Conceptual Framework of Adaptive Social Planning for Sustainable Urban Transformation

*Barakat Tiamiyu and Nancy Odendaal*

## **Abstract**

The notion of social planning has a long history as a method used by social planners to tackle societal problems. Programmes and policies implemented during this act of providing social amenities, developing policies and programmes, and other developmental activities are frequently rendered obsolete with time. Because social requirements and community elements are always changing, thereby creating the need for continual, collaborative, and inclusive efforts to deliver or adapt social development activities to meet people's current needs. This chapter seeks to develop an adaptive social planning framework that will provide a guideline for the adaptation of social needs and ensure the continuous integration of social dynamism into urban transformation. The non-adaptability of social planning and the lack of integrative social planning were extracted from the literature, which forms the basis for the development of the conceptual framework. Findings revealed the social transformation needed to achieve sustainable urban development, which were integrated to establish a holistic view of social needs. With this, a direct connection between the adaptation of social planning activities and sustainable urban transformation was established. This study provides a guideline for social planners and policy-makers to continuously monitor and evaluate the credibility and impact of any program/policy through empirical findings.

**Keywords:** social planning, adaptive social planning, sustainability development, urban transformation, conceptual framework

## **1. Introduction**

Social planning connotes the activities of social planners towards community development efforts, to combat issues arising from social, economic, and physical complications in the urban environment. The term is conceptualised in diverse fields because of its applicability to a variant of human activity, which reflects the expectations by groups in promoting community well-being. Social planning is the process by which policymakers, legislators, government agencies, planners, and funders try to solve community problems or improve conditions in the community by devising and implementing policies and programmes intended to have certain results [1].

This entails a wide range of spectrum of uncertainty and complexity relating to program or policy design for different community character [2]. It is an important developmental activity for community advancement that aims to address the existing problem or introduce new initiatives to meet the need of the people and the community at large.

However, it is important to note that planning itself is an iterative and adaptive process [3, 4]. Adaption in the context of social planning is the application of fit-foruse project scope for a range of policies and programmes. Fit-for-use is the designing of appropriate programmes or policies that will yield maximum public acceptance and impact. Adaptation is a devised not to be optimal, for the best estimated future, but robust across a range of plausible futures and responds to changes over time, as well as makes explicit provision for learning [5]. This means that adaptive social planning acknowledges the need for knowledge acquisition for risk reduction through data, consultation, and design processes to reduce uncertainty and assumptions by planners or policymakers. There is a high degree of interconnectedness and dynamic consequences in a world where unpredictability and the presence of unknown are the underlying traits [6]. Hence, the plan should be designed to evolve and allow for a continuous flow of information that is generated from the feeds of the conceptualisation, planning, implementation, evaluation, and monitoring process.

There are diverse areas in which development activities by the government, private sector, or individuals are directed such as health, infrastructure, services, programmes, policies, education, and security, among others. The adaptation of these activities to the specific host communities is intricate and has its inherent complexity, which sometimes seems cumbersome with public interests, which often leads to a disjointed project objective. The human-centric nature of social planning programmes creates a dynamic and unsatisfying quest for rapid transformation, from the people and government. However, the adaptive nature of social planning will enable planners to incorporate data and knowledge accumulated within a particular context and to fine-tune spatial management arrangements to fit the dynamic social-ecological systems [7]. The activity of a social planner is an unending process of priority identification, adaptation, and implementation of social planning programmes, by acquiring data, engaging stakeholders in a consultative process, and through the design phases [5]. Stakeholders in this sense, refer to those who the program or policy will influence or whose influence has a direct effect on the program.

The outcome of social planning is a sustainable urban transformation and spatial gratification of the community and beneficiaries [8–10]. As explained by McCormick et al. [8], sustainable urban transformation refers to structural transformation processes—multidimensional and radical change—that can effectively direct urban development towards ambitious sustainability goals. Sustainable urban transformation, according to Ernst et al. [9] encompasses both sustainable urban structures and environments and (radical) economic, social, cultural, organisational, governmental, and physical change processes. Ernst et al. [9] explained that sustainable urban transformation relates to a multitude of urban sustainability issues, ranging from poverty, over-population, unhealthy housing conditions, inadequate infrastructure, hygienic problems, poor water quality, and uncontrolled pollution in developing countries to segregation and growing social tensions, local traffic problems, solid waste generation, and the large consumption of energy and material in developed countries.

This implies that urban transformation is a structural transformation process, multidimensional, and radical change that can effectively direct urban development towards ambitious sustainability goals [6]. This also implies that ensuring a sustainable urban transformation requires a continuous process of ensuring urban

#### *Conceptual Framework of Adaptive Social Planning for Sustainable Urban Transformation DOI: http://dx.doi.org/10.5772/intechopen.109653*

developmental projects meet their target impact for a long period. In other words, in the process of ensuring the adaptability of social planning programmes through a continuous approach to ensuring impact attainment, there is a residual effect on community development. The residual effect is the sustainability of urban transformation [11, 12]. As noted by Galbiati et al. [13], a sustainable urban transformation will unlock various economic potentials for the host community. Likewise, Itasca [14] concluded that sustainable urban transformation will impact peoples' living standards, physical development, and other socio-economic pull factors, such as those from investors and investments, economic growth, and population growth.

Social development initiatives often attract a lot of interest and attention at the early stage, but these interests fade even before the projects are completed. The concept and proposed impact create a buzz in the beneficiary community; however, these initiatives are later abandoned due to uninformed social planning procedures in a dynamic context. As a result, non-adaptive social planning undermines the sustainability of urban transformation, especially in developing countries. Also, the non-adaptability of social planning makes the urban transformation to be faced with many challenges that have complicated the social structures and impaired the delivery of social and economic growth. Besides, there is a dearth of adaptive social planning frameworks which would have aided the policymakers and social planners in integrating the flow of data and communicating strategies to stakeholders for better decisionmaking, outcome, and impact metrics in social development.

As a result of the non-adaptability of social planning and lack of adaptive social planning framework, policymakers and social planners are making assumptions of what people need or want; while the prevailing social planning approach is generic and complicated by disparities in the economic, social, and physical context. These shortcomings have caused many social development projects to fail; either not being completed or abandoned after completion. Hence, there is a need to establish the importance and elements of adaptive social planning towards the development of a participatory approach to the adaptation and development of sustainable urban transformational initiatives. The intended aim of this paper is to develop an adaptive social planning framework that will positively impacts sustainable urban transformation.

