantial changes in Europe's transport systems, as well as in the mobility behaviour of people and businesses in urban areas. Solutions concern the creation of an efficient and integrated mobility system that allows for organising and monitoring seamless transport across different modes; increasing the use of environmentally-friendly, alternative fuels; creating new opportunities for collective mobility. The proposed solutions lead to a decreased environmental impact. 1.2 Potential Actions Key response strategies suggested by stakeholders include actions to better address transport demand as well as actions to foster more efficient, cost-effective and high-quality forms of transport. Smart city innovations provide important opportunities in this regard (Table 1). # Title Summary Link to SIP action Actions to better address supply 1 Improve clean power for transport: vehicles and infrastructure Tackling electric/different hybrid technologies and their infrastructure to accelerate mass-shift to cleaner forms of transport will help achieve economic gains, reduce energy consumption and address the inter-dependence with energy systems and public space. #1: Make solutions widely available 2 Foster seamless door-to-door multi- modality in urban transport Better connecting transport modes, nodes and mobility services (e.g. inter-modal mobility hubs, integrated information platforms for transport operators, cooperative ITS) will enable integrated public transport and new urban traffic and transport management solutions. #1: Make solutions widely available 3 Further clean logistics Improving the logistics supply chain can trigger both efficiency and reduction of environmental impact (e.g. electrification of the "first and last mile of delivery") #1: Make solutions widely available Action to better address demand 4 Open up intelligence in urban transport systems Supporting partnerships that use open data will create additional value for. Public transport, ICT and energy providers, but also private users/social media leading to demand-responsive and integrated mobility services which help minimise energy consumption. #1: Make solutions widely available; #3: Encourage active citizen engagement 5 Enable tools for seamless door-to- door multi-modality Enable integrated ticketing and tools for personalised transport planning (e.g. inclusive mobility services, new payment services) will enable faster, smoother travel using different modes, optimize traffic streams, minimise energy consumption and traffic congestion. #1: Make solutions widely available; 6 Promote sustainable and integrated mobility planning Planning based on the European concept of sustainable urban mobility plans (SUMP) will help to utilise synergies and links between transport, energy and ICT in urban transport effectively and engage citizens # 3: Encourage active citizen engagement 7 Promote use of cleaner vehicles Cities can provide incentive schemes by giving priority in urban areas for the use of collective transport and for clean logistics, as well as incentives for sharing of goods vehicles and distribution infrastructure. # 1: Make solutions widely available; Commitments in one of these or other relevant areas of innovative smart city action are welcome. The remainder of this chapter provides more depth in three potentially relevant example actions: 1. Better integration and management of collective city transport for door-to-door seamless multi-modality 2. Better electrification of collective city transport 3. Improved urban freight logistics and distribution A number of cross-cutting actions that are addressed in greater detail in other priority areas in the OIP also support the implementation of the actions described above, particularly if lessons learned are formed into easy to use guidance documents ("city toolkits for deployment" (SIP action area nr. 2)): . Discussion forums can be set up to share know-how about new models of cooperation and to explore good practice on organisational forms that suit local partners’ needs; approaches to determining the most optimal geographic scope and or suitable governance structures; . New cooperation forms at city level between different organisations (both public and private) and including transport operators and community organisations; . Designing targeted regulatory and non-regulatory incentives such as specific innovation zones in cities for large-scale testing; tax or fee brakes or open innovation competitions; 1.2.1 Potential Action 1: Better integration and management of collective city transport for seamless multi-modal mobility (door-to-door) Context Mobility around a city is of critical value for residents, businesses and visitors. Yet presently the experience is too fragmented and unreliable. Many cities face major problems with congestion, air pollution, GHG-emissions and related socio-economic costs. Attractive, accessible and integrated public transport provides an alternative transport option. It can also attract businesses. Greater use of public transport also helps avoid pollution, and facilitates low-carbon transport and better traffic management. Cities should exploit the enormous potential of integrated, ICT-based solutions for real-time and targeted transport and traffic monitoring and management. Convenient door-to-door multi-modal real-time urban mobility will increase the attractiveness of