ISO 37106:2021

INTERNATIONAL ISO
STANDARD 37106
Second edition
2021-10
Sustainable cities and communities —
Guidance on establishing smart city
operating models for sustainable
communities
Villes et communautés territoriales durables — Lignes directrices
pour l’établissement de stratégies pour les villes intelligentes et les
collectivités
Reference number
© ISO 2021
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ii
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
iii
6.10 Citizen-centric 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 citizen-centric 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 [C2] — 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
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
v
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
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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
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on the ISO list of patent declarations received (see www.iso.org/patents).
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expressions related to conformity assessment, as well as information about ISO's adherence to
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www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 268, Sustainable cities and communities.
This second edition cancels and replaces the first edition (ISO 37106:2018), which has been technically
revised.
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
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 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
vii
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 issues.
viii
INTERNATIONAL STANDARD ISO 37106:2021(E)
Sustainable cities and communities — Guidance on
establishing smart city operating models for sustainable
communities
1 Scope
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.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 37100, Sustainable cities and communities — Vocabulary
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 37100 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
innovation ecosystem
complex system of interdependent components from the public and private sectors that work together
to enable innovation within a city or community
3.2
silo
group of individuals/teams/organizations that collaborate to deliver a specific function within a city
EXAMPLE Education, energy, transport.
3.3
citizen-centric
driven by the needs of citizens rather than the functional
structures of a city’s silos
Note 1 to entry: The term citizen in this context includes residents, visitors and businesses within the city.
3.4
smartness
Note 1 to entry: quality of contributing to sustainable development and resilience, through soundly based
decision making and the adoption of a long- and short-term perspective
[SOURCE: ISO 37101]
3.5
smart community infrastructure
Note 1 to entry: community infrastructure with enhanced technological performance that is designed, operated,
and maintained to contribute to sustainable development and resilience of the community
Note 2 to entry: [SOURCE: ISO/TS 37151]
4 Overview of this document
4.1 Transforming the traditional operating model for cities
The traditional operating model for a city is based around functionally oriented service providers that
operate as unconnected vertical silos, which are often not built around user needs. This document
defines best practices in moving to a “smart city operating model” – one which enables cities to drive
innovation and collaboration across these vertical silos and hence operationalize their vision, strategy
and policies at a faster pace, with greater agility and with lower delivery risk.
Traditionally, budget-setting, accountability, decision-making and service delivery have been embedded
within vertically-integrated delivery chains inside cities – delivery silos which are built around
functions, not user needs. This is illustrated in Figure 1:
— the individual citizen or business has had to engage separately with each silo, making connections
for themselves rather than receiving seamless and connected service that meets their needs;
— data and information have typically been locked within these silos, limiting the potential for
collaboration and innovation across the city, and limiting the potential to drive city-wide change at
speed.
Figure 1 — Traditional operating model: where cities have come from
Figure 2 summarizes the change to this traditional way of operating, which smart cities are seeking to
implement.
Figure 2 — A smart city operating model: where cities are moving to
Key features of this shift to a smart city operating model include:
a) investing in smart data, i.e. ensuring that data on the performance and use of the city’s physical,
spatial and digital assets is available in real time and on an open and interoperable basis, in order
to enable real-time integration and optimization of city resources;
b) managing city data as an asset, both within the local authority and in collaboration with other
significant data owners across the city;
c) enabling externally driven, community-led innovation by citizens, businesses and civil society, by
opening up city data and services for the common good:
1) both at a technical level, through development of open data platforms; and
2) at a business level, through steps to enable a thriving market in reuse of public data together
with release of data from commercial entities in a commercially appropriate way;
d) enabling internally driven, city-led innovation to deliver more sustainable and citizen-centric
services, by:
1) providing citizens and businesses with public services, which are accessible in one stop, over
multiple channels, that engage citizens, businesses and communities directly in the creation of
services, and that are built around user needs, not the city’s organizational structures;
2) establishing an integrated business and information architecture which enables a whole-of-
city view of specific customer groups for city services (e.g. commuters, elderly people, troubled
families, disabled people);
e) setting holistic and flexible budgets, with a focus on value for money beyond standard departmental
boundaries;
f) establishing city-wide governance and stakeholder management processes to support and evaluate
these changes.
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, 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
— Stakeholder alignment City stakeholders are now aligned behind a clear
vision for the future of the city, and are committed
Openness and collabo-
to shared principles on how they will work together
ration:
to deliver that vision.
City systems are opened
— Improved transparency Citizens and businesses are better able to hold city
up so that all city stake-
authorities to account, empowered by access to city
holders can collaborate
data and effective feedback mechanisms.
in driving change
— Citizen engagement Increased civic participation and co-creation of city
services.
