Table 5-1 – Comparison of KPIs between index systems and sets of KPIs Dimension Sub- dimension Indicators ISO IDI UN-Habitat CIC MOHURD ECI Italy TTC GCIF GPC ESCI ERMC EUSI Wheel Ericsson IBM IDC PwC Siemens D1 ICT D1.1 Network facilities I1.1.1 Fixed subscriptions per 100 inhabitants X X X X X X X X X I1.1.2 International Internet bandwidth (bit/s) per Internet user X X X X X X X X X X I1.1.3 subscriptions per 100 inhabitants X X X X X X X X X I1.1.4 Percentage of households with Internet access X X X X X X X X X I1.1.5 Coverage rate of next-generation broadcasting network X X I1.1.6 EMF compliance framework in place broadband
I1.1.7 Planning legislation incorporates ICT networks and antenna requirements I1.1.8 ICT EMF information availability to the public D1.2 Information facilities I1.2.1 Percentage of enterprises providing network-based services (ecommerce, elearning, eentertainment, cloud computing) X X X I1.2.2 Proportion of business based on cloud computing X X I1.2.3 Proportion of business based on
GIS (location, navigation, etc.) I1.2.4 Percentage of households with at least one computer X X X X X X I1.2.5 Level of cyber-security X I1.2.6 Ratio of children online protection D2 Environmental sustainability D2.1 Environment I2.1.1 Proportion of information published on environmental quality X X I2.1.2 Progress degree of ICT in the protection of main city water resources X X X X X X I2.1.3 Effect of flood control monitoring by means of ICT X X X
GDP) with ICT measures D3 Productivity D3.1 Innovation I3.1.1 Percentage of R&D expenditure in GDP X X X I3.1.2 Ratio of knowledge-intensive enterprises X X X I3.1.3 Revenue share of enterprise X I3.1.4 Patent number per 100,000 inhabitant X X X I3.1.5 Importance as decision-making centre (HQ, etc.) X I3.1.6 SSC new projects opportunities X X I3.1.7 Penetration of teleworking system X X
I3.1.8 Improvement of traditional industry with ICT X X D3.2 Economic sustainability I3.2.1 Percentage of knowledge economy in total investment X X X X I3.2.2 Percentage of knowledge economy in GDP X X I3.2.3 Employment rate in sectors X X X X X X X X X X I3.2.4 Percentage of e-commerce transaction amount X X X X X X X D4 Quality of life D4.1 Convenience and comfort I4.1.1 Satisfaction with online commercial and financial services X X X X X X X I4.1.2 Satisfaction with environmental safety X X X
I4.1.3 Convenience of government services X X X X X X I4.1.4 Convenience of smart traffic information administration and service X X X X X I4.1.5 Satisfaction with quality of public transport X X X X X X X I4.1.6 Satisfaction with crime prevention and security control X X X X X X I4.1.7 Satisfaction with countermeasures against disaster X X I4.1.8 Satisfaction with food drug safety monitoring X
I4.1.9 Convenience of urban medical care X X I4.1.10 Convenience for citizens to access education resource X X X X I4.1.11 Perception of proof against risk of poverty X X X X I4.1.12 Satisfaction with housing conditions X X X D4.2 Security and safety I4.2.1 Accident prediction ratio X X I4.2.2 Penetration of ICT for disaster prevention X X X I4.2.3 Publication rate of disaster alert X X X X I4.2.4 Penetration of city video surveillance X
D5 Equity and social inclusion D5.1 Openness and public participation I5.1.1 environment contributed by ICT measures X I5.1.2 Improvement of turnout at city hearings by means of ICT X X X X X X X X I5.1.3 Online civic engagement X X X X X X X X X D5.2 Social sustainability I5.2.1 Feasibility of appealing online X X X X X I5.2.2 Atmosphere of free online comment X X X X X I5.2.3 Contribution in increasing consciousness of citizenship and social coherence X X X X D5. 3 I5.3.1 Digital access to urban planning X X X X X X
and budget document I5.3.2 Appliance of smart community services X I5.3.3 Penetration rate of government online services X X X X X X I5.3.4 Percentage of government information open X X X X X X I5.3.5 Penetration of smart impediment removal (accessibility) system X X
Table 5-1 – Comparison of KPIs between index systems and sets of KPIs Dimension Sub- dimension Indicators ISO IDI UN-Habitat CIC MOHURD ECI Italy TTC GCIF GPC ESCI ERMC EUSI Wheel Ericsson IBM IDC PwC Siemens D6 Physical infrastructure D6.1 Building I6.1.1 Application level of energy saving technologies in public buildings X X X X I6.1.2 Percentage of public buildings with integrated technologies X X X X I6.1.3 Proportion of smart home automation adoption X X X D6.2 Transport I6.2.1 Coverage of installation of road sensing terminals X X X I6.2.2 Coverage of parking guidance systems X I6.2.3 Coverage of electronic bus bulletin board X D6.3 I6.3.1 Sewage discharge X X X X X X X