## **2. Literature review**

The importance of the city to individual lives cannot be overemphasised because the majority of people live in cities and urban areas [15]. The city, as the metropolitan area plays a dominant role in alleviating poverty through economic opportunities, improving social status, and providing good living standards [14]. John [1] describes a city as a growth centre for existing and emerging global consumption, production, pollution, economic, and social activities. In the opinion of [16], a city is a source of growth for domestic and global economies. Smith [17] observed that city or urban transformation is essential to ensure that urban areas are resilient, safer, healthier, more equitable; and better able to absorb, recover from, ad successfully adapt to future adverse events. However, the growth or transformation of a city is highly dependent on social investment [8].

This indicates that the transformative process of any community is dependent on social investment or development by the municipal government or private bodies.

Social planning is one of the activities involved in social development [18]. It entails effective change management within a dynamic population and expectations. It scans

across all social aspect of community needs that is assessed at the grassroots for a strong public social planning process. Community needs as contained in social planning varies from geographic location to another, economic and political atmosphere, and social literacy [18]. These needs may take the form of laws, regulations, incentives, media campaigns, programmes or services, information, and a wide range of possibilities [1]. Svend [19] notes that social planning encompasses a wide range of development activities, which cannot be defined specifically because of the ever-changing social needs such as health service, education, infrastructure, services, programmes, and policies.

There is a long history of social planning and the need for adaptive social planning in many parts of the world. In the United States, Franklin Roosevelt's New Deal contains various public health programmes in the 1940s and 1950s. During this time, social planning was used as a tool for economic and political reasons, which created a biased approach to development initiatives [17]. Consequently, there were many failed programmes (such as the Boston west-end neighbourhood levelling program) as planners assume what was best for the people instead of engaging the people in the selection of appropriate projects [20]. In South Africa, social development was designed to meet specific pressing needs with little or no consideration for the sustainability of the development [21]. The transition of the government of South Africa to democratic rule created an economic system that promotes gross income disparities and a widening gap between the rich and poor [22].

In China, changes in the political economy and deficiency in development activities of the local communities, contradict the ideas of social planning and have led to the regulation of social and economic development [23]. In Nigeria, social welfare emanates during the colonial rule by missionaries; and the post-colonial era by philanthropists and the Social Development Division in the Federal Ministry of Labour and Social Welfare [24]. Several development plans need assessment programmes, political visions and structural programmes were introduced by the different government to meet the need of the public in the area of housing, education, and social alleviation program have since being developed heuristically. Deedam et al. [25] noted the enormous failure of achieving the respective aim and objective of social development programmes, due to inadequacy of planning process and implementation. Other researchers, political analysts and social professionals, and foreign observers have identified sources of social planning failure from corruption, non-implementation of the plans to the fullest, political interference, or coup and counter-coup d'état [25]. This indicates that the public administrators in Nigeria have no defined concept of social planning or the need to adapt social planning for social development.

Non-adaptability of social planning has been linked with a disruption in the social structure of a community [1]. Studies such as [26] have also reported that the nonadaptability of social planning affects the established community's sense of place which was what made the city colourful and full of life. Non-adaptability of social planning can occur when planners assumed that a luxury complex residence profiling for residents is best to improve their living standards when an affordable residence is the best option to improve the living standards of the community [18]. The negative impacts of the non-adaptability of social planning on the sustainable transformation of urban areas have led to the making of community participation a notable requirement in project planning and implementation [18].

This implies that adaptive social planning is necessary to ensure that plans remain relevant and impactful, project objectives are evaluated, and there is feedback on the effectiveness of implemented management actions [27]. Adaptive social planning accounts for communities with peculiar characteristics based on culture,

### *Conceptual Framework of Adaptive Social Planning for Sustainable Urban Transformation DOI: http://dx.doi.org/10.5772/intechopen.109653*

environment, religion, climate, socio-economic and political attributes; by ensuring plans or policies are made with the right people, for the right people, and by the right people to achieve sustainable development [ 28 ]. Similarly, Lei and Jianfa [ 23 ] pointed out that the idea of ensuring plans stay impactful and relevant is what sustainable development is about [ 23 ].

 However, implementing an adaptive social planning initiative for sustainable urban transformation is quite challenging, due to the enormous time and resources that will be required [ 7 ]. According to Grantham et al. [ 27 ], the development of an adaptive plan is a complex process as a result of the workload. Therefore, it becomes imperative to develop a framework that will provide guidelines for the implementation of the adaptive social planning process in the generation of social policies, programmes, projects, and other urban transformation activities in countries like Nigeria that are lacking in social planning and development [ 29 – 31 ].

 Thus, the focus of this research is on the development of an adaptive social planning framework that will provide a guideline for the adaptation of social needs and ensure the continuous integration of social dynamism into urban transformation.

## **3. Research methods**

 A research methodology framework for this study is shown in **Figure 1** . A literature review on the application of social planning and the historical challenges with its application was first examined. A systematic overview of the concept of social planning as it applies in different countries [ 17 , 23 ] shows that social planning was used for economic, social, political, and cultural reasons. However, a majority of these social planning initiatives fail because they do not meet the needs they were created for. From the literature review, two distinctive problems were identified: the nonadaptability of social planning and the lack of an integrative adaptive social planning framework for social and sustainable development.

 Munasinghe [ 32 ] depicts in sustainable urban transformation framework that sustainable development can only be possible if there is interdependency and correlation between the demographic, economic, social and spatial transformation. Ojoko et al. [ 33 ] also present Munasinghe's principle of sustainability as an important development tool to drive social, economic, and physical systems. These two

 **Figure 1.**  *Research methodology framework.* 

#### *Sustainable Regional Planning*

viewpoints provide crucial elements to achieve urban transformation, which lead to the development of modified sustainable urban transformation components. Social transformation, economic transformation, environmental transformation, demographic transformation, and spatial transformation encompass all the driving forces to address development.

