Advancing Smart Cities: Sustainable Practices, Digital Transformation, and IoT Innovations (Advances in Science, Technology & Innovation) [2024 ed.] 3031523024, 9783031523021

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Advances in Science, Technology & Innovation IEREK Interdisciplinary Series for Sustainable Development

Simon Elias Bibri · Anna Visvizi · Orlando Troisi Editors

Advancing Smart Cities Sustainable Practices, Digital Transformation, and IoT Innovations

Advances in Science, Technology & Innovation IEREK Interdisciplinary Series for Sustainable Development

Editorial Board Anna Laura Pisello, Department of Engineering, University of Perugia, Italy Dean Hawkes, University of Cambridge, Cambridge, UK Hocine Bougdah, University for the Creative Arts, Farnham, UK Federica Rosso, Sapienza University of Rome, Rome, Italy Hassan Abdalla, University of East London, London, UK Sofia-Natalia Boemi, Aristotle University of Thessaloniki, Greece Nabil Mohareb, Faculty of Architecture—Design and Built Environment, Beirut Arab University, Beirut, Lebanon Saleh Mesbah Elkaffas, Arab Academy for Science, Technology and Maritime Transport, Cairo, Egypt Emmanuel Bozonnet, University of La Rochelle, La Rochelle, France Gloria Pignatta, University of Perugia, Italy Yasser Mahgoub, Qatar University, Qatar Luciano De Bonis, University of Molise, Italy Stella Kostopoulou, Regional and Tourism Development, University of Thessaloniki, Thessaloniki, Greece Biswajeet Pradhan, Faculty of Engineering and IT, University of Technology Sydney, Sydney, Australia Md. Abdul Mannan, Universiti Malaysia Sarawak, Malaysia Chaham Alalouch, Sultan Qaboos University, Muscat, Oman Iman O. Gawad, Helwan University, Helwan, Egypt Anand Nayyar

, Graduate School, Duy Tan University, Da Nang, Vietnam

Series Editor Mourad Amer, International Experts for Research Enrichment and Knowledge Exchange (IEREK), Cairo, Egypt

Advances in Science, Technology & Innovation (ASTI) is a series of peer-reviewed books based on important emerging research that redefines the current disciplinary boundaries in science, technology and innovation (STI) in order to develop integrated concepts for sustainable development. It not only discusses the progress made towards securing more resources, allocating smarter solutions, and rebalancing the relationship between nature and people, but also provides in-depth insights from comprehensive research that addresses the 17 sustainable development goals (SDGs) as set out by the UN for 2030. The series draws on the best research papers from various IEREK and other international conferences to promote the creation and development of viable solutions for a sustainable future and a positive societal transformation with the help of integrated and innovative science-based approaches. Including interdisciplinary contributions, it presents innovative approaches and highlights how they can best support both economic and sustainable development, through better use of data, more effective institutions, and global, local and individual action, for the welfare of all societies. The series particularly features conceptual and empirical contributions from various interrelated fields of science, technology and innovation, with an emphasis on digital transformation, that focus on providing practical solutions to ensure food, water and energy security to achieve the SDGs. It also presents new case studies offering concrete examples of how to resolve sustainable urbanization and environmental issues in different regions of the world. The series is intended for professionals in research and teaching, consultancies and industry, and government and international organizations. Published in collaboration with IEREK, the Springer ASTI series will acquaint readers with essential new studies in STI for sustainable development. ASTI series has now been accepted for Scopus (September 2020). All content published in this series will start appearing on the Scopus site in early 2021.

Simon Elias Bibri • Anna Visvizi Orlando Troisi

•

Editors

Advancing Smart Cities Sustainable Practices, Digital Transformation, and IoT Innovations

A culmination of selected research papers from the International Conference on Future Smart Cities (FSC-5th), With Xiamen University, Malaysia

123

Editors Simon Elias Bibri Institute of Computer and Communication Sciences (IINFCOM) School of Architecture, Civil and Environmental Engineering (ENAC) Media and Design Laboratory (LDM) Swiss Federal Institute of Technology Lausanne (EPFL) Lausanne, Switzerland

Anna Visvizi SGH Warsaw School of Economics Effat University Jeddah, Saudi Arabia

Orlando Troisi Department of Political and Communication Sciences University of Salerno Fisciano, Italy

ISSN 2522-8714 ISSN 2522-8722 (electronic) Advances in Science, Technology & Innovation IEREK Interdisciplinary Series for Sustainable Development ISBN 978-3-031-52302-1 ISBN 978-3-031-52303-8 (eBook) https://doi.org/10.1007/978-3-031-52303-8 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland Paper in this product is recyclable.