management with ICT measures I6.3.2 Improvement of waste water recycling with ICT measures X X X X X X X X D6.4 Municipal pipe network I6.4.1 Drainage system management with ICT measures X X X X X I6.4.2 Lighting system management with ICT measures X X I6.4.3 Gas system management with ICT measures X X X X I6.4.5 Water saving smart metering X X X X I6.4.6 Electricity supply system management with ICT measures X X X X X X X I6.4.7 Improvement of underground X X
satisfaction of the government work Smart transport Capability of traffic information administration and service Installation rate of smart sensing terminals Smart logistics Usage rate of informatization in logistics companies Percentage of e-commence transaction amount in logistics Usage rate of RFID tags in items Smart tourism Application level of telecommunication and information technologies Integration and sharing level of tourism Smart energy Reliability of energy utilization Usage efficiency of energy Application level of new energies Smart building Application level of information networks Application level of environmental protection and energy saving technologies Smart environmental protection Proportion of automated inspection on environmental quality Proportion of significant pollution source monitoring Smart medical care Percentage of archiving electronic health records for residents Usage rate of electronic medical records Sharing rate of resource and information among hospitals Smart education Sharing level of educational resource Level of optimization in the course of education Promotion level of educational quality and benefits Smart home Percentage of smart home installation Interaction rate of home informatization Expenses of home informatization 3 Support system Policies and regulations Complete rate of policies and regulations Guidance capability of policies and regulations
Table E.1 – Evaluation index system of MOHURD First-level index Second-level index Third-level index Guarantee system and infrastructure Guarantee system Smart city plan and implementation scheme Organization guarantee Policy and regulation Budget and sustainability Operation and management Network infrastructures Wireless network Broadband network Next-generation broadcasting network Public platform and database Public database Public platform Information security Smart construction and liveability City construction management Urban and rural planning Digital city management Construction market management Real estate management Horticulture Historic heritage protection Building energy saving Green building Functional improvement of city Waterworks Drainage system Water saving application Gas system
Quality of life Core indicator Supporting indicator Civic engagement Voter participation in last municipal election (as a percent of eligible voters) Citizen's representation: number of local officials elected to office per 100,000 population Culture Percentage of jobs in the cultural sector Economy City product per capita Percentage of persons in full time employment City unemployment rate Environment PM10 concentration Greenhouse gas emissions measured in tonnes per capita Shelter Percentage of city population living in slums Percentage of households that exist without registered legal titles Number of homeless people per 100,000 population Social equity Percentage of city population living in poverty Technology and innovation Number of Internet connections per 100,000 population Number of new patents per 100,000 population per year Number of higher education degrees per 100,000 population Number of telephone connections (landlines and cell phones) per 100,000 population Number of landline phone connections per 100,000 population Number of cell phone connections per 100,000 population Annex J ICLEI: Global protocol for community scale GHG emissions (GPC) Source: ICLEI, The Global Protocol for Community scale GHG emissions (GPC) was developed by ICLEI and C40 and supported by the World Bank, UN-Habitat and others. In GPC, the emissions summing up to the total community emissions are divided into sectors and subsectors, see below. For each subsector, direct emissions (scope 1) and indirect emissions (scope