To create an integrative and simplified process for adaptive social planning to achieve sustainable urban transformation, this chapter developed a conceptual framework to assist social planners and policymakers to continuously adapt and rethink social initiatives and developments through an empirical and systematic approach.

## **4. Development of conceptual framework**

Social issues that are associated with urbanisation in developing countries include housing demands, technology advancement, health, employment, and transportation [29]. In addition, social needs are ambiguous while the majority of the developmental initiatives are ineffective and unable to meet social needs [33]. This suggests that adaptive social planning is required to ensure the sustainability of urban transformation by continuously addressing social issues and effectively meeting social needs. However, social planning will only be adaptive and bring sustainable urban transformation when developmental programmes are selected based on social goals, policymaker perspective, and grassroots viewpoint. This research proposes a conceptual framework of adaptive social planning for sustainable urban transformation.

The conceptual framework of this research is shown in **Figure 4**. It depicts a modification of Wei's sustainable urban framework (**Figure 2**) with Munasinghe's principle of Sustainability (**Figure 3**), to investigate the impact of adaptive social planning on sustainable urban transformation. **Figure 2** shows the sustainable urban framework proposed by Wei et al. [34]. The framework explained that demographic transformation, economic transformation, social transformation, and spatial transformation interact closely and interdependently with each other to bring about a sustainable urban framework. The three viewpoints of the Munasinghe sustainability triangle present social, economic, and physical systems as a distinctive driving force with objectives that address development, which has been widely adopted and in operational (see **Figure 3**).

The conceptual framework for this research (as shown in **Figure 4**) proposes a positive relationship between adaptive social planning and sustainable urban transformation. The relationships between adaptive social planning and sustainable urban transformation suggest that adaptive social planning is a collaborative and inclusive social development initiative that will ensure the consideration of environmental, economic, and social characteristics before policies or programmes are developed and implemented.

The conceptual framework in **Figure 4** underlines the need for continuous adaptation and rethinking of social development with new empirical findings to make development more sustainable. As illustrated in the conceptual framework, the elements of adaptive social planning processes for a sustainable urban transformation necessitate the need to create a centralised workplace and integrative process for planners to carry out effective and efficient social development. The adaptive social planning process as shown in **Figure 4** was conceptualised as a procedural-based framework with distinctive and connective elements. This provides an overview and guidelines for planners to engage, develop, plan, evaluate, and implement adaptive programmes and policies that meet social needs.

*Conceptual Framework of Adaptive Social Planning for Sustainable Urban Transformation DOI: http://dx.doi.org/10.5772/intechopen.109653*

 **Figure 2.**  *Sustainable urban transformation framework [ 34 ].* 

#### **Figure 3.**

 *The dimensions of sustainability by Munasinghe [ 32 ].* 

 Also, the conceptual framework in **Figure 4** outlines the proposed criteria and components that a social development initiative must fulfil and capture before it can be said to have adopted adaptive social planning. The criteria suggest that development programmes or policies in the area of health, technology, institutional, relief, and financial will only ensure sustainable urban transformation if they fulfil all of the criteria for adaptive social planning. Also, the criteria suggest that social planners

 **Figure 4.**  *A conceptual framework of adaptive social planning for sustainable urban transformation.* 

should first engage in open consultation with stakeholders in the community on possible programmes or projects that are of importance to them. This can be done using a set of toolkits that will allow a wide range of open suggestions and ideas from the selected beneficiaries themselves. Also, the planner must prioritise the selected programmes into a set of three alternatives, having reconciled them with the available resources, regional policy, and allocations to test the feasibility of the project to be implemented.

 Lastly, these sets of alternatives must be presented back to the community in a brief and a final project or policy is selected. Community engagement as conceptualised in **Figure 4** will create a sense of ownership, enable the understanding of the social needs from the peoples' perspective, reduce uncertainty and assumptions about urban transformation, and create community responsiveness to urban transformation. The impact of the transformation through various developmental projects must be measured through community assessment of project impact on their personal and community livelihood. Whatever be the impact of the projects, both positive and negative outcomes of projects are very important to policymakers and funders to inform subsequent development activities.

 In addition, the conceptual framework proposes that adaptive social planning will lead to social transformation, economic transformation, environmental transformation, demographic transformation, and spatial transformation. Social transformation, as an element of sustainable urban transformation, is geared towards enriching communities, relationships, and individual aspirations. Economic transformation is concerned with an increase in the consumption of goods and services, which in turn improves human welfare. Social transformation occurs in the framework as cognitive level improvement, information exchange, cultural communication, technological innovation, social relations evolution, institutional reform among others, which could further influence people's behaviour and lifestyle. The environmental transformation is concerned with the protection of the integrity and resilience of ecological systems.

## **5. Conclusions**

 Prior studies have shown that social planning and social development are intentional community development actions to curb issues arising from social, economic,

## *Conceptual Framework of Adaptive Social Planning for Sustainable Urban Transformation DOI: http://dx.doi.org/10.5772/intechopen.109653*

and physical complexities. These activities are often carried out by social planners, policymakers, and other organisations, help create a community sense of place, and attract economic development and urban expansion. However, the approach to carrying out these development efforts, also known as social planning, has raised concerns over the years. As cities expand, it creates an increase in demographics, puts a strain on the physical and environmental components, and introduces a complex policy framework for planners and policymakers. Consequently, adaptive social planning is needed for a sustainable urban transformation.

This chapter proposes a paradigm for social planning that is integrative, collaborative, and inclusive in order to achieve sustainable urban transformation. It illustrates the direct correlation between adaptive social planning and sustainable urban transformation. The framework would help guide the implementation of social development, as well as continuously monitor its effectiveness, get public perception, and evaluate its impact. The impact of its application would ensure projects and plans remain relevant through time and social change. Further research is needed on the application and viability of the conceptual framework using a practical social development initiative.

