- JPI URBAN EUROPE - TRANSITION TOWARDS SUSTAINABLE AND LIVEABLE URBAN FUTURES THE STRATEGIC RESEARCH AND INNOVATION AGENDA OF JPI URBAN EUROPE ACKNOWLEDGEMENTS The paper was written by Darren Robinson (University of Nottingham; Nottingham, United Kingdom), Jonas Bylund (IQ Samhällsbyggnad; Stockholm, Sweden), Olivier Coutard (Laboratoire Techniques Terriroired Et Sociétés; Paris, France), Göran Finnveden (KTH Royal Institute of Technology; Stockholm, Sweden), Pieter Hooimeijer (Utrecht University; Utrecht, the Netherlands), Sigrun Kabisch (Helmholtz Centre for Environmental Research; Leipzig, Germany), Rafaela Matos (LNEC Laboratório Nacional de Engenharia Civil; Lisbon, Portugal), Margit Noll (AIT Austrian Institute of Technology; Vienna, Austria), Roderik Ponds (Atlas Onderzoek - Atlas voor Gemeenten; Utrecht, the Netherlands) Cristina Pronello (Politecnico di Torino; Turin, Italy), and Johannes Riegler (AIT Austrian Institute of Technology; Vienna, Austria). The JPI Urban Europe would like to thank all institutions and individuals who participated in the development process of the Strategic Research and Innovation Agenda. A large amount of researchers, practitioners, representatives of cities across Europe, funding agencies, European institutions contributed by providing their viewpoints on research, technological development and innovation in workshops and meetings over the past two years and by contributing to the consultation process on national and European level. JPI Urban Europe is a transnational research and innovation programme built upon and aligning national strategies and research programmes. According to our mission statement ‘Global Urban Challenges – Joint European Solutions’, the main ambition of the initiative is to provide relevant solutions and improvement for cities, their inhabitants and businesses. September 2015 JPI URBAN EUROPE The Strategic Research and Innovation Agenda of JPI Urban Europe -1- CONTENT Executive Summary 2 1 Preamble 5 2 Developing the SRIA: A consultative and deliberative approach 7 3 The Challenges of an Urbanised Europe 9 4 The Urban Policy Debate: calling for revitalised efforts to improve Urban Sustainability 11 5 The Landscape of transnational, urban-related research cooperation in Europe 13 6 Building upon and aligning national strategies the benefit of transnational cooperation 15 7 JPI Urban Europe: Global Urban Challenges – Joint European Solutions 16 A Programme on Transition Towards Sustainable and Liveable Urban Futures 18 Transitioning towards sustainability and liveability: A longitudinal programme 19 Thematic Priorities 20 8 Research Themes 22 Sustainable Transition Pathways 22 Vibrant urban economies: growth and decline of European cities 26 Welfare & Finance 31 Urban Environmental Sustainability and Resilience 36 Accessibility & Connectivity 40 Urban Governance & Participation 45 9 The JPI Urban Europe Multi-Annual Call Agenda 49 10 SRIA Implementation Plan 51 Joint Calls 51 Programme Management 51 New Instruments and Framework Conditions 53 Alignment Actions 53 Strategic Dialogue and Relationships 53 Evaluation 54 Valorisation, Dissemination and Communication 54 11 Impact 55 Glossary 57 Appendix 60 Figures Figure 1: Alignment process of JPI Urban Europe to develop and implement its Strategic Research and Innovation Agenda 6 Figure 2: Multi-stakeholder involvement in the SRIA process 7 Figure 3: Alignment objectives and added value of transnational cooperation 15 Figure 4: Framework of the SRIA 18 Figure 5: Implementation plan structured along seven action lines 51 Figure 6: Network of urban research projects in FP5 60 Figure 7: Network of urban research projects in FP7 61 Figure 8: Number and received funding of FP5-7 funded projects thematically clustered 62 Figure 9: Comparison of the geographical collaboration pattern from FP5 to FP7 for the thematic cluster Urban Governance and Energy 63 Figure 10: Participation of actor groups in urban research projects in FP5-FP7 per cluster 63 Tables Table 1: Target groups and potential instruments for program management 52 -2- Cities are wonderfully vibrant loci of education, employment and commerce, social encounter and recreation; they are the nerve centres of the modern global economy and as such they continue to attract migrants in search of a better quality of life for themselves and their families. Indeed with the 21st century we have entered the urban age, in which the urban half of the global population is responsible for around 80% of global economic activity. Europe is yet more urbanised (around three quarters) so that our fortune, our position on the global economic stage, is highly concentrated in our urban areas and the technology, commerce and industry and supporting service, retail and leisure sectors accommodated within them. This concentration of economic and social activity is matched by a similar concentration in the metabolism of energy and materials as well as of technology and infrastructure, with consequences for raw materials depletion, greenhouse gas emissions and climate change; likewise a concentration in societal challenges. Increased disparity in income and social inequality can adversely affect social capital and cohesion and in the worst of cases lead to exclusion of access to home ownership, education, welfare and healthcare. But this concentration also brings considerable opportunities. By improving the liveability of Europe’s towns and cities