P oceeding Pape
Sus ainable Ci ies: A KPI-D i en Sus ainable E alua ion
F amewo k o Sma Ci ies †
Ana Quijano 1,*, Jose L. He nández 1, Pie e Nouaille 2, Mikko Vi anen 3, Bea iz Sánchez-Sa achu 4,
F ancesc Pa do-Bosch 5,6 and Jö g Knieilng 7


Ci a ion: Quijano, A.; He nández,
J.L.; Nouaille, P.; Vi anen, M.;
Sánchez-Sa achu, B.; Pa do-Bosch, F.;
Knieilng, J. Sus ainable Ci ies: A
KPI-D i en Sus ainable E alua ion
F amewo k o Sma Ci ies †.
En i on. Sci. P oc. 2021,11, 21.
h ps://doi.o g/10.3390/
en i onscip oc2021011021
Academic Edi o : Zia Lenna d
Published: 1 Decembe 2021
Publishe ’s No e: MDPI s ays neu al
wi h ega d o ju isdic ional claims in
published maps and ins i u ional a il-
ia ions.
Copy igh : © 2021 by he au ho s.
Licensee MDPI, Basel, Swi ze land.
This a icle is an open access a icle
dis ibu ed unde he e ms and
condi ions o he C ea i e Commons
A ibu ion (CC BY) license (h ps://
c ea i ecommons.o g/licenses/by/
4.0/).
1Founda ion CARTIF, Pa que Tecnológico Boecillo 205, 47151 Boecillo, Spain; [email p o ec ed]
2CEREMA, Di ec ion Te i o iale Oues , MAN; ue RenéVi iani, 44000 Nan es, F ance;
Pie e.Nouaille@ce ema.
3VTT Technical Resea ch Cen e o Finland L d., P.O. Box 1000, 02044 Espoo, Finland; Mikko.V[email p o ec ed]
4
TECNALIA, Pa que Cien í ico y Tecnológico de Bizkaia 700, 48160 De io, Spain; [email p o ec ed]
5Cen e o Public Go e nance (ESADEgo ), Uni e si a Ramon Llull—ESADE, Ped albes, 60, 62,
08034 Ba celona, Spain; ancesc.pa [email p o ec ed]
6
Depa amen o P ojec and Cons uc ion Enginee ing, Uni e si a Poli ècnica de Ca alunya (Ba celonaTech),
Jo di Gi ona 1-3, 08034 Ba celona, Spain
7
Depa men o U ban Planning, Ha enCi y Uni e si y Hambu g, Henning-Vosche au-Pla z 1, 20457 Hambu g,
Ge many; Joe g.knieling@hcu-hambu g.de
*Co espondence: [email p o ec ed]; Tel.: +34-983548911
† P esen ed a he Sus ainable Places 2021, Rome, I aly, 29 Sep embe –1 Oc obe 2021.
Abs ac :
Ci ies a e cu en ly dealing wi h he sus ainable ansi ion om ca bon-based economies o
ca bon-neu al ci ies. The H2020 mySMARTLi e p ojec seeks o demons a e inno a i e echnologies
h ough he implemen a ion o abou 150 inno a i e ene gy solu ions in he ci es o Nan es, Hambu g
and Helsinki. The e alua ion amewo k ha was de ined and alida ed in he p ojec enables he
assessmen o he en i onmen al, ene gy, economic, social, ICT and go e nance aspec s o eplicable
and sus ainable sma ci y solu ions wi h a high ma ke po en ial. The main ea u es and he p ocess
o hei de ini ion will be desc ibed in his pape .
Keywo ds:
e alua ion amewo k; indica o ; sma ci y; ene gy e iciency; enewable ene gies;
mobili y
1. In oduc ion
Nowadays, ci ies ha e become hubs o mode n ci iliza ions [
1
], which has impli-
ca ions o he need o mo e na u al esou ces. The limi ed na u e o hese esou ces
inc eases he impo ance o he sus ainable ans o ma ion o ci ies by he explo a ion o
new echnologies [
2
] ha suppo u ban ans o ma ion. To his end, he EU has adop ed
ambi ious legisla ion in o de o implemen i s in e na ional commi men s o clima e
change by es ablishing a 55% educ ion in GHG emissions by 2030 and clima e neu ali y
by 2050 [
3
]. The main goal is he deca boniza ion o Eu opean ci ies and he pene a ion o
enewable ene gy sou ces.
