A Framework For Integrating Transportation Into Smart Cities
Project 1705October 2019A Framework for Integrating Transportation intoSmart CitiesSusan Shaheen, PhDAdam CohenMark DowdRichard DavisM I N E TA T R A N S P O RTAT I O N I N S T I T U T Etransweb.sjsu.edu
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REPORT 19-29A FRAMEWORK FOR INTEGRATING TRANSPORTATION INTOSMART CITIESSusan Shaheen, PhDAdam CohenMark DowdRichard DavisOctober 2019DOI: 10.31979/mti.2019.1705A publication ofMineta Transportation InstituteCreated by Congress in 1991College of BusinessSan José State UniversitySan José, CA 95192-0219
TECHNICAL REPORT DOCUMENTATION PAGE1. Report No.19-292. Government Accession No.4. Title and SubtitleA Framework for Integrating Transportation Into Smart Cities3. Recipient’s Catalog No.5. Report DateOctober 20196. Performing Organization Code7. AuthorsSusan Shaheen, https://orcid.org/0000-0002-3350-856XAdam Cohen, https://orcid.org/0000-0002-7455-5442Mark Dowd, https://orcid.org/0000-0002-4352-1565Richard Davis, https://orcid.org/0000-0001-5699-417X8. Performing Organization ReportCA-MTI-17059. Performing Organization Name and AddressMineta Transportation InstituteCollege of BusinessSan José State UniversitySan José, CA 95192-021910. Work Unit No.12. Sponsoring Agency Name and AddressU.S. Department of TransportationOffice of the Assistant Secretary forResearch and TechnologyUniversity Transportation Centers Program1200 New Jersey Avenue, SEWashington, DC 2059013. Type of Report and Period CoveredFinal Report11. Contract or Grant No.69A355174712714. Sponsoring Agency Code15. Supplemental NotesDigital Object Identifier: 10.31979/mti.2019.170516. AbstractIn recent years, economic, environmental, and political forces have quickly given rise to “Smart Cities” -- an array ofstrategies that can transform transportation in cities. Using a multi-method approach to research and develop a framework forsmart cities, this study provides a framework that can be employed to: (1) understand what a smart city is and how toreplicate smart city successes; (2) the role of pilot projects, metrics, and evaluations to test, implement, and replicate strategies;and (3) understand the role of shared micromobility, big data, and other key issues impacting communities. This researchprovides recommendations for policy and professional practice as it relates to integrating transportation into smart cities.17. Key WordsSmart Cities, Shared Mobility,Mobility on Demand (MOD),Mobility as a Service (MaaS),Micromobility, Big Data, Smart CityChallenge18. Distribution StatementNo restrictions. This document is available to the public throughThe National Technical Information Service, Springfield, VA 2216119. Security Classif. (of this report)Unclassified20. Security Classif. (of this page)UnclassifiedForm DOT F 1700.7 (8-72)21. No. of Pages9122. Price
Copyright 2019by Mineta Transportation InstituteAll rights reservedDigital Object Identifier:10.31979/mti.2019.1705Mineta Transportation InstituteCollege of BusinessSan José State UniversitySan José, CA 95192-0219Tel: (408) 924-7560Fax: (408) 924-7565Email: mineta-institute@sjsu.edutransweb.sjsu.edu110419
ivACKNOWLEDGMENTSThe authors thank Editing Press, for editorial services, as well as MTI staff, includingExecutive Director Karen Philbrick, PhD; Deputy Executive Director Hilary Nixon, PhD;Graphic Designer Alverina Eka Weinardy; and Executive Administrative Assistant Jill Carter.Min e ta Tra n s p o rt a t io n I n s t it u t e
vTABLE OF CONTENTSExecutive Summary 1I. Introduction5Report Organization 8II. Methodology9III. Background11Summary 15IV. Expert Interviews17General Perceptions of Smart Cities 17Information and Communication Technology (ICT) and Big Data 19Management and Public Policy 20The Role of Leadership, Champions, Stakeholders, and Public-PrivatePartnerships 21Equity 21Livability and Sustainability 22Summary 23V. Big Data and Smart Cities24Big Data and its RElevance to Smart Cities 24Big Data Enablers in Smart Cities 25Common Topics of Public Policy Concern 27Big Data-Driven Policymaking Framework: Structure and Best Practices 28Summary 29VI. A Framework for Smart Cities30Planning for Smart City Initiatives 31Smart City Planning, Pilot Implementation, and Evaluation Framework 33A Smart City Typology 44Summary 46VII. Shared Micromobility48Micromobility Taxonomy and Definitions 48Background: Shared Micromobility Origins to the Present 51Benchmarking Data from the Smart Cities Lab P2P City Network 52Micromobility Policy Overview for the P2P City Network 56Min e ta Tra n s p o rt a t io n I n s t it u t e