we can improve the liveability of its urban majority; whilst improving their attractiveness to visitors and migrants. By reducing the dependency on non-renewable energy and materials of Europe’s urban areas and increasing the efficiency with which these resources are metabolised, we can achieve our greenhouse gas emission reduction targets whilst demonstrating our solutions, showcasing our technologies, and maintaining our economic competitiveness in a global market. But of course, understanding how to go about this, for the diversity of Europe’s cities and in their local contexts, requires an ambitious programme of research, technological development and innovation. It was against this backdrop that the Joint Programming Initiative (JPI) Urban Europe was initiated in 2011. In parallel with launching two pilot research funding calls the process of developing a Strategic Research and Innovation Agenda (SRIA) was initiated, with a view to developing a coherent programme of research through to 2020 to: --Enhance capacities and knowledge on transition towards more sustainable, resilient and liveable urban developments. -- Reduce the fragmentation in funding, research and urban development; to build critical mass to realise urban transitions. --Increase the profile of European urban science, technological development and innovation and foster exploitation of European technological, social and economic models and solutions on the global stage. In preparing the SRIA, the following have been reviewed and deliberated upon: results from dedicated stakeholder focus groups; reports relating to the urban research priorities of national research councils (the Dutch NWO, French ANR, German BMBF, Slovenian ARRS, Swedish Vinnova, UK ESRC…) and the EC-funded projects Social Polis, Urban-Nexus and SEiSMiC; responses from national research councils on the Scientific Advisory Board’s (SAB) Urban Megatrends report. From these deliberations and continuing from the conclusions of the Urban Megatrends report, it is evident that: EXECUTIVE SUMMARY The Strategic Research and Innovation Agenda of JPI Urban Europe -- There is a common desire to support cities in improving their attractiveness and liveability whilst improving their economic competitiveness as well as their resilience to major disruptions (whether sudden or progressive). -- Building upon our technological advancements and scientific expertise, the potential of these solutions in the urban context needs to be tested and demonstrated, demands and opportunities for future technological solutions and social innovation have to be identified, and the economic benefit of these achievements has to be exploited. -- There is a dearth of research relating to the rigorous definition, measurement and modelling of complex and interwoven factors influencing urban sustainability in the nexus of technological, economic, social, and environmental issues. Several research programmes have tackled aspects of this research challenge, but none have done so in an integrated and comprehensive way. -- Urban technologies and infrastructures are often perceived as a problem, rather than a solution to urban needs. Without the capacity to make our European technological prowess a part of the solution, urban infrastructures will fall short of contributing to the resource efficiency, sustainability and liveability of cities. --Without the ability to define, measure and model, it is not possible to define ambitious yet realisable context-specific targets for the improvement of cities’ sustainability and liveability, nor to identify the most promising transition strategies for their achievement. In addition to these general sustainable urban transition challenges, Europe’s cities also face some specific but closely related challenges in terms of their social, economic and environmental functioning. They are: --Highly differentiated in terms of the composition of their economies and of the benefits they enjoy from their local and regional agglomerations. Some are growing, stable or re-growing whilst others are declining; enhanced or exacerbated by in- and out-migration; experiencing varying degrees of social inclusion, capital and cohesion. -- Facing varying degrees of austerity measures, leading to a declining welfare state and increasing calls on society to fill the void through voluntary efforts. The role of social entrepreneurship, local economy and shared economy is under debate, with frameworks needed to tap the full potential of these opportunities, as well as social innovation. -- Subject to change due to social, economic and environmental pressures, with a corresponding need to be more resilient and adaptive to these internal and external influences. -- Varied in terms of the accessibility they afford to their citizens to amenities and the connectivity of these amenities; with the less able and less well-off being particularly disadvantaged. -- Hosts to incredibly creative people who, if suitably empowered, could be a powerfully positive force in creating and implementing innovations to tackle challenges to improve citizens quality of life. Addressing these interrelated urban challenges in earnest requires a joined up approach, in which academic experts from different complementary disciplines work together, in concert with non- academic experts and stakeholders, to tackle them for the first time and/or in more comprehensive and innovative ways than has hitherto been