By 2050, i is es ima ed ha 85% o Eu opean people will be li ing in u ban a eas [
4
].
By ha ime, new concep s o u ban ans o ma ion such as Sma Ene gy, Sus ainable
Mobili y, Sma People and Economy will be equi ed, all o which would be suppo ed by
he in eg a ion o ICTs (In o ma ion and Communica ion Technologies) [5].
Unde his pe spec i e, he H2020- unded p ojec mySMARTLi e (G an Ag eemen
#731297) [
6
] con ibu es h ough he sus ainable ans o ma ion o he h ee ligh house
ci ies o Nan es, Hambu g and Helsinki. Wi hin he p ojec , mo e han 150 ac ions ha e
been deployed in he pilla s o ene gy, mobili y, ICT, ci izens, economy and go e nance.
Wi h all o hese aspec s in mind, he a ge o mySMARTLi e is o achie e a enewable
sha e o 54%, while educing 55% o he g eenhouse emissions ha a e due o buildings
En i on. Sci. P oc. 2021,11, 21. h ps://doi.o g/10.3390/en i onscip oc2021011021 h ps://www.mdpi.com/jou nal/en i onscip oc
En i on. Sci. P oc. 2021,11, 21 2 o 4
and anspo a ion ac ions. In addi ion, i os e s he g ow h o he local economy and
en ep eneu ship and he deploymen o in eg a ed u ban planning in o de o p io i ize
he mos adequa e ac ions o co e ing he ci y needs.
These a ge s equi ed a igo ous assessmen plan. To ha end, his pape p esen s
an e alua ion amewo k, which is d i en by KPIs (Key Pe o mance Indica o s), so as o
p o ide ci ies wi h he me hodologies o quan i y he eal achie ed impac s. The p oposed
amewo k co e s bo h he ci y and p ojec le els (unde s anding he p ojec as he a ea o
execu ion o he a o emen ioned ac ions).
2. Resea ch Me hods and Backg ound
The de elopmen o he e alua ion amewo k was he esul o collabo a ion among
esea ch cen es, echnology p o ide s and ci ies, hus c ea ing a co-c ea ion s a egy
be ween s akeholde s. The de ini ion o his amewo k ollowed a esea ch me hodology
ha consis ed o ou main phases:
(1) es ablishing he objec i es o he ci ies o sus ainabili y and Sma Ci ies u ban plans.
(2)
sea ch o bibliog aphy, s anda ds and p e ious wo ks.
(3)
iden i ica ion o he sui able indica o s o Sma and Sus ainable Ci ies assessmen .
(4)
de ini ion o he KPI-d i en e alua ion amewo k combining he objec i es and
indica o s o he mul iple ci y domains.
Wi hin he esea ch me hodology, he analysis o p e ious s udies is c ucial. In his
sense, he au ho s in [
1
] highligh he impo ance o making use o indica o s o he be e
managemen o ci ies. In pa icula , hey p opose pe o mance indica o s in he a eas o
he economy, he en i onmen , socie y, go e nance, ene gy, in as uc u e, anspo a ion,
and pandemic esiliency. Howe e , indica o s a e no enough o p ope assessmen . They
p o ide he quan i a i e calcula ions, bu he ollowing o s anda d p o ocols o he e alua-
ion is also equi ed, o ins ance, he IPMVP (In e na ional Pe o mance Measu emen and
Ve i ica ion P o ocol). Mo eo e , hey a e neglec ing he digi aliza ion o ci ies in he o m
o ICT ac ions, which a e also e y impo an in Sma Ci y ans o ma ion, as explained
by [5].
Au ho s in [
7
] p oposed an assessmen s a egy ha mainly conside ed building and
dis ic eno a ion, u ban mobili y and ICTs, while social and go e nance aspec s we e no
ully add essed. Ne e heless, as in oduced, ci izens should be a he co e o he u ban
ans o ma ion, and hei in ol emen , accep ance and engagemen a e c ucial. Finally, he
esea ch in [
8
] p oposed a amewo k whe e he le els o Sma Economy, Sma Mobili y,
Sma En i onmen , Sma People, Sma Li ing and Sma Go e nance we e in eg a ed.
Howe e , he suppo o ICTs was again neglec ed.