Scientific Committee

Gabriel Gomes de Oliveira, University of Campinas, São Paulo, Campinas, Brazil Rita Yi Man Li, Center Hong Kong Shue Yan University, China Hossein Hossein Alakbeikl, DISA-MIS Department, University of Salerno, Italy Giovanni Baldi, University of Salerno, Italy Gianluca Guazzo, University of Salerno, Italy Samaa Radi Badawi, University of Mansoura, Egypt Partson Paradza, BA ISAGO University, Bostawana Krzysztof Karwowski, SGH Warsaw School of Economics, Poland Ernestyna Szpakowska-Loranc, Cracow University, Poland Samah El Khateeb, Ain Shams University, Egypt Senthil Kumar Jagatheesaperumal, Mepco Schlenk Engineering College, India Marco Seccaroni, Università degli Studi di Perugia, Italy Alshimaa Aboelmakarem Farag, Zagazig University, Egypt Abdulaziz I. Almulim, College of Architecture and Planning, Imam Abdulrahman Bin Faisal University, Dammam, Saudi Arabia Parisa Sabbagh, University of Palermo, Italy Vilma Çekani, University of Salerno, Italy Rahma M. Doheim, Al Yamamah University, Saudi Arabia Yuanping Yu, SGH Warsaw School of Economics, Poland Gennaro Maione, University of Salerno, Italy Sivaparthipan CB, Tagore Institute of Engineering and Technology, India The Editors warmly thank all the Reviewers who have contributed their authority to the double-blind review process, to ensure the quality of this publication.

v

Preface

The FSC (Future Smart Cities) conference series has established itself as a highly influential and dynamic platform that explores the confluence of advanced Information and Communication Technologies (ICT) and emerging models for sustainable urban development. The conference serves as a vital catalyst in illuminating the diverse applications of manufacturing robotics, big data, the internet of things, and artificial intelligence, all aimed at enhancing the core of the urban environment. Consequently, it consistently draws the attention of policymakers, researchers, and business leaders, who collectively contribute their extensive expertise towards shaping a vision of the future. The volume presents a compilation of research papers that vividly illustrate the transformative power of computational and data-driven technologies on the global landscape. The goal for urban functionality is to foster economic growth and streamline government services, ultimately enhancing the quality of life for citizens through the integration of intelligent technologies. Authored by pioneers in the field, these high-quality research papers are an integral part of the forthcoming 5th edition of the FSC (Future Smart Cities) conference. The primary objective of this conference is to showcase the global significance of smart cities. It offers a unique opportunity for participants to exchange innovative ideas and engage with the leading experts and innovators in the field. In light of the remarkable developments taking place in urban environments worldwide, the theme of this 5th edition of the FSC revolves around “Reshaping Cities for a Sustainable Future.” This theme encapsulates the pressing need to explore innovative ways to ensure that our urban spaces are not only smart but also sustainable. It acknowledges the growing challenges associated with rapid urbanization, ecological degradation, climate change, and resource constraints. By aligning technology with the principles of sustainability, the conference seeks to inspire pioneering strategies that will guide the future development of our cities. The proceedings contribute to the advancement of various domains, including intelligible building design, smart buildings and grids, inclusive resilience, green urbanism, and city information models. These exceptional ideas, and many more, are specifically tailored to resonate with policymakers, researchers, and business leaders who are eager to drive transformative change within the urban landscape, thereby shaping the narrative of cities for future generations. Lausanne, Switzerland

Simon Elias Bibri Senior Research Scientist and Blue City Project Coordinator

vii

Acknowledgments

We extend our sincere gratitude to the three editors and the diligent editorial team at IEREK for their unwavering support and expertise in bringing this publication to fruition and their commitment to fostering knowledge exchange in the field of sustainable urban development. We would also like to express our sincere appreciation to the dedicated reviewers who invested their time and effort in evaluating the submitted papers. Their insightful feedback played a pivotal role in maintaining the high quality and academic rigor of this volume. Our heartfelt thanks go out also to the authors who contributed their outstanding research papers, sharing their innovative ideas and insights into the future of smart and sustainable cities. Their collective expertise is the cornerstone of this publication. Lastly, but by no means least, we acknowledge the continued support of IEREK in advancing the global dialogue on smart cities. This collaborative endeavor would not have been possible without their visionary approach to disseminating knowledge. Thank you to all who have contributed to this volume and to the ongoing discourse surrounding sustainable urban development.