## **Author details**

Barakat Tiamiyu\* and Nancy Odendaal School of Architecture, Planning, and Geomatics, University of Cape Town, South Africa

\*Address all correspondence to: barakatbidemi96@gmail.com

© 2023 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

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**Chapter 4**

## Smart and Sustainable Cities: A New Urban Transformation

*Jorge Carro-Suárez, Susana Sarmiento-Paredes and Doroteo Nava*

## **Abstract**

The "smart city" concept was born with the aim of providing an urban complex that allows society to achieve greater well-being and a better quality of life through greater efficiency of public services and its infrastructure through digital technologies. However, today society not only demands to improve its current well-being, but also cares about that of future generations, in such a way that smart cities must consider sustainability as an integral part of their development and evolution. Therefore, the aim of this chapter is to determine the impact of digital technologies implemented in smart cities on the social, environmental, economic and institutional dimensions of sustainable development and thus promote urban development that is not only smart but also sustainable, taking as reference dimensions evaluated by indices worldwide.

**Keywords:** smart cities, digital technologies, dimensions of sustainable development, sustainable cities, Industry 4.0

## **1. Introduction**

United Nations predict that 70% of the world population will live mainly in urban areas and cities in 2050, which means that the main social problems that affect society will also increase [1]. Population growth, environmental pollution, traffic congestion, lack of physical infrastructure and new environmental and energy requirements are today the main challenges facing large cities [2]. That is why cities around the world are seeking to achieve progress and improvements through the adoption of smart and innovative technologies that address these problems and that not only improve people's quality of life, but also lead them to be more sustainable spaces, energetically more efficient and environmentally less polluting [1]. This situation gave rise to the concept of "smart cities" given the need to implement modern urban development that takes advantage of the exponential growth of digital technologies [3].

The concept related to the smart city was born in the United States in 1992 in the book "The Technopolis Phenomenon", which was used to represent the growth of information technology and its application in modern infrastructures of the 1990s [3]. Today, it is contextualized more as a relationship between new digital technologies and the physical infrastructure of cities to solve various urban challenges [4], in addition to maintaining a high quality of life, improving economic productivity and

generating a safe environment in the event of emergencies or unexpected situations such as the COVID-19 pandemic that devastated the world in 2020 [5].

However, despite the fact that the development of smart cities has achieved acceptance by a large part of society as a means to mitigate various problems derived from growing urban development, there is also concern that with the arrival of new digital technologies cities will have to face other types of problems, such as the leakage of confidential information [6], the social risks that may arise such as social exclusion [7], the permanent rejection of technology by certain sectors of society and discontent in the face of an inequitable social impact [8].

So, the new trend is that smart technology and social innovations should be combined and be the base of any smart city [4]. In such a way that for the development of a smart city, the development of an urban green economy must also be promoted through the reduction of polluting emissions, energy consumption and greater regional development [9], taking from now on the necessary measures to take the next step and achieve a transformation, that is, to go from being smart cities to being smart and sustainable cities [10].

Currently, there are cities in the world that have begun to adopt these measures, such is the case of Singapore with the launch of its Smart Nation initiative in 2014, which contemplates a new eco-intelligent city completely free of vehicles supported by clean public transport and efficient, with more safe areas for pedestrians and cyclists [11]. Helsinky, Finland, has set itself the goal of becoming carbon neutral by 2035 by gradually reducing its emissions from traffic by implementing various measures, such as transitioning its urban service bus fleet from internal combustion systems to electric systems, incorporating and promoting the use of renewable energy for 100% of the city's buildings [12]. Zurich (Switzerland) is innovating in its public lighting system with smart lamps that adapt to traffic levels through sensors, gradually increasing its energy savings, based on efficient management of heating, electricity and cooling in the city through of smart buildings. At a strategic level, initiatives such as "Zurich 2035 Strategies", "2000 Watt Society", "Urban Transport 2025" and the "Open Data Strategy" have been developed [13]. Due to the rapid growth of its population, New York (United States) implemented a smart city pilot program in 2020, accumulating data to help manage its waste management and collection services more efficiently, enabling smart centers with contactless technology and services of car sharing to reduce traffic congestion, with the goal of reaching net zero emissions by 2050 [14]. Seoul (South Korea) started these campaigns in 2014 based on data management. Through the analysis of urban patterns such as speed and traffic flow, as well as air quality measured by sensors, it has formed a solid infrastructure with intelligent services. On the other hand, it has focused its technology on the care of its adults who live alone and to detect and prevent criminal patterns. The Pilot National Smart City program was implemented to freely integrate Industry 4.0 related technologies by creating an innovative industrial ecosystem that can drive more creative business models [15]. Finally, Oslo (Norway) has as its main objective to reduce polluting emissions by 95% in 2030. To this end, it is making efforts and creating opportunities in areas that include electric vehicles with their special charging equipment and services, smart grids, renewable fuels, green buildings and circular economy [16].

It is clear that, in the world, these efforts are carried out from different perspectives, which leads to the need to do so in a sustainable and comprehensive way. Therefore, the objective of this chapter is to determine the impact of digital technologies implemented in smart cities on the social, environmental, economic and

institutional dimensions of sustainable development, taking as reference specific dimensions evaluated by various indices worldwide on smart cities and promote an urban development that in addition to being intelligent, is also sustainable.

## **2. Smart city performance indices**

Globally, there are various smart city indices that assess different factors. Among the most prominent are the following:

## **2.1 Cities in motion index**

Published by the Center for Globalization and Strategy and the Strategy Department of the IESE Business School. It is a platform that connects a global network of experts in cities and companies whose objective is to promote changes at the local level and develop innovative ideas and tools to make cities more sustainable and intelligent. The last report issued in 2022 evaluated 183 cities through 9 dimensions under the following criteria [17]:

• Human capital

It believes that the main objective of every city should be to improve its human capital. A city with intelligent governance must have the capacity to attract and retain talent, create plans to improve education and promote both creativity and research. Although human capital includes factors that make it broader than what can be measured with certain indicators, there is an international consensus that educational level and access to culture are irreplaceable components for its measurement. The Human Development Index (HDI) published annually by the United Nations Development Program (UNDP) mentions that education and culture are the determining pillars for the development of human capital. Therefore, Cities in Motion Index (CIMI) 2022 considered the percentage of the population with higher education, the number of public and private schools, the number of internationally recognized universities, annual spending on education, spending on leisure and recreation, the international movement of students and number of museums, galleries and theaters as indicators that explain the differences in the human capital of the cities.