the case. A combination of inter- and transdisciplinary research is called for, addressing the entire research, technology and innovation lifecycle with the ambition to position our cities as hubs of technological and social leadership and as venues for successful European economy on global markets. Following this principle and to address the above challenges, the SRIA is comprised of two complementary components: --An ambitious longitudinal research programme that is focused on the development and application of methodologies supporting the definition and measurement of urban sustainability and the establishment of transition targets and strategies to achieve them. This is chronologically structured, enabling the methods and outcomes from earlier projects to inform those of later projects. --Thematic priorities that are directly relevant to and inform this longitudinal programme, but which are destined to enable research teams to tackle a specific societal urban challenge in detail: --Vibrancy in changing economies -- Welfare and finance -- Environmental sustainability and resilience -- Accessibility and connectivity -- Urban governance and participation Through careful programme management, backed up by investments in shared resources including urban observatories, datasets, models and living labs, this structure will ensure that the whole is greater than the sum of its parts; that outcomes from research projects and the methods employed in realising them are mutually informative. This will be complemented by ongoing alignment with national and institutional research programmes, to build European urban research, technology and innovation capacity, and European solutions to address global urban challenges. SO WHAT IS SO SPECIAL ABOUT JPI URBAN EUROPE AND ITS STRATEGIC RESEARCH AND INNOVATION AGENDA? JPI Urban Europe’s SRIA responds to the urgent need for ambitious, sustained and truly inter- and transdisciplinary research to radically improve our understanding of how socially, economically and environmentally sustainable our urban areas are; and to support Europe’s cities in their transition towards a future that maximises their sustainability, resilience and their liveability in this era of global competition for commerce, industry, tourism, labour and investment; to drive urban innovation and technologies. The Strategic Research and Innovation Agenda of JPI Urban Europe -1- PREAMBLE The Joint Programming Process was opened in 2008 with a Communication of the European Commission1 and subsequent Conclusions of the European Council2. The JPI Urban Europe was established following the Council recommendation of 20103, with a formal launch by the European Council in 20114. The attractiveness of Joint Programming lies in its structured and strategic process, whereby Member States voluntarily agree to work in partnership towards common visions, encapsulated in a SRIA and implemented through joint actions. The JPI Urban Europe responds to Global Urban Challenges by developing Joint European Solutions. Through joint actions, JPI Urban Europe aims to: -- Enhance the capacities and knowledge on transition towards more sustainable, resilient and liveable urban developments. -- Reduce the fragmentation in funding, research and urban development; to build critical mass to realise urban transition; and to -- Increase the profile of European urban science, technology and innovation on the global stage. Through these aims JPI Urban Europe will contribute to the EU 2020 Strategy on smart, sustainable and inclusive growth. The European Commission, in its recommendations from 20115, stresses the relevance of the JPI Urban Europe and its importance to support the transition of urban areas – Europe’s hubs of innovation, growth and competitiveness. The JPI Urban Europe has now developed its Strategic Research and Innovation Agenda that sets out clear medium and longer term research objectives together with instruments for their implementation. The European Commission and the European Council’s High-Level-Group for Joint Programming (GPC) emphasise the importance of a SRIA as an integral element of the Joint Programming Process. 1 EC, Towards joint programming in research: Working together to tackle common challenges more effectively, COM(2008) 468 final, Brussels, July 2008, . 2 CEU, Council conclusions concerning joint programming of research in Europe in response to major societal challenges, 16775/08, Brussels, 3 December 2008, . 3 CEU, Conclusions concerning various issues related to the development of the European Research Area, 10246/10, Brussels, 26 May 2010, . 4 CEU, Council conclusions on the launching of the joint programming initiatives on ‘Healthy and Productive Seas and Oceans’, ‘Urban Europe – Global Urban Challenges, Joint European Solutions’, ‘Connecting Climate Knowledge for Europe’, ‘Water Challenges for a Changing World’ and ‘The Microbial Challenge – An Emerging Threat to Human Health’ – Adoption, 17424/11, Brussels, 29 November 2011, . 