ISO/FDIS 37106

Sustainable cities and communities -- Guidance on establishing smart city operating models for sustainable communities

This document gives guidance for leaders in smart cities and communities (from the public, private and voluntary sectors) on how to develop an open, collaborative, citizen-centric and digitally-enabled operating model for their city that puts its vision for a sustainable future into operation. This document does not describe a one-size-fits-all model for the future of cities. Rather, the focus is on the enabling processes by which innovative use of technology and data, coupled with organizational change, can help each city deliver its own specific vision for a sustainable future in more efficient, effective and agile ways. This document provides proven tools that cities can deploy when operationalizing the vision, strategy and policy agenda they have developed following the adoption of ISO 37101, the management system for sustainable development of communities. It can also be used, either in whole or in part, by cities that have not committed to deployment of the ISO 37101 management system.

Villes et communautés territoriales durables -- Lignes directrices pour l’établissement de stratégies pour les villes intelligentes et les collectivités

General Information

• Status: Published
• ICS: 13.020.20 - Environmental economics. Sustainability
• Technical Committee: ISO/TC 268 - Sustainable cities and communities
• Drafting Committee: ISO/TC 268/WG 4 - Smart processes and operating models for sustainable communities
• Current Stage: 5020 - FDIS ballot initiated: 2 months. Proof sent to secretariat
• Start Date: 05-Jul-2021
• Completion Date: 05-Jul-2021

RELATIONS

• Revised: ISO 37106:2018 - Sustainable cities and communities -- Guidance on establishing smart city operating models for sustainable communities
• Effective Date: 10-Jul-2021

Standards Content (sample)

FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 37106
ISO/TC 268
Sustainable cities and communities —
Secretariat: AFNOR
Guidance on establishing smart city
Voting begins on:
2021­07­05 operating models for sustainable
communities
Voting terminates on:
2021­08­30
Villes et communautés territoriales durables — Lignes directrices
pour l’établissement de stratégies pour les villes intelligentes et les
collectivités
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 SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO­
ISO/FDIS 37106:2021(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN­
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. ISO 2021
---------------------- Page: 1 ----------------------
ISO/FDIS 37106:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2021

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH­1214 Vernier, Geneva
Phone: [phone]
Email: [e-mail]
Website: www.iso.org
Published in Switzerland
ii © ISO 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/FDIS 37106:2021(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................vi

Introduction ..............................................................................................................................................................................................................................vii

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Overview of this document ........................................................................................................................................................................ 2

4.1 Transforming the traditional operating model for cities .................................................................................... 2

4.2 Structure of this document ........................................................................................................................................................... 5

4.3 Summary of recommendations ................................................................................................................................................ 6

5 Component A — Delivery principles .............................................................................................................................................10

5.1 Context ........................................................................................................................................................................................................10

5.2 The need ....................................................................................................................................................................................................10

5.3 Recommendations ............................................................................................................................................................................12

5.4 Linkages .....................................................................................................................................................................................................12

6 Component B — Key cross-city delivery processes .......................................................................................................12

6.1 General ........................................................................................................................................................................................................12

6.2 Strategy management ....................................................................................................................................................................12

6.3 Subcomponent [B1] — City vision ......................................................................................................................................13

6.3.1 Context ...................................................................................................................................................................................13

6.3.2 The need ...............................................................................................................................................................................13

6.3.3 Recommendations .......................................................................................................................................................14

6.3.4 Linkages ................................................................................................................................................................................14

6.4 Subcomponent [B2] — Leadership and governance ..........................................................................................14

6.4.1 Context ...................................................................................................................................................................................14

6.4.2 The need ...............................................................................................................................................................................15

6.4.3 Recommendations .......................................................................................................................................................16

6.4.4 Linkages ................................................................................................................................................................................16

6.5 Subcomponent [B3] — Collaborative engagement ..............................................................................................16

6.5.1 Context ...................................................................................................................................................................................16

6.5.2 Rationale ..............................................................................................................................................................................16

6.5.3 Recommendation .........................................................................................................................................................17

6.5.4 Linkages ................................................................................................................................................................................17

6.6 Subcomponent [B4] — Procurement and supplier management ...........................................................18

6.6.1 Context ...................................................................................................................................................................................18

6.6.2 Rationale ..............................................................................................................................................................................18

6.6.3 Recommendations .......................................................................................................................................................19

6.6.4 Linkages ................................................................................................................................................................................20

6.7 Subcomponent [B5] — Mapping the city’s interoperability needs ........................................................20

6.7.1 Context ...................................................................................................................................................................................20

6.7.2 The need ...............................................................................................................................................................................20

6.7.3 Recommendation .........................................................................................................................................................21

6.7.4 Linkages ................................................................................................................................................................................21

6.8 Subcomponent [B6] — Establishing a common terminology and reference model ...............21

6.8.1 Context ...................................................................................................................................................................................21

6.8.2 The need ...............................................................................................................................................................................22

6.8.3 Recommendations .......................................................................................................................................................22