cities. Goals The goal is to improve and better connect public transport and ‘soft’ modes (especially walking and cycling) across modes by applying smart urban technologies and services to transform the traveller's experience. Deliverables Providing suitable (technological) options: . Foster solutions such as inter-modal mobility hubs and stations in urban quarters to better connect transport modes, nodes and mobility services; . Upgrade and embed intelligence (e.g. sensors, cooperative ITS solutions) in infrastructure and public transport vehicles; foster automation concepts such as automated metros and trams; develop integrated, real-time information platform for transport operators; advance new tools for business analytics; connect city transport systems to social media (use and feedback); . Establish suitable entry and payment systems (e.g. mobility cards), enable integrated ticketing and provide tools for personalised transport planning. Setting the right incentives/supporting actions: . Identify models and standards for an optimum connection and use of different modes of transport (suitable settlement systems, criteria for the choice of locations of e.g. mobility stations, mobility management methods, integrate e-mobility where appropriate). . Incorporate multimodality measures into local planning and land use policies: planning and adaptation of sustainable urban mobility plans. . Organise information events in quarters to enabling information exchange and to increase knowledge on all existing options regarding a sustainable multimodal mobility. . Support partnerships to encourage sharing and pooling of vehicles. . Create financial incentive schemes to convince citizens and companies to purchase innovative technologies and services. Preconditions Successful actions will require the contribution and support from a broader range of actors: . City authorities (including all relevant departments) take political decisions, provide a long- term political framework and allocate financial support to create conditions of certainty; . Public transport service and infrastructure operators collaborate and are involved in shaping the contents of the action; . Public and private companies from different sectors (public transport supply chain, operators and authorities, infrastructure construction, equipment, ICT, management and maintenance) need to be brought together; . City residents are involved early on to ensure buy-in and check practical feasibility; . Financial institutions, to enable new, attractive financing tools together with city authorities. Monitoring Progress can be monitored against a number of fixed output and outcome indicators: . Concrete outputs: o Usage of public modes of transport o Passenger delays o Development of accurate and simple fare collection capabilities o Roll-out of integrated infrastructures / interchanges (mobility hubs) o Roll-out and integration of infrastructure and ICT . Outcomes o GHG emission reduction o Reduction of air pollutants o Improved quality and accessibility of transport and mobility for both passengers and businesses 1.2.2 Potential Action 2: Electrification of public transport Attractive, easy to use, accessible and integrated public transport network provides an alternative transport option to private transport modes for individuals and attracts businesses to cities. Greater use of public transport also helps to avoid pollution and facilitates low-carbon transport and traffic management. Shifts to integrated and cleaner technology in public transport, such as energy efficiency and electrification provide an important option for city managers and planners. Goal The goal is to strengthen and support the competitiveness of European companies through growing markets on sustainable mobility solutions – in Europe and globally. Electrification will strongly depend on the effective interplay of transport infrastructure, transport operators energy infrastructure and ICT, for both charging and intelligent energy management. Electrification and integration of public transport on the basis of a multi-modal approach provides a sufficient alternative to individual private transport and provides an effective option to address the need for cutting GHG emissions, limited environmental impact, improving quality of life, cutting congestion and improving energy security. Deliverable The right technological solutions: . City-commitment to a strategy to roll out electric public transport modes (buses, trolley busses, trams, metro vehicles, shared mobility solutions etc.) within an approach to integrated transport and to use their infrastructure to exchange surplus energy with the energy system – using ICT to manage energy flows; . City plan to reinforce network capacities, also in support of smart charging and integration of public transport vehicles; . Focussed actions under these frameworks could tackle specific propulsion technologies/fuels: electric, different hybrid technologies. The right incentives: . Subsidies/tax breaks to operators of low-carbon public transport systems . Create new financial instruments to invest in sustainable transport vehicles alongside the necessary infrastructure . Using existing evidence (e.g. Green Bus fund UK) and new toolkits of the benefits of procurement of alternatively fuel vehicles – transforming public vehicle fleet, where there is significant