5 EC, Commission recommendation on the research joint programming initiative „Urban Europe – Global urban challenges, joint European solutions’, C(2011) 7406 final, Brussels, October 2010, . The overarching principle of the SRIA is that it actively supports the alignment and coordination of regional, national and European research, technological development and innovation in the field of urban development (Figure 1). Achieving this requires a cooperative alignment process defining joint objectives, developing common values; agreeing on a joint strategy which builds upon national strategies and strengths to define common frameworks for collaboration that finally provide the operational basis for joint actions. In practice this includes the alignment of: -- National and regional research, technological development and innovation policies and programmes, via targeted and open calls. -- Institutional funding, via the Urban Europe Research Alliance (UERA); and -- Research infrastructures, e.g. via Urban Models, Observatories, Datasets and Living Labs. Through this alignment principle, JPI Urban Europe contributes to the development of a European Research Area, striving to make the whole of European urban research and technological development and innovation (RTDI) more than the sum of its parts. JPI Urban Europe’s SRIA defines research priorities that need consolidated efforts and benefit from transnational cooperation. As emphasised by the GPC in its biannual reports6 this crucially also requires an implementation plan. In the case of JPI Urban Europe, this aims to provide the basis for more intensive cooperation with the European Innovation Partnership on Smart Cities and Communities, Horizon 2020, the European Urban Agenda and with Structural Funds. Its ambition is to set the scene for a new paradigm in research, technology development, and innovation (RTDI), embracing the complexity of the grand challenge of urbanisation, and bridging the innovation space from strategic research to implementation. 6 EU, 2014 Biennial Report, European Research Area and Innovation Committee, High Level Group for Joint Programming, ERAC-GPC 1310/14, Brussels, 21 November 2014, < register.consilium. europa.eu/doc/srv?l=EN&f=ST 1310 2014 INIT>; EU, 2012 Biennial Report, European Research Area and Innovation Committee, High Level Group for Joint Programming, ERAC-GPC 1301/13, Brussels, 7 february 2013, . ALIGNED OBJECTIVES > European hub for urban research JOINT ACTION & COMMON PRACTICES > Joint Calls > Urban Europe Research Alliance > Urban Observatories > Shared Data > Shared Infrastructure COMMON FRAMEWORKS & INFRASTRUCTURE > Call Procedures > Programme Management ALIGNED STRATEGIES > JPI Urban Europe Strategic Research & Innovation Agenda COMMON VALUES > JPI Urban Europe Principles & Research Approach Figure 1 Alignment process of JPI Urban Europe to develop and implement its Strategic Research and Innovation Agenda The Strategic Research and Innovation Agenda of JPI Urban Europe -2- DEVELOPING THE SRIA: A CONSULTATIVE AND DELIBERATIVE APPROACH Developing a strategic agenda for such a complex topic as urban development requires an appropriate process that: -- builds upon national urban priorities, strategies and programmes as well as city visions and strategies, -- considers the practical needs of civil society and a diverse set of urban actors, -- takes advantage of the latest scientific findings and technological developments, -- supports the development of a visionary programme of research, technological development and innovation, -- establishes links to national, European and international policies and programmes for joint implementation. To meet this ambition a co-creative process was established, involving representatives from all parties – scientists, funding agencies, cities, companies, civil society – in an iterative approach; developing a common vision and raising commitment by regularly reflecting on ideas, topics and implementation measures (Figure 2). The JPI Urban Europe SRIA thus considers the diversity of research needs across Europe, and decidedly opens the door for small and less RTDI intensive countries to contribute towards JPI Urban Europe’s activities (and vice versa). In addition to the SAB’s Megatrends Report7, recent research results, policies and strategies have been taken into account in developing the SRIA; as have the findings of two particularly pertinent FP7 funded projects – Social Polis8 7 O. Coutard, G. Finnveden, S. Kabisch, R. Kitchin, R. Matos, P. Nijkamp, C. Pronello, D. Robinson: Urban Megatrends: Towards a European Research Agenda; A report by the Scientific Advisory Board of JPI Urban Europe, March 2014. 8 D. Cassinari, J. Hillier, K. Miciukiewicz, A. Novy, S. Habersack, D. MacCallum, F. Moulaert, Transdisciplinary Research in Social Polis, Social Platform on Cities and Social Cohesion, 2011, EC ERA FP 7, . Governing Board representing national strategies, defining priorities Scientific Advisory Board elaborating scientific concept, topics and roadmaps European Commission and European level networks providing references and relationships for joint actions JPI URBAN EUROPE SRIA Research organisations reflecting on research topics and needs for programme management according to their experiences Funding Agencies setting up pilot calls, starting into alignment of national programs and reflecting on new instruments City representatives, urban stakeholders and actors defining practical demands and opportunities based on their strategies Figure 2 Multi-stakeholder involvement in the SRIA process and Urban-Nexus9. European and international policy debates have also been reflected upon; including the conclusions of UN-HABITAT II10, the progress made in defining Sustainable Development Goals by the UN11, the EU urban agenda12 and the European Innovation Partnership (EIP) on Smart Cities and