• Social cohesion

Social cohesion is a sociological dimension of cities that can be defined as "the degree of consensus of the members of a social group" or also as "the perception of belonging to a common project or situation". It is a measure of the intensity of social interaction within the group. In the urban context, social cohesion refers to the level of coexistence between groups of people who live in the same city and have different incomes, cultures, ages or professions. Concern for the social environment of the city requires the analysis of factors such as immigration, community development, care for the elderly, the efficiency of the health system, and citizen security and inclusion. In these times of COVID-19, the capacity and universality of health systems are evaluated and measured in a special way, with the hope that the health crisis has served to understand the importance of these systems and strengthen them.

## • Economy

This dimension includes all those aspects that promote the economic development of a territory: local economic promotion, transition and strategic industrial plans; cluster generation; innovation and entrepreneurial initiatives. If we consider that the dimension intends to measure through multiple indicators the future sustainability of the main cities of the world and the quality of life of its inhabitants, the real GDP becomes a real measure of the economic power of the city and of the income of those who inhabit it. In fact, in numerous studies, GDP is the only measure—or the most important—of the performance of a city or country.

• Governance

Term commonly used to designate the efficiency, quality and proper orientation of State intervention. Given that the citizen is the meeting point to solve all the challenges that cities face, factors such as the level of citizen participation and the ability of the authorities to involve business leaders and local agents must be taken into account, as well as the application of e-government plans. Likewise, this dimension includes all those actions aimed at improving the efficiency of the administration, which include the design of new organizational and management models. In this section, great opportunities open up for private initiative, which can provide greater efficiency.

• Environment

The sustainable development of a city can be defined as "development that meets the needs of the present without jeopardizing the ability of future generations to meet their own needs." In this sense, factors such as the improvement of environmental sustainability through anti-pollution plans, the promotion of ecological buildings and alternative energies, efficient water and waste management and the existence of policies that help to counteract the effects of climate change are essential to guarantee the sustainability of cities over time.

• Mobility and transportation

The cities of the future have to face two great challenges in the field of mobility and transport: facilitating movement (many times, in large territories) and access to public services. Mobility and transport—both in terms of road and route infrastructure, the car park and public transport as well as air transport—affect the quality of life of the inhabitants of a city and can be vital for sustainability of it over time. However, perhaps the most important aspect is the externalities that are generated in the production system, either due to the need to move the labor force or the need to exit production.

• Urban planning

The urban planning of cities has always been considered a driver of development and poverty reduction. Today, it is also a collective exercise that must involve all stakeholders, such as citizens, civil society organizations, the public and private sectors, multilateral organizations and academics.

• In turn, urban planning is closely related to sustainability. To improve the habitability of any territory, it is necessary to take into account local master plans and the design of green areas and spaces for public use, in addition to committing to intelligent growth. New urban planning methods should focus on creating compact cities, with good connections and accessible public services.

• International projection

Cities that want to progress must achieve a privileged place in the world. In this sense, maintaining the global projection involves improving its brand and its international recognition through strategic tourism plans, attracting foreign investment and representation abroad. Cities may enjoy a greater or lesser international projection, even if they belong to the same country, but it is not independent of the degree of national openness. This dimension aims to reflect these differences and measure the international projection of cities.

• Technology

Information and communication technologies (ICTs) are part of the backbone of any society that seeks to achieve the status of "intelligent". Technology is an aspect of society that improves the current quality of life, while the level of development is an indicator of the achieved or potential quality of life. In addition, technological development allows cities to be sustainable over time, as well as maintain or expand the competitive advantages of their production system and the quality of employment. A technologically backward city has comparative disadvantages compared to others, both from the point of view of security, education or health—all of which are essential for the sustainability of society—and from the perspective of the productive system. As a result, production functions have become anachronistic, and competitiveness without protectionism is diminished, which has a negative impact on the city's capacity for consumption and investment, as well as reducing labor productivity.

Based on these dimensions, CIMI presents London (United Kingdom) as the first place, followed by New York (United States), Paris (France), Tokyo (Japan) and Berlin (Germany) as the first five cities in the ranking. 2022.

## **2.2 E-government development index**

The e-government development index (EGDI) presents the state of development of the electronic government of the Member States of the United Nations. Along with an assessment of the factors of Web site development in a country, the EGDI incorporates access characteristics such as infrastructure and educational levels to reflect how a country is using information technologies to promote the access and inclusion of all their society. The index is a composite measure of three important dimensions of e-government [18]:

• Online service (OSI)

The OSI component is a composite indicator that measures the use of ICTs by governments for the provision of public services at the national level. The OSI values are based on the results of a comprehensive survey covering multiple aspects of the online presence of all 193 Member States. The survey evaluates the technical characteristics of national Web sites, as well as the electronic

government policies and strategies applied in general and by special sectors in the provision of services. In the 2022 edition, for the first time, the OSI was calculated based on five weighted sub-indices. Specifically, Member States are assessed for service provision, technology, the institutional framework supporting e-government development, content provision and e-participation.

• Telecommunication infrastructure

Consider deployment for home Internet access, individual Internet usage and mobile phone penetration.

• Human capital

It collects information on the educational level of the population, with the literacy rate and average years of schooling.

The 10 countries with the highest evaluation of the 2022 survey corresponding to the EGDI are Denmark, Finland, South Korea, New Zealand, Sweden, Iceland, Australia, Estonia, the Netherlands and the United States.

## **2.3 Smart city index IMD**

The Smart Cities Index prepared by the Smart Cities Observatory of the IMD Global Competitiveness Center in collaboration with the Singapore University of Technology and Design (SUTD) analyzes and rates 102 cities in the world. Evaluates indicators such as health and safety, mobility, activities and opportunities together with the level of infrastructure of cities, benefits and technological services for its inhabitants, these data integrate the two pillars on which the perception of residents is requested, which are focused in measuring how citizens perceive the efforts that their city makes to become a smart city. This takes economic and technological aspects into account, but from a social approach adapted to human dimensions, as explained by the observatory itself [19]:

• Attitudes

It shows and compares responses to three key aspects of privacy (willingness to give up data, comfort with facial recognition and whether online information has increased trust in authorities).

• Structures and technologies

It collects key data from the structures and technologies survey in five key areas: health and safety, mobility, activities, opportunities and governance.