12. Remaining life of the site where the landfill is located Years 13. Percentage of the city's municipal solid waste that is disposed of in open dumps, controlled dumps, or bodies of water or is burnt % C.3 Treatment of solid waste 14. Percentage of the city's municipal solid waste that is composted % 15. Percentage of the city's municipal solid waste that is separated and classified for recycling % 16. Percentage of the city's municipal solid waste that is used as an energy resource % D. Energy D.1 Energy coverage 17. Percentage of the city's households with an authorized connection to electrical energy % 18. Percentage of the city's households with an authorized connection to the network of natural gas supply % 19. Average number of electrical interruptions per year, per customer #/yr/customer 20. Average length of electrical interruptions hr/customer D.2 Energy efficiency 21. Total annual electrical consumption per residential household kWh/household/yr 22. Energy intensity of the economy kg of oil equivalent per USD 1,000 GDP 23. Existence, monitoring, and enforcement of energy efficiency regulations Yes/No D.3 Alternative and renewable energy 24. Percentage of renewable energy in total energy generation % E. Air quality E.1 Air quality control 25. Existence, monitoring, and enforcement of air quality Yes/No
regulations E.2 Concentration of pollutants in the air 26. Air quality index # 27. PM10 concentration 24-hour average PM10 in μg/m3 F. Mitigation of climate change F.1 GHG emission measurement systems 28. Existence and monitoring of greenhouse gas inventory Yes/No F.2 Total GHG emissions 29. Per capita greenhouse gas emissions Annual tons of CO2e per capita 30. Greenhouse gas emissions per GDP kg/USD of GDP F.3 Mitigation plans and objectives 31. Existence of mitigation plans with reduction targets by sector and a monitoring system in place Yes/No G. Noise G.1 Noise control 32. Existence, monitoring, and enforcement of regulations on noise pollution Yes/No H. Vulnerability to natural disasters in the context of climate change H.1 Climate change adaptation capacity and extreme natural events 33. Existence of risk maps Yes/No 34. Existence of adequate contingency plans for natural disasters Yes/No 35. Existence of effective early warning systems Yes/No 36. Disaster risk management in city development planning Yes/No 37. Percentage of deliverables of the disaster risk management planning instruments that have been completed Yes/No 38. Budget allocation for disaster risk management Yes/No H.2 Sensitivity to natural disasters 39. Critical infrastructure at risk due to inadequate construction or placement in areas of risk % 40. Percentage of households at risk due to inadequate construction or placement in areas of risk %
Table K.2 – indicators of urban sustainability of ESCI II. Urban sustainability #Topics #Subtopic #Indicator #Unit of measurement I. Land use, planning, and zoning I.1 Density 41. Annual growth rate of the urban footprint % annual 42. (Net) urban population density Residents/km2 I.2 Housing 43. Substandard housing % 44. Quantitative housing shortage % I.3 Green and recreational areas 45. Green area per 100,000 residents hectares/100,000 residents 46. Public recreational area per 100,000 residents hectares/100,000 residents I.4 Land use planning 47. Existence and active implementation of a land use plan Yes/No and implementation 48. Up-to-date, legally binding master plan Yes to both criteria/ Yes to only one criterion/No to both criteria J. Urban inequality J.1 Poverty 49. Percentage of the population below the poverty line % J.2 Socio-spatial segregation 50. Percentage of housing located in informal settlements % J.3 Income inequality 51. Income Gini coefficient K. Mobility/ transportation K.1 Balanced transportation infrastructure 52. Kilometres of road per 100,000 population km 53. Kilometres of roads dedicated exclusively to public transit per 100,000 population km 54. Kilometres of bicycle path per 100,000 population km 55. Kilometres of sidewalk and pedestrian path per 100,000 population km 56. Modal split (specifically public transport) % K.2 Clean transportation 57. Average age of public transport fleet Years K.3 Safe transportation 58. Transportation fatalities per 1,000 population Deaths per 1,000 population K.4 Reduced congestion 59. Average travel speed on primary thoroughfares during peak km/h
hours 60. Number of automobiles per capita Vehicles per capita K.5 Planned and managed transportation 61. Transportation planning and management system Yes/No K.6 Affordable transportation 62. Affordability index % K.7 Balanced demand 63. Jobs-to-housing ratio Ratio L. Competitiveness of the economy L.1 Regulation of business and investment 64. Days to obtain a business licence # of days L.2 Strategic infrastructure 65. Existence of a logistics platform Yes/No L.3 Gross product 66. GDP per capita of the city USD per capita M. Employment M.1 Unemployment 67. Average annual unemployment rate % M.2 Informal employment 68. Informal employment as a percentage of total employment % N. Connectivity N.1 Internet 69. Fixed broadband Internet subscriptions per 100 inhabitants # of subscriptions per 100 residents 70. Mobile broadband Internet subscriptions per 100 inhabitants # of subscribed mobile phones per 100 residents N.2 Telephones 71. Mobile cellular phone subscriptions per 100 inhabitants # of subscriptions per 100 residents O. Education O.1 Quality of education 72. Adult literacy rate % 73. Percentage of students passing standardized reading tests % 74. Percentage of students passing standardized math tests % 75. Student-teacher ratio Students/teachers O.2 Attendance 76. Percentage of three- to receiving comprehensive early childhood development services % 77. Percentage of six- to enrolled in school % 78. Percentage of 12- to enrolled in school % 79. Percentage of 16- to enrolled in school %