ix

Introduction

In the contemporary era of rapid urbanization and technological advancement, the world is undergoing an unprecedented urban transformation. As our global population continues to grow, cities are rapidly expanding to accommodate the influx of people and bolstering their strategies to address the multifaceted challenges of environmental, economic, and social sustainability. According to the United Nations, over half of the world’s population currently resides in urban areas, and this number is projected to rise to 68% by 2050. Smart cities as the epicenters of human innovation and progress have emerged in response to the growing urbanization and the enormous challenges of sustainability. These urban environments are evolving, adapting, and reinventing themselves, integrating technology and sustainability in novel ways. The book Advancing Smart Cities—Sustainable Practices, Digital Transformation, and IoT Innovations, is an exploration of this major shift, a journey through the intricate and multifaceted world of smart cities. A smart city is a concept that represents the intersection of urban development, technological innovation, and sustainability. It envisions a future where cities harness the power of technology to enhance the quality of life for their citizens, ensure efficient resource management, and reduce environmental impact. The core idea is to make urban living more accessible, efficient, and enjoyable, and in doing so, to build a more sustainable future. Smart cities seek to address a wide array of urban challenges, from traffic congestion and pollution to energy consumption and public safety, by leveraging cutting-edge technologies and data-driven insights. The very essence of smart cities lies in their ability to connect the physical world with the digital realm, transforming urban environments into responsive and adaptive entities. The driving force behind the smart city movement is the convergence of digital transformation, the proliferation of the Internet of Things (IoT), and the power of Artificial Intelligence (AI) The digital revolution has unleashed a wave of innovation that is transforming how cities are planned, managed, governed, and experienced. From intelligent transportation systems and energy-efficient buildings to data-driven healthcare and responsive governance, smart cities are becoming the proving grounds for digital innovation. IoT and AI, on the other hand, represents the interconnectedness and intelligence of everyday objects through the internet and machine learning and deep learning models, enabling them to communicate, collect data, and make decisions autonomously. This technology is the lifeblood of smart cities, enabling the seamless flow of information and automation that underpins their operations. “Advancing Smart Cities” particularly explores the dynamic intersection of digital transformation and IoT innovation, providing an in-depth exploration of the strategies, technologies, and best practices that are propelling smart cities forward. Through the pages of this book, readers will embark on a journey to discover the intricate ways in which cities worldwide are using technology to enhance urban living, foster economic growth, and safeguard the environment. This book is designed to be an essential resource for urban planners, policymakers, technologists, researchers, and anyone intrigued by the future of cities. We aim to provide a xi

xii

comprehensive overview of the various aspects of smart cities, from their roots to the latest cutting-edge solutions. Our contributors, experts in their respective fields, have shared their knowledge and insights to offer a broad and insightful perspective on the transformation of cities into intelligent, responsive ecosystems. The book is divided into four parts, each addressing critical aspects of smart cities.

Sustainable Smart Cities and Green Buildings In the first part: Sustainable Smart Cities and Green Buildings, the book delves into the core principles of sustainability within the context of smart city development. It explores the vital role of green building practices in creating eco-friendly urban environments. Readers will gain insight into the use of sustainable materials, energy-efficient designs, and innovative architectural approaches that contribute to reducing the environmental footprint of smart cities. This part also discusses the broader concept of sustainable urban planning and the importance of integrating environmental considerations into every facet of city development.

Digital Transformation and Interaction Strategies In the second part: Digital Transformation and Interaction Strategies delves into the heart of the digital revolution in smart cities. It offers an in-depth exploration of how digital transformation is reshaping urban landscapes, enhancing the quality of life, and optimizing city operations. Readers will discover strategies for creating seamless interactions between city systems, residents, and various stakeholders. This part highlights the importance of user-friendly interfaces, data-driven decision-making, and the empowerment of citizens through digital platforms. It underscores the significance of real-time feedback and the dynamic exchange of information as pivotal elements in building smarter, more connected cities.

Internet of Things, Big Data Analysis and Cloud Computing In the third part: Internet of Things, Big Data Analysis and Cloud Computing, the book explores the fundamental technologies underpinning smart cities. It delves into the Internet of Things (IoT) and its role in connecting urban infrastructure, collecting data, and enabling automation. This part also emphasizes the crucial role of big data analysis and cloud computing in processing and making sense of the vast amounts of data generated in smart cities. Readers will gain an understanding of how these technologies work together to provide valuable insights, optimize resource management, and enhance city services.