According to the index, being a globally recognized smart city is today critical to attracting investment and talent, creating a virtuous circle. The 2021 results show that the top ten smart cities in the ranking are Singapore, Zurich, Oslo, Taipei City, Lausanne, Helsinki, Copenhagen, Geneva, Auckland and Bilbao, highlighting aspects such as public transport, basic sanitation in areas humbler, green spaces, the provision of medical services and recycling services in terms of structures. Also noteworthy is the improvement in the organization of online medical appointments, as well as its use in buying tickets for shows.

## **2.4 Smart city strategy index**

Index issued by the German consultancy Roland Berger measures the efficiency and management of urban centers in light of the key digital applications that identify a smart city, providing a global vision of strategies applied by various cities. In its last edition in 2019, it identified 153 cities with an official smart city strategy, considering Vienna Austria in the lead, followed by London in the United Kingdom and St. Albert Canada. Its evaluation framework is based on 3 smart city dimensions, 12 criteria and 32 sub-criteria [20].

• Planning

Consider the time it takes to apply your strategic plans, your viable objectives, forms of financing, priority and execution, administrative coordination and the acceptance of all your stakeholders and partners.

• Infrastructure and policy

Consider the political and legal framework both in its regulation, financial and innovation support and secure data management. In infrastructure, technological connectivity, transparency of information and the speed of their Internet networks are evaluated.

• Action fields

It evaluates the constructions from their ease of management, applications in the home and construction, and in energy and environment, it considers the management of energy, water and waste. In mobility, it evaluates the management of urban traffic and logistics. In education, it takes into account the capacity of educational platforms, learning models and digital skills. In health, it analyzes information systems, assisted medicine and telemedicine, finishing with the government through its e-services and its digital public administration.

As a complementary part, in this report it considers seven essential points as urban planners for the design of a perfect smart city [20]:

• Take stock

This exercise requires taking stock of existing plans and projects, being a strategy that presents the perfect opportunity to reassess the role of the city and clearly define its digital services and its portfolio of current and future projects.

• Involve all stakeholders

To ensure greater efficiency, all stakeholders, including citizens and external providers, must participate in the strategies proposed by the city, as well as in their implementation.

• Think integrated

A smart city must be based on clearly defined fields of action, supported by solid actions in strategic digitization areas.

• Get private support

The private sector is the key to providing financing and expertise. Therefore, it is crucial that companies not only have as part of their business model the development of technologies, but also contribute to the financing of new and better solutions to the country's problems.

• Foster innovation

As such, there is no perfect smart city model, so cities and their society should not limit companies to try new solutions. Innovation laboratories, technical and financial support must be determining points to implement this strategy.

• Establish (open) urban data platforms

Data flow is the soul of a smart city. Digital solutions work better when they have more information, which means that data platforms are key points, hence the importance of developing solid cybersecurity policies to prevent the leakage information.

• Make concrete action plans

The action plans defined by each city must be reviewed and updated periodically to keep their results up to date and guarantee proper efficiency with respect to their funding sources.

## **2.5 Smart cities index report**

Issued by Ifm Engage in conjunction with Yonsei University and University of Cambridge, it represents a comprehensive study of 31 cities around the world, which reviews the effectiveness of local innovation initiatives, service development and infrastructure projects. It highlights trends and provides information on the impact of smart city development globally for better future strategic planning. In his 2022 report, it presented a baseline evaluation in eight dimensions [21]:

• Service innovation

It is essential for the development of a smart city that the urban infrastructure is improved through the application of advanced ICTs. In this way, smart cities drive sustainable innovation as new industrial sectors emerge that offer services that are synergistic with a city's own information provision. Since the health crisis due to the COVID-19 outbreak, ICTs mediated services have become more essential than ever to people's lives. Many leading cities around the world are investing heavily in innovative advanced technologies with the aim of providing citizen-centric smart city services while enhancing the competitiveness of cities by driving various smart city policies. New York, Barcelona, Seoul, London and Amsterdam lead this dimension.

• Urban intelligence

Cities around the world are actively working on how to solve various urban problems using Industry 4.0 technologies, such as the use of big data and blockchain, through services based on Web applications, infrastructure services and specific projects. On the other hand, the use of artificial intelligence (AI) technology to promote infrastructure services is also recognized, as well as in the fields of health care, social services, crime and disaster prevention, transportation, and energy management. In this dimension, Seoul, Barcelona, Amsterdam, Helsinki and Lisbon stand out.

• Urban sustainability

At this point, smart city projects are classified by service areas, identifying the type of development (services, infrastructure and projects) that has the greatest impact on urban sustainability, with special attention to the energy and environment sector, as well as to Web application-based services. Amsterdam, Copenhagen, Helsinki, Berlin and London lead this dimension.

## • Urban openness

It represents one of the key factors that determine the competitiveness of a city together with the development of a smart city. An open city is innovative and usually takes the form of an ecosystem, within which city government offices work together with large, medium and small companies, as well as young startups. Two parameters are basically considered: (1) the opening of urban data and (2) informed citizen participation under the concept of open innovation. Taipei, Seoul, New York and Singapore lead this dimension.

• Infrastructure integration

The infrastructure of a smart city is a complement of Industry 4.0 technologies that interconnect the physical urban infrastructure (building and public lighting) with cloud applications and data, fostering innovation and improving services for society. It also represents the concept of a smart city as a way to bridge the digital divide, responding preemptively to the vision of a hyper-connected and hyperintelligent society by making infrastructure fully accessible within the city through various digital technologies. In this dimension, Seoul, Incheon, Barcelona, Taipei, Busan and Dubai stand out as leaders in infrastructure integration.

• Urban innovativeness

A smart city is innovative to the extent that it undertakes the task of creating and designing an ecosystem in which Industry 4.0 technologies can be implemented and prosper, including aspects such as construction and zoning, promoting innovative projects with the aim of generating greater socioeconomic value through the development or commercialization of services through technological innovations.

• Collaborative partnership

It is defined as the mutual and cooperative relationship to create and activate ecosystems for the efficient development of services and infrastructures in smart cities. Its application is useful in overcoming budgetary and resource constraints. Local governments, research institutions, private companies, Small and Mediumsized Enterprises (SMEs), citizens and other neighboring cities are included. It identifies the establishment of policies so that associations can be a driving force that increases synergy in the development of infrastructure and quality services,

fostering innovation and agility in the development of resources. In this context, Seoul, Shanghai and Singapore are the leading cities in this dimension.