Table of ContentsviCommon Micromobility Issues Confronting Cities 62Best Practices and Recommendations 67Summary 68VIII. Summary and Conclusion70Appendix A : Examples of the Community of Practice Deep DivesConducted by Smart Cities Lab and Texas Innovation AllianceApril 2018 – March 2019 74Abbreviations and Acronyms 76Endnotes 77Bibliography 80About the Authors 89Peer Review 91Min e ta Tra n s p o rt a t io n I n s t it u t e
viiLIST OF FIGURES1. Smart City Challenge Submissions and Finalists 72. Miami’s Smart City Operations Center 253. Seven Smart City Domains 324. Smart City Domains and Pyramid of Innovation 335. Three-Phase Smart City Planning, Implementation, and Evaluation Framework 346. Phase 1 Key Steps 357. The Design-Thinking Process 368. Phase 2 Key Steps 389. Phase 3 Key Steps 4010. Typology of Four Emerging Smart Cities / Regions 4511. Common Types of Shared Micromobility Services 5012. Shared Micromobility Milestones 5113.Estimated Scale of Dockless Bikesharing in the Smart Cities Lab Peer-toPeer City Network5314.Estimated Scale of Dockless Standing Electric Scooter Sharing in theSmart Cities Lab Peer-to-Peer City Network5415. Estimated Scale of Dockless Moped-style Scooter Sharing in the SmartCities Lab Peer-to-Peer City Network5516. Seattle’s Curb Space Zones 6317. Seattle’s Dockless Bikesharing Corrals 6418. Rider Safety Educational Material Produced by Portland Bureau ofTransportation 66Min e ta Tra n s p o rt a t io n I n s t it u t e
viiiLIST OF TABLES1. Smart City Pilot Scales 412. Sample Smart City Transportation Performance Metrics 423. Overview of Dockless Micromobility Policies in the Smart Cities Lab 21Peer-to-Peer City Network 574. High-Level Policy Overview for Dockless Standing Electric ScooterSharing Regulation 595. High Level Policy Overview for Dockless Bikesharing Regulation 606. High-Level Micromobility Policy Summary from Smart Cities Network 61Min e ta Tra n s p o rt a t io n I n s t it u t e
1EXECUTIVE SUMMARYSmart cities represent the convergence and strategic organization of innovation, digitaltechnologies, and data in advancing the goals of environmental sustainability, economicdevelopment, equity, efficient service delivery, and enhanced quality of life for individualsand society. Smart cities advance innovations in public policy and administration, whichfoster collaboration and partnerships focused on people-oriented policies and practices.In the United States (U.S.), the transport sector is the largest emitter of greenhousegas (GHG) emissions. For this reason, smart cities have often been closely related toGHG reduction strategies and low-carbon, land-use, and transportation policies (U.S.Department of Transportation no date). As such, it is not uncommon for smart city conceptsto emphasize transportation and technology deployments. In recent years, the conceptof smart cities has grown rapidly as public agencies have been increasingly challengedto more intelligently and efficiently use resources in support of innovation, governmentefficiency, and environmental sustainability. While precise definitions of “smart city”vary, smart cities frequently leverage innovation and the use of big data and innovativemobility strategies to manage an ecosystem of civic resources including: transportationsystems; telecommunications; utilities; health and human services; public safety; andother community services.This report covers key findings on smart city practices and implementation in the U.S.Topics include: the role of big data and ways in which it is integral to smart cities; metricsfor measuring the impacts of smart city implementation projects; and recent sharedmicromobility disruptions and responses, based on a case study analysis of 21 citiescomprising the Smart Cities Lab.A few key findings from the report include: The Pyramid of Innovation and Collaboration includes a region of collaborators andinnovators working to advance seven domains: (1) smart energy and environment;(2) smart transportation; (3) smart governance; (4) smart workforce; (5) smart living;(6) smart economy; and (7) smart connections. This collaboration and innovationcan be described as a pyramid of innovation that starts with the individual innovatorand