Table 1 (continued)
New ways of working Governance change Summary description
— Cross-silo collaboration City organisations have the skills, tools, business
processes and incentives to respond effectively to
customer needs and city challenges that cut across
Integrated smart
organisational boundaries.
working:
— Real-time city management City services are able to respond in real-time to
Internal city systems
changing demand and circumstances
are joined up, enabling
real-time integration
— Shared use of common City organisations are now sharing and re-using in-
resources teroperable digital building blocks to meet common
needs, managed as a city-wide service
4.2 Structure of this document
The content of this document can be seen schematically in Figure 3. At the top-level, it is made up of
four components needed to support this shift to a smart city operating model:
[A] Delivery principles: a statement of values which city leaders can use to steer decision-making as
they seek to operationalize their vision and strategy for the city;
[B] Key cross-city delivery processes: a set of practical guidance notes on how to address city-wide
challenges of joining-up across city silos;
[C] Benefit realization strategy: guidance on how to ensure clean line of sight between smart city
investments and the social, economic and environmental outcomes the city aims to achieve, and that
the intended benefits are clearly articulated, measured, managed, delivered and evaluated in practice;
[D] Risk management: a checklist of issues which a city should regularly monitor to ensure that it is
effectively managing the major risks to delivering its vision and strategy.
These components are described in more detail in Clauses 5 to 8. Detailed guidance notes are given on
each of the subcomponents illustrated in Figure 3, with each guidance note structured using a common
pattern language.
For ease of reference, in 4.3 there is a summary of all the recommendations contained in this document.
These are then described in more detail in the subsequent clauses of this document.
Figure 3 — High-level structure of this document
4.3 Summary of recommendations
Smart city leaders should do the following:
[A] Delivery principles
a) Collaborate with interested parties to develop and agree a set of delivery principles that include, as
a minimum, the need to:
1) establish a clear, compelling and inclusive vision for the sustainable future of the city;
2) take a citizen-centric approach to all aspects of service design and delivery;
3) enable a ubiquitous, integrated and inclusive digitization of city spaces and systems;
4) embed openness and sharing in the way the city works.
b) Use the delivery principles given in Annex B as a key input and starting point for that process.
[B] Key cross-city delivery processes
[B1] City vision
Create a vision of “what good looks like” for the city, today and in the future, that:
a) is aligned with the purposes for sustainable communities set out in ISO 37101, reflecting local
priorities;
b) is developed in an iterative and collaborative manner (that is, inclusive of all interested parties
and informed by user research and engagement, with social media and other technologies used to
enable public participation in the process);
c) embraces the opportunities opened up by smart technologies, smart data and smart collaboration;
d) does so in a way that integrates these with the core socio-economic, political and environmental
vision and purpose for the city’s future, rather than seeing them as somehow separate from the
city’s core strategic objectives;
e) uses digital modelling, data visualization and/or other technologies to “bring to life” what it will be
like to live and work in the city's vision for the future;
f) is measurable.
[B2] Leadership and governance
Establish leadership and governance arrangements that ensure:
a) a clear focus of accountability within the local authority;
b) a broad-based leadership team across the city;
c) city leaders are brought together on a cross-sectoral basis into effective governance arrangements,
at both the strategic and delivery levels;
d) deployment of formal programme management disciplines;
e) the right skills mix in the leadership team;
f) the possibility of evolution over time among stakeholder organizations;
g) an open and transparent governance process, including through digitally-enabled public
participation.
[B3] Collaborative engagement
Establish, and give high priority and adequate resources to, a formal managed engagement programme
with all interested parties. This should be led by a senior executive and integrated into the roles of all
those involved in delivering the smart city programme, and should cover:
a) awareness and participation of interested parties;
b) cross-sectoral partnership;
c) engagement with other cities to learn lessons and exchange experience.
[B4] Procurement and supplier management
a) Take an integrated view of the city’s procurement requirements.
b) Review procurement policies to ensure they align with smart city contracting principles (i.e. focus
on outcomes, open data, incentives for innovation and collaboration, avoidance of lock-in).
c) Work to nurture an innovation ecosystem across the city and its suppliers.
[B5] Mapping the city’s interoperability needs
Use the smart city interoperability matrix as a tool to:
a) help identify key barriers to interoperability in the city;
b) establish policies and actions to address these, drawing on international, European and national
standards where possible;
c) promote commonality of approaches and easier linkages with other cities and other local and
national authorities.
[B6] Establishing a common terminology and reference model
a) Ensure that all interested parties have a clear, consistent and common understanding of the key
concepts involved in smart city development; how these concepts relate to each other; how they
can be formally modelled; and how such models can be leveraged and integrated into new and
existing information architectures.
b) Seek agreement among interested parties to establish and maintain an agreed and shared common
terminology and reference model.
[B7] Smart city roadmap
a) Establish a phased smart city roadmap.
b) Work with interested parties to identify a set of services and initial smart city deliverables that
represent quick wins for the city.
c) Give priority to changes that can be delivered quickly, at low cost and low risk.
d) Establish systems to learn from early customer experience, to improve services in the light of this
and then to drive higher levels of take-up.
e) Work with early adopters within the local authority and partner
...