• Smart city governance

The term refers to the organizational structures in which a city brings together multiple stakeholders to solve common problems that occur during the delivery of public services. Through governance systems, governments and their collaborating partners share a vision, identify priority problems, propose strategies and methods and determine political decisions to promote projects with social impact, systemically establishing a digital transformation in key sectors, such as transport, energy and environment. New York, Amsterdam, Vienna, Singapore and Dubai are the leading cities in this dimension.

Cities around the world have accepted these challenges and have adopted various factors and strategies as part of their response to the problems that afflict society in general. Likewise, through the development of innovative ideas and approaches, transformations have been shaped that have taken advantage of new digital technologies not only to improve people's quality of life, but have also identified that the environment and the planet require the same attention. The next step is to determine how a smart city can promote more sustainable and sustainable urban habitats from an integral point of view, that is, that its impact is of a social, economic, environmental and institutional for the benefit of all.

## **3. Smart cities and comprehensive sustainability**

## **3.1 Industry 4.0 digital technologies**

Improving processes and optimizing available resources by perfecting and/or replacing human action was one of the main causes for which the concept of Industry 4.0 was born based on disruptive digital technologies that boosted the growth and development of companies and organizations around the world. Nine main pillars are highlighted [22]:


• AI.

These technologies allowed the industrial sector to achieve greater operational efficiency, better management of its resources and improvement of its processes, resulting in greater productivity based on the creation of value of its products and services. Therefore, the new trend recognizes that these new technologies are the way for not only the business sector to develop, but also for smart cities to better manage their resources and more appropriately face and solve their main current and future problems.

## **3.2 Integral sustainability**

Implicitly sustainable development plays a determining role for smart city service management, as part of a complete innovation cycle [21]. Despite the fact that digital technologies under the concept of Industry 4.0 were developed due to the need to convert normal machinery into intelligent machinery with learning capacity to improve its performance [23]. The World Economic Forum's (WEF's) Network Readiness Index 2021 described that technology and people need to be integrated into effective governance to have the right impact on the economy, society and the environment. Recognizes that despite the fact that digital technology is changing people's lives in a dizzying way, there are still gaps in access to it in various regions and economies of the world [24].

Likewise, the United Nations 2030 Agenda has objectives that can be achieved more quickly thanks to the development of smart technologies. Ensure healthy lives and promote well-being for all at any age (SDG 3); guarantee inclusive, equitable and quality education (SDG 4); guarantee the availability of water and sanitation (SDG 6); guarantee access to affordable, safe and non-polluting energy (SDG 7); build resilient infrastructure and foster innovation (SDG 9); make cities and human settlements inclusive, safe, resilient and sustainable (SDG 11); taking urgent action to combat climate change (SDG 13) and building effective, accountable and inclusive institutions at all levels (SDG 16) are part of the sustainable development goals that can be directly linked to the development of a smart city [25]. Por lo tanto, un desarrollo sostenible integral requiere una atención específica a cuatro dimensiones [26]:

• Environmental

In this dimension, it is established that products and processes must be friendly to the environment through the prevention of pollution and good management of natural resources, recognizing the design of green products, from their raw material to the end of production its life cycle.

• Social

The benefit of people and their environment is sought with an efficient administration of human resources, providing health, safety and economic growth, both to organizations, personnel and to the place where the company has been established.

• Economic

The proposal of both economic and social profitability is proposed, in the search to generate results and/or benefits based on investment in technology to reduce energy consumption and improve the environmental quality of the processes, also conceiving that its aim is not only to generate economic profits, but also to

give something back to society at a social, economic and environmental, level that allows the company to establish permanent roots.

• Institutional

The creation of a sustainable culture is proposed, with a mission and vision that impacts organizations and society, establishing norms, habits and values so that they are practiced at all times, making them a new form of behavior and education.

Under these principles, it is highlighted that a smart city must not only consider the implementation of technologies to improve the living conditions of its inhabitants, and it must comprehensively cover these four dimensions. The dimensions and strategies presented by the evaluation indices are the best indicator to assess the environmental, social, economic and institutional impact experienced by cities and which, in turn, will serve as a basis to promote them in other cities that are different economic, social and political conditions. Based on the foregoing, **Table 1** shows the relationship of the dimensions proposed by smart city indices analyzed with each of the dimensions of sustainable development.

In the first instance, from the point of view of sustainable development, **Table 1** highlights the following:

In the environmental dimension, mobility and transport problems are determining aspects that every smart city must solve by virtue of reducing pollution rates. The environment and urban sustainability must assess and address the effects on ecosystems of air pollution, water quality, biodiversity, deforestation and climate change. A determining and vitally important point is to implement technology for the efficient management of water resources to really have a sustainable future. Water is a vital


**Table 1.**

*Relationship between dimensions of smart cities with sustainable development.*

component for the population, so an intelligent administration that manages access to its supply as a basic element in the development of any city is important. In another context, the solid waste generated by each person and each household in a city represents great potential damage not only to people's health, but also to the environment.

According to **Table 1**, the social dimension represents the main focus of attention for the development of a smart city, emphasizing the importance of improving people's quality of life, from providing safe streets and green spaces to quality hospital care and efficient OSIs. Another determining aspect is the valuation of human capital, so it is necessary to strengthen them from various perspectives, one being education, promoting its evolution through the incorporation of digital technologies, in such a way that in a smart city, its educational institutions. Regardless of the academic level, they incorporate the use of cutting-edge digital elements into their development and performance. From another perspective, efficient and high-quality health services must be provided for the entire population, incorporating cutting-edge technology for better care in the service and medical treatments.

In the economic dimension, the fact that a smart city must present both local and international competitiveness through a new type of economy according to our era, the digital economy is highlighted. In fact, the integration of Industry 4.0 digital technologies can significantly contribute to achieving the sustainable development goals of the 2030 Agenda. However, despite the fact that its ability to change the labor market will imply the inevitable disappearance of certain jobs in the future, it will also promote the creation of other, better-paid jobs, but requiring a new series of knowledge and skills. All this will require greater investment and new learning models in the education sector. Improve urban planning through green designs of public buildings, green cities, green industrial corridors, adoption of Internet of things (IoT) systems, clean and renewable energy sources, application of emerging technologies for urban agriculture, central markets smart technologies, the technological efficiency of public services (such as transport and mobility) and the modeling of digital environments today represent economic alternatives for the search for not only a digital economy, but also a green economy.

