ISO 37106:2018/DAmd 1

ISO 37106:2018/DAmd 1

Standards Content (sample)

DRAFT AMENDMENT
ISO 37106:2018/DAM 1
ISO/TC 268 Secretariat: AFNOR
Voting begins on: Voting terminates on:
2020-09-10 2020-12-03
Sustainable cities and communities — Guidance on
establishing smart city operating models for sustainable
communities
AMENDMENT 1

Villes et communautés territoriales durables — Lignes directrices pour l’établissement de stratégies pour

les villes intelligentes et les collectivités
AMENDEMENT 1
ICS: 13.020.20
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENT AND APPROVAL. IT IS
THEREFORE SUBJECT TO CHANGE AND MAY
NOT BE REFERRED TO AS AN INTERNATIONAL
STANDARD UNTIL PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
This document is circulated as received from the committee secretariat.
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO 37106:2018/DAM 1:2020(E)
RECIPIENTS OF THIS DRAFT ARE INVITED
TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
PROVIDE SUPPORTING DOCUMENTATION. ISO 2020
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ISO 37106:2018/DAM 1:2020(E)
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© ISO 2020

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ii © ISO 2020 – All rights reserved
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ISO 37106:2018/DAM 1:2020(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www .iso .org/ patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following

URL: www .iso .org/ iso/ foreword .html.

This document was prepared by Technical Committee ISO/TC 268, Sustainable cities and communities.

In the development of this document, ISO Guide 82 has been taken into account in addressing

sustainability issues.
© ISO 2020 – All rights reserved iii
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ISO 37106:2018/DAM 1:2020(E)
Introduction

This document helps cities deliver their vision for a sustainable future, by providing a toolkit of “smart

practices” for managing governance, services, data and systems across the city in an open, collaborative,

citizen-centric and digitally-enabled way. It defines a “smart operating model” for cities, which enables

them to operationalize their vision, strategy and policies at a faster pace, with greater agility and with

lower delivery risk.
This means, in particular, a focus on enabling cities to:

a) make current and future citizen needs the driving force behind investment decision-making,

planning and delivery of all city spaces and systems;
b) integrate physical and digital planning;

c) identify, anticipate and respond to emerging challenges in a systematic, agile and sustainable way;

d) create a step-change in the capacity for joined-up delivery and innovation across organizational

boundaries within the city.

Although many of the principles and methodologies established by this document are relevant within

specific vertical sectors of cities (e.g. water, waste, energy, urban agriculture, transport, IT), the

focus is very much on the issues and challenges involved in joining all of these up into a whole-city

strategic approach to the use of smart data, smart ways of working and smart technologies. Central to

this document is therefore a strong emphasis on leadership and governance, culture, business model

innovation, and the active role played by citizens, businesses and civil society in the creation, delivery

and use of city spaces and services.

This document is aimed at city leaders. Much in the guidance can also be helpful to leaders of

communities other than at city-scale, including both smaller urban areas and larger, regional-scale

initiatives. But the prime intended audience, with whom the guidance has been developed and validated,

is city leaders, including:

— policy developers in city authorities – both those responsible for the authority’s service design,

commissioning and delivery role, and also those responsible for its community leadership role, in

particular:
— elected leaders;

— senior executives of local authorities (including chief executives, chief information officers and

directors of key departments);
— senior executives of other public bodies with a city-wide remit;

— other interested parties interested in leading and shaping the city environment, including:

— senior executives in the private sector who wish to partner with and assist cities in the

transformation of city systems to create shared value;
— leaders from voluntary sector organizations active within the city;
— leaders in the higher and further educations sectors;
— community innovators and representatives.

In addition to this leadership audience, the document will be of interest to all parties engaged in smart

cities, including individual citizens.

The working definition of a smart city used for the purposes of this document is that approved by

ISO TMB:
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ISO 37106:2018/DAM 1:2020(E)

A smart city should be described as one that ‘dramatically increases the pace at which it improves

its sustainability and resilience… by fundamentally improving how it engages society, how it applies

collaborative leadership methods, how it works across disciplines and city systems, and how it uses

data and integrated technologies… in order to transform services and quality of life to those in and

involved with the city (residents, businesses, visitors).’