Wi h hese s udies in mind, he mySMARTLi e KPI-d i en e alua ion amewo k
goes a s ep o wa d by p oposing an in eg a ed me hodology whe e Sma Ene gy, Sma
Mobili y, Ci y In as uc u es (including ICTs), Sma People, Sma Economy and Sma
Go e nance a e combined. This amewo k is suppo ed by a se o KPIs o quan i y he
impac s. In addi ion, i p o ides a wo-scale analysis o he ci y, i.e., i e alua es he ac ions
and ex apola es he esul s o he ci y le el.
3. mySMARTLi e KPI-D i en E alua ion F amewo k
This sec ion desc ibes he a o emen ioned e alua ion amewo k. Figu e 1[
9
] illus-
a es he p oposed amewo k. Fi s o all, i should be highligh ed ha wo le els o
assessmen a e included:
•
P ojec le el includes he mo e han 150 ac ions ha a e being deployed in he speci ic
a eas o he ci ies ha a e in ol ed in he p ojec . The main aim is o ob ain he quan i-
a i e analysis o he impac s o hose ac ions (e.g., building e o i ing, in eg a ion
o enewables, elec i ica ion o he anspo , e c.) as well as he pe o mance o he
echnological solu ions.
•
Ci y le el, which ex apola es he quan i ied impac s om he execu ed p ojec in
o de o es ima e he impac ha hese ac ions would ha e on he ci y. The ou come o
En i on. Sci. P oc. 2021,11, 21 3 o 4
his le el is o suppo ci ies a he ime o planning o u ban ans o ma ion s a egies
by ollowing quan i a i e and objec i e me hods ha a e d i en by KPIs.
En i on. Sci. P oc. 2021, 11, 21 3 o 4
enewables, elec i ica ion o he anspo , e c.) as well as he pe o mance o he ech-
nological solu ions.
• Ci y le el, which ex apola es he quan i ied impac s om he execu ed p ojec in o de
o es ima e he impac ha hese ac ions would ha e on he ci y. The ou come o his
le el is o suppo ci ies a he ime o planning o u ban ans o ma ion s a egies by
ollowing quan i a i e and objec i e me hods ha a e d i en by KPIs.
Figu e 1. mySMARTLi e KPI-e alua ion amewo k [9].
Wi hin each o he s a ed le els, a se o ca ego ies (named ields in he Sma Ci y
ision and pilla s o he p ojec le el) is es ablished. These a e, as men ioned abo e, en-
e gy and en i onmen , mobili y, u ban in as uc u es (including he digi aliza ion o he
ci y h ough he ICTs and u ban da a pla o m deploymen ), ci izens, economy and go -
e nance. All o hem a e d i en by a se o indica o s [9], which a e summa ized in Table
1.
Table 1. Numbe o indica o s de ined pe pilla .
Co e Ca ego ies Ci y Le el P ojec Le el
Ene gy & En i onmen 56 32
Mobili y 22 51
U ban in as uc u es/ICT & U ban pla o m 20 11
Economy 16 22
Ci izens/Social 16 5
Go e nance 15 7
Finally, he amewo k complemen s he indica o s and de ini ions ha a e de i ed
om he me hodologies and p o ocols, wi h he aim o suppo ing ci ies du ing he im-
plemen a ion o he p ojec e alua ion amewo k. These p o ocols should be jus consid-
e ed as a guidance as he e a e o he sui able p o ocols o be applied. Thus, he e alua ion
amewo k does no only p o ide a heo e ical indica o -based p ocedu e, bu also pa h-
ways o apply hem o analyse he success o he implemen ed ac ions. Table 2 depic s a
summa y o he p oposed me hodologies o each one o he p ojec pilla s.
Table 2. E alua ion me hods o each one o he ca ego ies.
Co e Ca ego ies E alua ion Me hodology
Ene gy & En i onmen Ex ension o IPVMP
Mobili y CO
2
emissions-based
U ban in as uc u e So wa e me ics
Economy Cos -Bene i
Ci izens Su eys / In e iews
Go e nance Ques ionnai es
Figu e 1. mySMARTLi e KPI-e alua ion amewo k [9].
Wi hin each o he s a ed le els, a se o ca ego ies (named ields in he Sma Ci y
ision and pilla s o he p ojec le el) is es ablished. These a e, as men ioned abo e, ene gy
and en i onmen , mobili y, u ban in as uc u es (including he digi aliza ion o he ci y
h ough he ICTs and u ban da a pla o m deploymen ), ci izens, economy and go e nance.
All o hem a e d i en by a se o indica o s [9], which a e summa ized in Table 1.