In the institutional dimension, smart cities must be part of a shared vision between the government and citizens based on social justice, solidarity and democratic values. These principles are decisive for the image that each smart city presents to the world. Being recognized internationally will lead to a greater attraction of foreign investment, a greater number of tourist visits and a continuous international projection. This requires good strategic planning, in which the government, civil society and public and private companies must align themselves with the same mission and vision according to their own institutional limitations (political and regulatory).

Secondly, according to the WEF, the main challenges facing the cities of the new century are [27]:

### • Environmental threats

Includes affectations caused by meteorological phenomena related to climate change.

#### • Resources management

Water, food and energy will be the most determining resources for each city due to constant urban growth.

• Inequality

The gap between the haves and have-nots will widen and become more pronounced in the megacities of the future. It will be necessary to formulate policies that guarantee that the fruits of progress are distributed equitably in society.

• Technology

Technology will be used more and more, especially that related to energy, mobility, transportation, health, safety, education and the environment. However, as cities become digital, access must be guaranteed to all of society without discriminating against the economically disadvantaged groups.

• Governance

For a better future, good governance practices and good urban planning are required. Therefore, its main objectives should be to guarantee equity, habitability and sustainability for all of society in the face of the inevitable increase and diversity of the population.

Therefore, the smart cities of the future must identify these problems, analyze them together with those they are already dealing with and propose solutions to overcome them, relying on the impact of digital technologies as follows:

• Big data

Given the exorbitant amount of data and information that it is possible to obtain from the dynamics of large cities, the collection and evaluation of data in real time will be decisive for decision-making. Medical, social, transportation, weather, academic histories, etc., will be valuable information to better understand each problem and thus provide increasingly better results based on continuous learning.

• Autonomous robots

Robotic systems will no longer only be used in industrial systems. In the new smart cities, they will have various applications for the benefit of society. Companions, protectors and both domestic and public workers are some of the new tasks that they will carry out in the future for the greater well-being of society and the community.

• Simulation and augmented/virtual reality

The analysis of urban problems through computerized models and virtual environments will allow large cities to optimize their resources and provide solutions more quickly and efficiently. Transportation, pollution and public safety are some of the issues that have already begun to be addressed with these technologies.

• System integration

The exchange of information through networks and applications will be the best way to integrate various technologies in real time for the safety and well-being of the population regardless of their social or economic condition.

• Internet of the things

Communication by means of protocols and devices through a digital network will allow the interconnection of countless reading, measurement and control devices located in strategic positions for the management and control of buildings, transport, security and public services in a more efficient and safe.

• Cybersecurity

Given the need for data management and management, the protection of systems, platforms and servers becomes a critical point that must be addressed with a high priority. In particular, governments and public and private organizations must guarantee the protection of all the information they have under protection, relying on high-security digital technologies.

• The cloud

The constant growth of the communications infrastructure requires a greater availability of computers and servers. Given this, it is essential that a smart city has as part of its services digital repositories for the storage, access and use of digital and computer resources that are available without the need for physical equipment, with sufficient capacity to share information from any point in the city.

• Additive manufacturing

Despite the fact that this technology is more focused on industrial aspects, within smart cities it has found a space in the development and construction of houses made with environmentally friendly materials, being a new alternative to correct habitat problems in big cities.

• AI

Efficient access to public services, crime prevention, intelligent transport networks, development of communication networks, protection of the environment and care and health of the population are some of the issues in which AI is being developed to be implemented in the big cities. The design of AI algorithms will create expert systems that will make predictions based on data analysis and continuously learn to make and improve their decisions in solving urban problems, just as a human would, but with greater precision and speed.

**Figure 1.** *Pillars of the smart cities of the future.*

**Figure 1** shows this relationship, in which the smart cities of the future will be supported by two determining pillars: sustainable development and digital technologies.

Both pillars represent the new bases and trends that today's society requires and demands to really obtain a better quality of life, greater economic growth and the guarantee of prosperity for future generations.

## **4. Conclusions**

Digital technologies have evolved, and their media impact on the economic development of companies, society, countries and cities has become evident, boosting their competitiveness and innovation. They have also implicitly generated an impact on the social and environmental dimensions. But, to achieve integral sustainability, it is crucial that cities point towards the institutional dimension through new policies and regulations that regulate their actions more efficiently, thus implementing a new sustainable culture throughout their society.

It is clear that technological development grows along with the needs of society. Therefore, urban problems such as environmental pollution, housing, unemployment, public services, sanitation, health, transportation, energy, and public safety, to name a few, require greater attention from government agencies, and digital technologies are the best tool for your solution. Smart cities should be an example of a life system for those who aspire to be, even for those cities that are developing. The next step is to take advantage of digital technologies to go beyond just addressing these urban issues.

Today's society not only demands to improve their quality of life, now it also demands care for the planet and its natural resources. The Brundtland Report in 1987 mentioned the importance of efficiently and rationally managing our resources so that it is possible to improve the current well-being of our society without compromising the quality of life of future generations [28]. Since then, society has slowly been moving towards that goal. Today, smart cities represent one more step in this development. Therefore, the next step is to transcend time and take another evolutionary leap, to move into the era of smart and sustainable cities.

## **Conflict of interest**

The authors declare no conflict of interest.

*Smart and Sustainable Cities: A New Urban Transformation DOI: http://dx.doi.org/10.5772/intechopen.110234*

## **Author details**

Jorge Carro-Suárez<sup>1</sup> \*, Susana Sarmiento-Paredes<sup>2</sup> and Doroteo Nava<sup>2</sup>

1 Polytechnic University of Tlaxcala, Tlaxcala, Mexico

2 Autonomous University of Tlaxcala, Tlaxcala, Mexico

\*Address all correspondence to: jorge.carro@uptlax.edu.mx

© 2023 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

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## **Chapter 5**