NOTE This is deliberately presented as a working definition rather than intended as a definitive definition

which all cities are to follow. While there is a strong degree of commonality among the smart city strategies that

are being developed around the world, there is also significant diversity. All cities embarking on the development

of a smart city strategy can define their own reasons for doing so, in their own language; the process of discussion

and debate between interested parties to define what, for them, is meant by “Smart Paris”, “Smart Tokyo” or

“Smart Toronto” is an important one.
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ISO 37106:2018/DAM 1:2020(E)
Sustainable cities and communities — Guidance on
establishing smart city operating models for sustainable
communities
AMENDMENT 1
4.1 Transforming the traditional operating model for cities

At the end of the existing paragraphs, before section 4.2, add the following new text and table:

These features of a smart city operating model are described in more detail throughout the rest of the

document. Together, they combine to deliver important new ways of working: governance changes

within the city that transform the city’s capability and capacity to drive city-wide change at speed,

enabling city leaders to deliver transformational impacts against priority outcomes.

These six key governance changes are summarised in Table 1 below, and Annex A maps out in detail how

they flow through to deliver improved social, economic and environmental outcomes - and, ultimately,

improved performance against the six purposes of a sustainable community described in ISO 37101.

Table 1 — Key governance changes within a city that result from adoption of a smart city

operating model
New ways of working Governance change Summary description
City stakeholders are now aligned behind a clear
vision for the future of the city and are committed
Openness and
Stakeholder alignment
to shared principles on how they will work together
collaboration:
to deliver that vision.
City systems are opened
Citizens and businesses are better able to hold city
up so that all city
Improved transparency authorities to account, empowered by access to city
stakeholders can
data and effective feedback mechanisms.
collaborate in driving
change
Increased civic participation and co-creation of city
Citizen engagement
services.
City organisations have the skills, tools, business
processes and incentives to respond effectively to
Cross-silo collaboration
customer needs and city challenges that cut across
Integrated smart
organisational boundaries.
working:
City services are able to respond in real-time to
Internal city systems
Real-time city management
changing demand and circumstances
are joined up, enabling
real-time integration
City organisations are now sharing and re-using
Shared use of common
interoperable digital building blocks to meet
resources
common needs, managed as a city-wide service
4.3 Summary of recommendations

Replace the paragraph in [A] part b) (to replace the reference to Annex A with Annex B) with:

Use the delivery principles given in Annex B as a key input and starting point for that process.

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ISO 37106:2018/DAM 1:2020(E)
5.2 The need

Replace the final sentence at the end of the fifth paragraph (to replace the reference to Annex A with

Annex B) with:
These principles are set out in full in Annex B.
5.3 Recommendations
Replace the paragraph for part b) with:

Smart city leaders should use the delivery principles given in Annex B as a key input and starting

point for that process.
6.3.2 The need, third paragraph
Replace the second reference “for ISO 37101” to “(in ISO 37104)”
6.3.4 Linkages
Add the following text at the end of the paragraph:

– and an illustrative Smart City Benefit Map, showing line-of-sight between common smart city

investments and social, economic and environmental outcomes, is at Annex A.
6.7.1 Context
Replace the reference to Annex A with Annex B:

The [A] delivery principles (see Annex B) focus on the need to enable sharing and reuse of city

assets and services, through interoperability enabled by open standards.
6.18.2 The need, fourth paragraph
Replace the reference to Annex A with Annex B:

As set out in Annex B on smart city delivery principles (see A.6), key principles underpinning such

a platform should include:
7.1 Context
Replace the heading with “7.1 General”
Delete the second paragraph and heading:
The need

All intended benefits need to be delivered in practice, and this will not happen without proactive

benefit management.
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ISO 37106:2018/DAM 1:2020(E)
Delete the fifth paragraph and heading below:

City leaders should use key performance indicators. This document does not seek to specify in

detail what benefits and impacts a smart city programme should seek to focus on, because this will

vary by city, but commonality of measurement across cities allows for integrity and comparability.