interest and broad experience in using electric and hydrogen-powered vehicles. Preconditions Successful actions will require the contribution and support from a broader range of actors: . City authorities (including all relevant departments) take political decisions, provide a long- term political framework and allocate financial support to create conditions of certainty; . Public transport service and infrastructure operators collaborate and are involved in shaping the contents of the action; . Public and private companies from different sectors (public transport supply chain, operators and authorities, infrastructure construction, equipment, ICT, management and maintenance) need to be brought together; . City residents are involved early on to ensure buy-in and check practical feasibility; . Financial institutions, to enable new, attractive financing tools together with city authorities. Monitoring Progress can be monitored against a number of fixed output and outcome indicators: . Concrete outputs: o Number of vehicles powered by alternative fuels o Roll-out of network components o Roll-out and integration of infrastructure and ICT . Outcomes o Public transport integration and demand management in real time o Energy security and efficiency o GHG emission reduction o Reduction of air pollutants o Improved quality and accessibility of transport and mobility for both passengers and businesses. o Reduced congestion and enhanced city financial capabilities 1.2.3 Potential Action 3: Clean, efficient urban logistics and freight distribution Context Urban logistics and freight is essential for every part of daily life in cities; ensuring that shops and businesses are stocked, equipment is repaired, home deliveries are made, buildings are supplied and waste is removed. Although being a modest part of overall urban traffic, inefficient planning and delivery of urban logistics and freight can have a major impact on congestion, noise, air pollution and greenhouse gas emissions. Transport delays also cause economic cost and decrease the attractiveness and competitiveness of cities. Improving the "first and last mile" of delivery is crucial for cities growth and competitiveness, particularly at a time when (partially large) increases in online-sales can lead to more home-deliveries in retail and where shops need more frequent deliveries because they chose to have much less inventory, more (fresh) produce and longer opening hours. New business models products, services and are entering the market, for example using cleaner, quiet delivery vehicles and new services to deal with the 'last mile' home delivery also tackling noise problems. Electrification of the “last mile” opens up new opportunities. Provision of parking sensors and other infrastructural intelligence enables streamlining of city logistics. Some measures are simple to take; others require up-front investment (new vehicles) or changes in urban structures (logistic centres) and require greater planning and resolve. Goals The goal is to make urban freight logistics efficient, seamless and low-emission through using smart urban technologies and services which can also help improve business-to-business and business-to- customer services and reduce overall energy use. A mix of alternative fuels and electrification (less energy use), enabling ICT applications for better analysis, planning and organisation, vehicle and transport equipment innovation as well as enabling planning and governance innovation is needed. Deliverable The right (technological) options: . City initiatives to help improve load factors and planning of delivery and service trips; to create new distribution schemes and creation of delivery space; to switch business models to off-peak delivery; to increase the use of non-road modes including rail, bike or urban waterways; to push for early introduction of new vehicles etc.; . City planning to support electrification of the "last mile", including logistic centres around cities and shifting to electric vehicle fleets for last mile delivery. . Integrated urban planning for best managing urban logistics demand, for example for establishing consolidation and distribution centres in urban areas (e.g. around main train stations and waterways with smaller centres near subway or tram stations) to enable new distribution and service patterns (load consolidation both possible for multiple actors in shared or single actors in owned centres); creation of low emission zones to restrict access for heavy duty trucks or special corridors for cleaner delivery vehicles, including heavy-duty trucks that are latest state of the art in eco-efficiency and load consolidation. . Set up platforms and tools to better share experiences from large scale pilot programmes. 2 This will be accompanied with work on urban logistics applications, innovative logistics management software, and local policy, as well as needs for cross-border harmonisation to enable better market development. 