Communities13. Furthermore, national consultations have been conducted in several JPI Urban Europe countries14 and national research strategies have been analysed15. The ideas and concepts emerging from the resultant reflections have been challenged in both scientific workshops and workshops with city representatives. Finally, the SRIA development process has benefitted from a close cooperation with the FP7 funded project SEiSMiC16, which focuses on urban social innovation through societal engagement in Europe. Throughout these activities the development of the SRIA has been coordinated by the JPI Urban Europe Management Board (MB). In particular the MB has: supported the SAB in its scientific analysis and concept development, liaised with funding agencies to prepare the multi-annual call agenda and instrument development, and consulted with external stakeholders and related projects. The resultant SRIA has been approved by the Governing Board of JPI Urban Europe for the implementation phase 2016–2020. 9 Urban-Nexus, EC ERA FP7 CSA, . 10 UN, Progress to date in the implementation of the outcomes of the second United Nations Conference on Human Settlements (Habitat II) and identification of new and emerging challenges on sustainable urban development, Report of the Secretary-General of the Conference, A/CONF.226/PC.1/5, 26 July 2014. 11 UN, Report of the Open Working Group of the General Assembly on Sustainable Development Goals, A/68/970, New York, 12 August 2014, ; in particular Goal 11: Make cities and human settlements inclusive, safe, resilient and sustainable. 12 EC, The urban dimension of EU policies – Key features of an EU Urban Agenda, COM(2014) 490 Final, Brussels, 18 July 2014, ; 13 EIP SCC, The European Innovation Partnership on Smart Cities and Communities, . 14 National consultations were performed in AT, SE, DK, DE, NO, CY, IT, UK 15 National research strategies on urban issues have been provided by UK, SL, FR, NE, DE 16 SEiSMiC, Societal Engagement in Science, Mutual Learning in Cities, EC ERA FP7 CSA, . The Strategic Research and Innovation Agenda of JPI Urban Europe -3- THE CHALLENGES OF AN URBANISED EUROPE With the 21st century we have entered the urban age. The megatrend of urbanisation is the result of the sigmoidal growth in world population and rural-urban migration in the search for improved socio-economic opportunities in urban agglomerations. In 2007 the urban fraction of the 6.7B strong global population reached parity with the rural for the first time.17 By 2050 it is projected (assuming medium fertility) that the population will increase to 9.5B and its urban fraction to three quarters. Since urban areas are responsible for around 80% of global economic activity and a similar fraction of resource use, it follows that – under business as usual conditions – urbanisation will impose greater stress on the natural environment; and this at a time for which the intergovernmental panel on climate change is counselling the reduction of greenhouse gas emissions to 40–70% of 2010 levels by 2050, and near-zero emission by 2100, to limit global mean temperature rise to 2oC. To achieve greenhouse gas emission reduction targets will require transformative research to understand how cities’ functioning can be decarbonised; replenishing not reducing natural capital in a variety of resources. But urban areas and societies are not only a substantial part of contemporary planetary challenges; as hotspots for innovation and technological development, and resource nodes (particularly financial), they have considerable potential to resolve them. Some 73% of the European population was considered urbanized in 2010. In contrast with for example Asia and South America, Europe has relatively few cities with more than 1M inhabitants and a relatively high number of small and medium sized cities (SMCs). The larger urban areas are also mainly formed of amalgamated SMCs. Urban Europe thus poses some rather specific constraints and opportunities, in particular due to a relative abundance of functional urban regions rather than of standalone or discrete administrative territories. Comparatively speaking, European urban areas are also historically, architecturally and culturally rich, offering attractive urban and green spaces, so that quality of life is in large part considered to be high. They are also embedded within states that traditionally have highly developed welfare services. Europe’s urban areas are also particularly diverse in their forms and organisation, spatial dynamics, local economies, governance structures, sociotechnical infrastructures, cultural heritage. Notwithstanding higher order (national, continental, global) influences, actions will ultimately need to be integrated in complex local conditions and requirements so that responses (strategies to bring about performance improvements) fit to their contexts. The 2008 crisis hit European urban areas hard and the aftermath still presents major challenges for European urban economies, overall sustainable development and economic structures, since it resulted in increased unemployment and redirected priorities from ongoing urban development. These challenges and the opportunities available to tackle them depend on, for example, planning and management capacities 17 Note that urban here refers to an extremely diverse set of settlement configurations, with a rough common denominator qualified by agglomerations by 2000 inhabitants and above.