6.8.4 Linkages ................................................................................................................................................................................22

6.9 Subcomponent [B7] – Smart city roadmap .................................................................................................................22

6.9.1 Context ...................................................................................................................................................................................22

6.9.2 The need ...............................................................................................................................................................................22

6.9.3 Recommendations .......................................................................................................................................................23

6.9.4 Linkages ................................................................................................................................................................................24

© ISO 2021 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/FDIS 37106:2021(E)

6.10 Citizen­centric service management.................................................................................................................................24

6.11 Subcomponent [B8] — Empowering the city community through city data.................................24

6.11.1 Context ...................................................................................................................................................................................24

6.11.2 The need ...............................................................................................................................................................................24

6.11.3 Recommendation .........................................................................................................................................................27

6.11.4 Linkages ................................................................................................................................................................................27

6.12 Subcomponent [B9] — Delivering integrated citizen­centric services ...............................................27

6.12.1 Context ...................................................................................................................................................................................27

6.12.2 The need ...............................................................................................................................................................................27

6.12.3 Recommendation .........................................................................................................................................................28

6.12.4 Linkages ................................................................................................................................................................................28

6.13 Subcomponent [B10] — Identity and privacy management........................................................................29

6.13.1 Context ...................................................................................................................................................................................29

6.13.2 The need ...............................................................................................................................................................................29

6.13.3 Recommendation .........................................................................................................................................................30

6.13.4 Linkages ................................................................................................................................................................................30

6.14 Subcomponent [B11] — Digital inclusion and channel management .................................................31

6.14.1 Context ...................................................................................................................................................................................31

6.14.2 The need ...............................................................................................................................................................................31

6.14.3 Recommendation .........................................................................................................................................................31

6.14.4 Linkages ................................................................................................................................................................................32

6.15 Digital and physical resource management ................................................................................................................32

6.16 Subcomponent [B12] — Managing smart city developments and infrastructures ..................32

6.16.1 Context ...................................................................................................................................................................................32

6.16.2 The need ...............................................................................................................................................................................32

6.16.3 Recommendation .........................................................................................................................................................34

6.16.4 Linkages ................................................................................................................................................................................34

6.17 Subcomponent [B13] — IT and data resource mapping and management ....................................35

6.17.1 Context ...................................................................................................................................................................................35

6.17.2 The need ...............................................................................................................................................................................35

6.17.3 Recommendation .........................................................................................................................................................36

6.17.4 Linkages ................................................................................................................................................................................36

6.18 Subcomponent [B14] — Open, service-oriented, city-wide IT architecture ..................................36

6.18.1 Context ...................................................................................................................................................................................36

6.18.2 The need ...............................................................................................................................................................................36

6.18.3 Recommendation .........................................................................................................................................................37

6.18.4 Linkages ................................................................................................................................................................................37

7 Component C — Benefit realization framework ...............................................................................................................38

7.1 General ........................................................................................................................................................................................................38

7.2 Subcomponent [C1] — Benefit mapping .......................................................................................................................39

7.2.1 Context ...................................................................................................................................................................................39

7.2.2 The need ...............................................................................................................................................................................39

7.2.3 Recommendations .......................................................................................................................................................41

7.2.4 Linkages ................................................................................................................................................................................41

7.3 Subcomponent [C11] — Benefit tracking .....................................................................................................................41

7.3.1 Context ...................................................................................................................................................................................41

7.3.2 The need ...............................................................................................................................................................................41

7.3.3 Recommendations .......................................................................................................................................................43

7.3.4 Linkages ................................................................................................................................................................................43

7.4 Subcomponent [C3] — Benefit delivery ........................................................................................................................43

7.4.1 Context ...................................................................................................................................................................................43

7.4.2 The need ...............................................................................................................................................................................43

7.4.3 Recommendation .........................................................................................................................................................44

7.4.4 Linkages ................................................................................................................................................................................44

8 Component D — Key risks .......................................................................................................................................................................44

8.1 Context ........................................................................................................................................................................................................44

8.2 The need ....................................................................................................................................................................................................44

iv © ISO 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/FDIS 37106:2021(E)

8.3 Recommendation ...............................................................................................................................................................................45

8.4 Linkages .....................................................................................................................................................................................................45

Annex A (informative) Illustrative Benefit Map for a typical smart city ......................................................................46

Annex B (informative) ISO 37106 delivery principles ....................................................................................................................51

Annex C (informative) Mitigating the key risks: checklist ..........................................................................................................54

Bibliography .............................................................................................................................................................................................................................57

© ISO 2021 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/FDIS 37106:2021(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 non­governmental, 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.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
vi © ISO 2021 – All rights reserved
---------------------- Page: 6 ----------------------
ISO/FDIS 37106:2021(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 decision­making,

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 of 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 the following:

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

© ISO 2021 – All rights reserved vii
---------------------- Page: 7 ----------------------
ISO/FDIS 37106:2021(E)

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. Sustainable cities and communities — Guidance on establishing smart city

operating models for sustainable communities.

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

sustainability issue
...