becomes progressively more advanced, culminating in increased regionalinnovation and multi-stakeholder collaboration. A “Planning, Pilot Implementation, and Evaluation” framework for smart cities allowscommunities to use a three-phase smart city process of planning, pilot implementation,and evaluation in order to understand key problems and foster collaboration. Phase1 is comprised of an initial assessment, design-thinking workshops, and problemstatement development aimed at understanding community concerns. This isfollowed by Phase 2, which includes a process of refinement and prioritization,as well as communities of practice, aimed at creating institutional capabilities inorder to foster collaboration and pilot experimentation. Phase 3 is focused on pilotimplementation and evaluation.Min e ta Tra n s p o rt a t io n I n s t it u t e
Executive Summary2 A typology of four emerging smart cities and regions pursuing smart city initiativescan be mapped across four different smart city archetypes, including: (1) technologyoriented communities and regions driven by technological innovation; (2) economicrevival cities and regions reinventing their economies for post-industrial economicdevelopment; (3) growth cities and regions that are growing economically andspatially; and (4) small and rural communities investing in placemaking and workforcedevelopment for talent retention. Smart cities are about solving problems. Stakeholders must understand any givenproblem and how to identify challenges. Who is the problem trying to address? Whyis it needed? How is the problem being handled at present? The problem-solvingprocess is a critical ingredient to successful smart city outcomes. Stakeholdersshould focus on understanding the problems that need to be addressed beforeattempting to embrace policies and practices. Smart cities should be people-focused. Many well-meaning smart city initiatives havestumbled or failed because stakeholders have failed to engage with the communitiesimpacted by potential implementation policies and programs. Rather than focusingon connected infrastructure, smart cities should focus on people-oriented outcomessuch as walkability, bikeability, air quality, affordability, and citizen empowerment. Inother words, cities should not focus on innovation and technology for its own sake,but on leveraging innovation and technology to improve community outcomes. Smart cities are about innovation. Innovation in management and the policyprocess is just as important as if not more important than technology. Public agencychampions have to foster innovative management (both customer facing andinternal) in order to create institutional capabilities to improve collaboration acrossorganizational boundaries. This requires innovative organizational managementand leadership. Additionally, policy innovation creates an enabling environmentfor policy experimentation, collaboration, and partnerships. There should also be arecognition that technology should not be viewed as a solution in its own right, butas an enabler for reducing inefficiencies and improving service delivery. Ensuring smart cities are equitable cities. There is an increasing concern thattechnology deployments may be leaving unbanked (households without accessto a bank or credit card), underserved, and digitally impoverished (householdswithout access to a smartphone or the Internet) communities behind. There is alsoworry that smart city practices may not be equitably serving all neighborhoods oreconomic strata, and that people with disabilities and other groups are being leftbehind. Finally, machine learning and artificial intelligence could be learning andthen replicating inequities in society, reiterating historic biases and injustice. Thereis a need to ensure that smart city programs are accessible to everyone. Thepublic sector has many roles ensuring equitable cities: as facilitator; as funder; asregulator; and evaluator of smart city initiatives. For example, these roles couldinclude the facilitation of p
1. Smart City Challenge Submissions and Finalists 7 2. Miami’s Smart City Operations Center 25 3. Seven Smart City Domains 32 4. Smart City Domains and Pyramid of Innovation 33 5. Three-Phase Smart City Planning, Implementation, and Evaluation Framework 34 6. Phase 1 Key Steps 35 7. The Design-Thinking Process 36 8. Phase 2 Key Steps 38 9.
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