2 For example, in the EU funded FREVUE2 project 127 electric freight vehicles take part in a large demonstration programme in eight European cities. . Develop ICT tools for city authorities to better understand, coordinate and hence optimise freight patterns in cities (information, data, modelling, prediction for better planning and regulation). Setting the right incentives/supporting actions: . Identify models and standards for sustainable city logistics; . Review and adapt regulations on access to urban city centres, e.g. creating specific time window restrictions for clean vehicles, electronic access control, environmental zones, or creating ”pollution-free zones”;3 . Financial incentive schemes to convince freight companies to purchase EVs/hybrids to move towards zero-emission logistics. . Labelling and certification programs for freight companies, their suppliers and consumers . Incorporating freight into local planning and land use policies: planning and adaptation of sustainable urban mobility plans (SUMP); . Organise driver support through trainings; . Support freight partnerships to encourage sharing and pooling of vehicles and freight; 3 If the delivery of goods can be done with less noise and exhaust fumes, then it could be done in the late evening or at night, thereby creating a split between transport of goods and transport of people. Pilot projects have been running in the Netherlands (called silent deliveries or "PIEK") and in other cities across Europe. For an overview, see www.niches- transport.org/fileadmin/archive/Deliverables/D4.3b_5.8_b_PolicyNotes/14683_pn7_night_delivery_ok_low.pdf Preconditions Successful actions will require the contribution and support from a broader range of actors: . Developing broad partnerships where local authorities, inhabitants, drivers and retailers are encouraged to work together. . Private companies from different stages in the logistics supply chain need to be brought together. Monitoring Progress can be monitored against a number of fixed output and outcome indicators: . Concrete outputs: o Increased reliability of deliveries (company reporting on average delay of delivery) o Number of new ICT applications to facilitate better analysis, planning and organisation o Increased use of cleaner, alternatively fuel-delivery vehicles, or electric vehicles o Number of urban distribution centres o Number of pollution-free or environmental zones . Outcomes o Decreased GHG-emissions of freight transport logistics in urban areas o Reduced costs for transport logistics o Reduction of air pollutants 2 Priority Area 'Districts and Built Environment' 2.1 Introduction The main challenge in ‘Districts and Built Environment’ is to reduce energy use, environmental impact and carbon footprint, entail competitive industries for jobs and growth and at the same time ensure societal and social development and the well-being of citizens. The investment needed to improve energy efficiency, generate low carbon energy, modernize infrastructure and create high quality living environments is enormous. At the same time, cities have limited access to planned financial resources for systemic change, which requires the activation of private capital combined with public investment. Currently our existing building stock plays a major role in energy consumption (40% of EU final energy demand). This stresses the need for affordable and sustainable retrofit solutions at a large scale. However, since buildings last several decades, it is essential to find energy efficient, low carbon solutions for new buildings and districts as well. The major challenge in this area is the scaling up of (new) solutions and materials. Recognizing every city has its different surroundings, it is essential to combine requirements: . To give stakeholders (industry, cities, operators...) tools needed to take appropriate systemic or individual decisions and facilitate scaling up solutions by enabling industries to provide solutions that are fit for purpose and at the same time come with reasonable pricing and quality . To provide the large scale launching ground needed for new concepts to test and unleash the market and to test and implement new financial products and models. The starting point of the actions in this chapter is the building itself and the focus on using, combining and implementing on-the-market and near-to-market solutions. Not on reinventing the wheel, but cleverly combining and fine-tuning what is available to make it applicable at a large scale for existing as well as new buildings and districts. The focus however does not stop at the building – rather it addresses ‘place-making’ with people, in communities within cities. 2.2 Potential Actions The actions in the table below are categorized according with the action areas that were mentioned in the SIP. Per area several actions are mentioned. This list of actions is not exhaustive nor excluding other potential actions and proposals. # Title Summary Link to SIP Action Actions to enable scale up 1 Toolkits for Districts (See potential actions) Develop scalable design and multi-criteria toolkits that support integration of existing and new buildings within city districts #1 Toolkit. Integrated planning; Open data; Standards. 3 Auditing Tools for Districts (See potential actions) Develop auditing tools/systems and development of framework on measured variables for existing as well as new buildings and districts. #4 Auditing tools. Integrated planning; Open data; Standards 3 Monitoring Tools for Energy Develop and deploy monitoring tools to achieve performances in terms of energy efficiency and financial viability Open data; Standards. 4 City-Region Energy Develop and enhance city region level energy management and trading systems (performance Business Models