A common core of key performance indicators for smart cities that provide for this has been

brought together in ISO 37120, listing 100 KPIs mapped against the key issues for sustainable cities

described in ISO 37101.
Recommendation

Replace paragraph six text “covering the elements” with “based around the three pillars” as below:

Whatever the selection of targeted benefits and impacts (which will be integrally linked to

the specific [B1] city vision for any city), this document recommends that cities should adopt a

best-practice, outcomes-based approach to benefits realization, based around the three pillars

illustrated in Figure 9:
After Figure 9, add the new text:

Sub-components C1 to C3 below give more detailed advice and recommendations on each of these

three elements of benefit realization.
7.2   Subcomponent [C1] — Benefit mapping
7.2.1 Context

Smart cities programmes need a clear and measurable framework showing how their investments

and activities lead to delivery of city outcomes, underpinned by a credible theory of change to

demonstrate causal relationships across all stages of the benefit chain.
7.2.2 The need

Benefit mapping requires clarity about all the intended outcomes from the smart city programme,

with clear line-of-sight showing how the immediate outputs from specific activities and

investments in the project flow through to deliver those outcomes. This flow is called the ‘benefit

chain’ as illustrated in Figure 10.
Figure 10 — ISO 37106 benefit realization framework
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ISO 37106:2018/DAM 1:2020(E)
The benefit map should:

a) start with the strategic purposes: real clarity on the problems that the smart city

programme aims to address and how doing so will impact on the vision and strategic aims for

the city as a whole.
b) map out clear line of sight between:

1) smart city investments and activities: all major programme actions and resources that

contribute towards one or more of the project’s deliverables;

2) outputs: the outputs of smart city investments and activities that contribute to

achievement of the targeted outcomes. In general, these fall into two types: enablers and

governance changes. Enablers tend to be artefacts or systems of some kind (e.g. assets

such as buildings, IT systems, control systems, equipment, databases etc.). Governance

changes include changes to processes, policies, organizational structure, and even

behaviours and values. Enablers on their own – if not then followed up by any governance

change – cannot deliver benefits, so it is important that these changes are effectively

understood and mapped;

3) intermediate outcomes: these are the short-term benefits that the project seeks to deliver

as a result of putting one or more outputs in place. City leaders should aim for a project to

achieve some ‘quick wins’ early on so as to build change momentum and stakeholder buy-

in to the next phases of work.

4) end outcomes: these are the longer-term social, economic and environmental outcomes

that the project seeks to achieve, in fulfilment of its strategic purpose.

c) be underpinned by an evidence-based theory of change: in developing the benefit chain,

it is important to ensure that the logical flow is credible, even if causality cannot be proven at

each step. This is because causal links between many smart city investments and the full range

of downstream benefits can never be fully proven on a cost-effective basis, due to:

1) the long-term nature of the governance changes involved, in which interventions now can

deliver benefits (often very important ones) decades in the future; and

2) the difficulty of isolating the impact that the investment has on a particular social or

economic outcome from the myriad of other factors that also impact on that outcome.

The key test of the benefit map is therefore not that it proves a particular set of outcomes,

but that it gives confidence that there is a genuine and credible cause and effect flowing

from activities to outputs to outcomes, and is grounded in the reality of what can

practically be evaluated on a cost-effective basis.

At the same time, it is important to remember that an effective benefit map needs to

provide not just a logical framework, but also an emotionally-satisfying one. The benefit

map needs to seem intuitively correct, and be resonant for key project stakeholders. This

means it should be developed collaboratively with stakeholders. Getting the right people

together to develop the smart city benefit map means that they buy into the resulting

output, and are more likely to support its delivery.
7.2.3 Recommendations

Smart city leaders should develop a benefit map for the smart city programme, giving clear line-of-

sight on how all aspects of project activity flow through to the strategic outcomes being targeted

by the city. This should not seek to prove cause and effect on an unequivocal basis, but demonstrate

a credible logical flow underpinned by an evidence-based theory of change which has the support

of key stakeholders.
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ISO 37106:2018/DAM 1:2020(E)
7.2.4 Linkages
Benefit mapping is a key tool to support:
— The development of [B1] city vision; and
— [B3] collaborative engagement.
...