Table 1. Numbe o indica o s de ined pe pilla .
Co e Ca ego ies Ci y Le el P ojec Le el
Ene gy & En i onmen 56 32
Mobili y 22 51
U ban in as uc u es/ICT & U ban pla o m 20 11
Economy 16 22
Ci izens/Social 16 5
Go e nance 15 7
Finally, he amewo k complemen s he indica o s and de ini ions ha a e de i ed
om he me hodologies and p o ocols, wi h he aim o suppo ing ci ies du ing he imple-
men a ion o he p ojec e alua ion amewo k. These p o ocols should be jus conside ed
as a guidance as he e a e o he sui able p o ocols o be applied. Thus, he e alua ion
amewo k does no only p o ide a heo e ical indica o -based p ocedu e, bu also pa h-
ways o apply hem o analyse he success o he implemen ed ac ions. Table 2depic s a
summa y o he p oposed me hodologies o each one o he p ojec pilla s.
Table 2. E alua ion me hods o each one o he ca ego ies.
Co e Ca ego ies E alua ion Me hodology
Ene gy & En i onmen Ex ension o IPVMP
Mobili y CO2emissions-based
U ban in as uc u e So wa e me ics
Economy Cos -Bene i
Ci izens Su eys/In e iews
Go e nance Ques ionnai es
4. Discussion and Conclusions
This pape has p esen ed a p oposed KPI-d i en e alua ion amewo k in o de o
allow ci ies o e alua e he achie ed impac s by he deploymen o sus ainable ac ions.
In his sense, his amewo k has been applied in he h ee ligh house ci ies o Nan es,
Hambu g and Helsinki. In he i s s age o he p ojec , he amewo k and hei indica o s
En i on. Sci. P oc. 2021,11, 21 4 o 4
ha e been used o ob aining he ci y audi s, as well as de e mining he baselines o
he mySMARTLi e speci ic ac ions. Thanks o hese common KPIs and me hods, com-
pa a i e esul s may be ob ained. Tha is o say, o ins ance, in he ene gy ield, he e
is a dependency on clima e condi ions o be u he adjus ed in he models in o de o
compa e di e en pe iods wi h di e se clima e condi ions. These a e ou ine adjus men s
acco ding o he IPMVP, which a e some imes neglec ed and consequen ly can lead o
w ong assump ions, esul ing in a non- ealis ic o dis o ed iew o he impac s.
The applicabili y o he amewo k elies on he selec ion o he mos sui able KPIs
o each o he ci ies. Al hough i p o ides a wide se o indica o s, no all o hem a e
applicable o quan i iable; he e o e, ci ies should i s iden i y he ones ha a e aligned
wi h he ac ion a ge s o Sma Ci y u ban plans. Ne e heless, i is a bene i o he ci ies
in e ms o ha ing a b oad, lexible, and eplicable me hodology o he e alua ion o he
impac s in e ms o sus ainabili y.
MySMARTLi e has ecen ly inished he implemen a ion o he ac ions and, nowadays,
is s a ing he inal s age o he moni o ing pe iod and KPI calcula ions. In his sense,
u u e wo k could in es iga e he applica ion o he amewo k and indica o s o he
epo ing pe iod (i.e., he pe iod a e he in e en ions) as he nex s ep. As s a ed be o e,
he ollowing o common p o ocols and me hodologies allows he adjus men s be ween
pe iods o p o ide eal achie emen s and/o impac s. Addi ionally, i should be no ed ha
he e alua ion amewo k is a aluable ool o suppo ci ies in hei u ban ans o ma ion
p ocesses by p o iding no only he pa h o e alua e he pe o mance and impac s o
inno a i e ene gy-e icien solu ions om en i onmen al and ene gy poin s o iew, bu
also he economic iabili y, he social accep ance and he enhancemen o ci y go e nance,
which a e in mos cases he main ba ie s ha p e en ci ies om ad ancing owa ds
sus ainabili y and clima e neu ali y.
Da a A ailabili y S a emen :
Public deli e ables a ailable on h ps://www.mysma li e.eu/publi
ca ions-media/public-deli e ables/.
Acknowledgmen s:
The au ho s would like o hank, i s , he EC o unding and suppo ing
mySMARTLi e p ojec unde GA#731297. Secondly, he au ho s would like o hank he es o
conso ium o mySMARTLi e o he con ibu ions in he de ini ion o he amewo k.
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