O.3 Higher education 80. University seats per 100,000 people # per 100,000 residents P. Security P.1 Violence 81. Homicides per 100,000 residents # per 100,000 residents 82. Prevalence of partner violence – last 12 months % 83. Prevalence of partner violence – lifetime % 84. Robberies per 100,000 residents # every 100,000 residents 85. Larcenies per 100,000 residents # every 100,000 residents P.2 Citizens' confidence in security 86. Percentage of citizens who feel safe % 87. Victimization rate % Q. Health Q.1 Level of health 88. Life expectancy at birth Years 89. Male life expectancy at birth Years 90. Female life expectancy at birth Years 91 Under-five mortality rate (per 1,000 live births) Deaths/1,000 live births Q.2 Provision of health services 92. Doctors per 100,000 residents Doctors/100,000 residents 93. Hospital beds per 100,000 residents Beds/100,000 residents Table K.3 – indicators of fiscal sustainability and government of ESCI III. Fiscal sustainability and government #Topics #Subtopic #Indicator #Unit of measurement R. Participatory public management R.1 Citizen participation in planning of government's public management 94. Existence of a participatory planning process Yes/Qualified, Yes/No 95. Existence of participatory budgeting Yes/No and % of the budget R.2 Public reporting 96. Public reporting sessions per year #
III. Fiscal sustainability and government #Topics #Subtopic #Indicator #Unit of measurement S. Modern public management S.1 Modern processes of public management of the municipal budget 97. Existence of a multi-annual budget Yes/No and years 98. Remuneration of personnel based on a system of performance indicators Yes/No and % of personnel S.2 Modern systems of public management of the municipal government 99. Existence of electronic systems for tracking the municipality's management Yes, electronic/ Yes, manual/ No 100. Existence of electronic procurement system Yes/Qualified, Yes/No T. Transparency T.1 Transparency and auditing of the government's public management 101. Transparency index # 102. Municipal government accounts audited % 103. Municipal companies' accounts audited by a third party % U. Taxes and financial autonomy U.1 Municipal revenue and taxes 104. Own-source revenue as a percentage of total revenue % 105. Total transfers as a percentage of total revenue % 106. Earmarked transfers as a percentage of total transfers % 107. Revenue from other sources (external donors) as a percentage of total revenue % U.2 Collection management 108. Utility cost recovery % 109. Taxes collected as a percentage of taxes billed % V. Expenditure management V.1 Quality of public spending 110. Performance indicators and goals for tracking budget execution Yes/No 111. Gross operating budget (current expenditure as percentage of total expenditures) % 112. Gross capital budget (capital expenditure as percentage of total expenditures) % 113. Annual growth rate of current expenditure % annual 114. Budget's alignment with plan Yes/No W. Debt W.1 Contingent 115. Contingent liabilities as a %
Annex O Ericsson: Networked society city index Source: Ericsson, Table O.1 – networked society city index Dimension Variable Indicator Proxy Social Health Infant mortality Death of children under the age of one Life expectancy Average life expectancy Education Education attainment Upper secondary or tertiary education attainment Literacy rate Percentage of literate people Social inclusion Homicide rate Murders per 100000 inhabitants Unemployment rate Unemployment as a percentage of the labour force Economy Productivity Gross domestic product (GDP) per capita GDP in dollars purchasing power parity (PPP) per capita Competitiveness Tertiary education attainment Percent to have attained tertiary education Patents Patent cooperation treaty (PCT) patents per million inhabitants employment Percent of Knowledge-intensive services (KIS)
ICT affordability Tariffs Fixed BB tariffs BB tariffs as percentage of GDP per capita Mobile cellular tariffs Mobile tariffs as percentage of GDP per capita IP transit prices IP transit prices Median IP transit prices per Mbps, 10Gb Ethernet ICT usage Technology use Mobile phones Mobile phone subscriptions Smartphones Number of smartphones per capita Computers Percentage with a computer at home Tablets Number of tablets per capita Individual use Internet use Internet usage as a percentage of the population Social networking Social networking penetration Public and market use Open data Open data homepage and application programming interface (API) Electronic payments Electronic and mobile phone payments Annex P IBM: Smarter city assessment Source: Dencik, J. (2010). Smarter city assessment. Presentation by IBM in Leuven, 1 June 2010. Table P.1 – smarter city assessment People Investment in education Investment in health Expenditure on public safety
Smart mobility Electromobility ( including low carbon) 40 Traffic intelligence 40 Teleworking 20 Subtotal 100 Smart energy and environment Intelligence of distribution networks 30 Clean energy 40 Sustainable environment 30 Subtotal 100 Smart services Security 40 Emergency 30 Services for the community 30 Subtotal 100 D3 Key indicators Enabling forces Table Q.5 – Key indicators - Enabling forces Criteria Sub-criteria Indicator # Indicator People Age A.1 Average citizen age Education A.2 Level of literacy A.3 Average level of education Population dynamics A.4 Population growth CAGR 2005-2010 Economy Economic wealth B.1 GDP per capita B.2 Energy/electricity consumption per capita B.3 Percentage of register unemployment, total unemployment (2009) Economic make-up B.4 Economic activity index, industrial index, commercial index, etc Economic dynamics B.5 GDP growth rate B.6 Variation of registered unemployment CAGR 5 years ICT Adoption C.1 ICT spending per capita C.2 Personal computer (PC) per capita C.3 Broadband lines per capita Mobile C.4 Number of SIM cards per capita C.5 Internet access (percentage of population)
Smartness dimensions Table Q.6 – Key indicators - Smartness dimensions Criteria Sub-criteria Indicator # Indicator 1.Smart government Communication 1.1 (Online) free public access to government spending Sustainable behaviour 1.2 Existence of congestion charge 1.3 # of electric vehicles (EVs) in local government's vehicle fleet 1.4 Public light automation and control systems (level of adoption) 1.5 Emissions monitoring system (level of adoption) 1.6 Internal administrative process integration and data sharing (level) 1.7 Urbanization planning (level of adoption and level of digitalization) Environment protection policy 1.8 City is signatory of Covenant of Mayors European Initiative 1.9 Quantified parameter goals for city's sustainability (emissions, RES, energy efficiency) e-Services 1.10 Percentage of vital certificates/records obtainable online (e-Government) 1.11 Availability of e-Registry 1.12 Availability of e-Taxes 1.13 Availability of Digital Property Registry 2. Smart buildings Efficiency in operations 2.1 Energy consumption per square meter 2.2 Percentage of buildings served by district heating/cooling 2.3 Percentage of buildings with an energy management systems 2.4 Percentage of building automation systems (%) 2.5 Penetration of lighting control system (%) Quality of construction 2.6 Minimum level of energy class standards for construction of new buildings 2.7 Percentage of buildings of class "A" energy efficiency standard 3. Smart mobility Electromobility ( including low carbon) 3.1 # of public electrical vehicle charging points
3.2 Percentage of public transport that is "green" (runs on low emission fuels) 3.3 City incentive program for low emission vehicles Traffic intelligence 3.4 Car-pooling initiatives 3.5 Percentage of traffic lights that are intelligent 3.6 Web-portals for traffic information 3.7 Real-time passenger information display systems 3.8 Systems for traffic monitoring and congestion prediction Teleworking 3.9 Percentage of remote workers 4. Smart energy and environment Intelligence of distribution networks 4.1 Percentage of smart meters installed to date /2011/2010 4.2 Percentage of network automation (electricity, gas and water) Clean energy 4.3 Weight of renewable energy sources (RES) on total consumption 4.4 Percentage of energy consumption from district heating/cooling Sustainable environment 4.5 CO2 emissions per capita 4.6 NOX and other emissions 4.7 Electricity consumption (on GDP) 4.8 Waste generated (per capita) 4.9 Water consumption (per capita) 4.10 Average number of citizens per water purifier 4.11 Waste to energy power plant (level of adoption) 4.12 Percentage of differentiated/categorized recycling 5. Smart services Security 5.1 City video surveillance penetration 5.2 Police mobile devices and applications (level of adoption) Emergency 5.3 Sensors and control system for fire prevention (availability) 5.4 Flood control/predictive systems Services for the community 5.5 Surface of green area (on total city surface) 5.6 Digital access to urban planning documents