Smart Living: Healthcare, Education, Transportation and Agriculture The final part: Smart Living: Healthcare, Education, Transportation, and Agriculture, shifts focus to the practical application of smart city technologies in various aspects of daily life. It delves into how these innovations impact healthcare, education, transportation, and agriculture. Readers will explore how IoT devices are revolutionizing healthcare delivery, how educational systems are adapting to digital learning, and how smart transportation systems are reducing congestion and improving mobility. This section also discusses the role of

Introduction

Introduction

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technology in advancing precision agriculture and enhancing food security in urban settings, underscoring the holistic transformation of urban living through smart solutions. These expanded descriptions provide a more comprehensive view of each section. In each part, we present case studies, real-world examples, and expert analyses to provide useful insights into the subject matter. By the end of the book, readers will have a deep understanding of the complexity and potential of smart cities, as well as the challenges that must be addressed to fulfill their promise. As we navigate through the pages of “Advancing Smart Cities: Sustainable Practices, Digital Transformation, and IoT Innovations,” we hope that you will be inspired by the possibilities that smart cities offer and recognize the pivotal role that technology plays in reshaping our urban future. The world is changing, and cities are at the forefront of this transformation. With the guidance of this book, we invite you to embark on a journey of discovery and exploration, unearthing the innovations that are shaping the cities of tomorrow. Lausanne, Switzerland October 2023

Simon Elias Bibri

Contents

Sustainable Smart Cities and Green Buildings Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jiazheng Zhao, Chia Chao Kang, Jian Ding Tan, M. M. Ariannejad, and Steven Yoong Choong Hoong

3

Assessment of Speech Intelligibility in Buildings with Low Reverberation . . . . . . . Sara Girón, Javier Alayón, Teresa Gómez-Gómez, and Francisco J. Nieves

13

Smart Buildings and Grid Features in City Energy System . . . . . . . . . . . . . . . . . Ng Kai Li, M. M. Ariannejad, Tan Jian Ding, and Kang Chia Chao

25

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits . . . . . . . . . . . . . . . . . . . . . . . Santina Di Salvo

45

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nutthawut Ritmak, Varin Vongmanee, and Wanchai Rattanawong

61

Planning Towards Healthy City—Case of Hyderabad . . . . . . . . . . . . . . . . . . . . . . Shivangi Narayen Waghray, Divya Patil, and Salwa Khan Public Open Space in the Pandemic Era: A Case Study Surabaya, Indonesia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B. Soemardiono, D. Septanti, and S. F. Hutama

75

91

Digital Transformation and Interaction Strategies Digital Progress in the Regeneration of Obsolete Neighbourhoods of the 1960s: Opportunities and Risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 Rafael Herrera-Limones, Miguel Hernández-Valencia, Jorge Roa-Fernández, and Álvaro López-Escamilla 7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Abdulmajeed S. Mangarah and Max Ryerson Integration of Tangible and Intangible Aspects in City Information Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Majd Al Jurdi and Rania Wehbe

xv

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Internet of Things, Big Data Analysis and Cloud Computing Dynamic Temperature, Humidity, and Lighting System for Smart Home Based on Fuzzy Logic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Muataz Salam Al-Daweri, Wu Fengda, and Hamid Tahaei Is the Construction Sector Ready for Artificial Intelligence? . . . . . . . . . . . . . . . . . 165 Luca Rampini and Fulvio Re Cecconi Effectiveness of HSE Procedures Based on IAQ Data to Reduce COVID-19 Contagion Risk Inside School Classrooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Fulvio Re Cecconi and Luca Rampini Designing an Experimental Setup for Incorporating Data Provenance into Blockchain Smart Contracts in a Smart Manufacturing Environment . . . . . . 185 O. L. Mokalusi, R. B. Kuriakose, and H. J. Vermaak Smart Living: Healthcare, Education, Transportation and Agriculture Adopting Smart-Health Care Applications for a Rural Community: A Comparison Between Affective and Anthropomorphic Design Principles . . . . . . 195 Jeanne Coetzer and Leon Grobbelaar Initiating an Emerald Link in the City of Manila . . . . . . . . . . . . . . . . . . . . . . . . . 209 Cecilia May S. Villanueva Viability of Water Transport: Analysis in the Context of Dhaka . . . . . . . . . . . . . . 231 Sharmin Nasrin and Noor Jahan Happy Markerless Human Motion Analysis for Telerehabilitation: A Case Study on Squat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249 Ying Hao Ang, Chow Khuen Chan, Shook Chin Yap, Chean Khim Toa, Phu Tran, and Sim Kuan Goh Enhancing Primary School Students’ Motivation in Mathematics Through Game-Based Learning (GBL) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 Yu Yifan, Valarmathie Gopalan, Ahmad Affandi Supli, Shamini Raja Kumaran, and Ahmed Jamah Ahmed Alnagrat An Overview of Sport and the Future Smart Cities . . . . . . . . . . . . . . . . . . . . . . . 273 Aleksander Orłowski and Narek Parsamyan

Contents

Sustainable Smart Cities and Green Buildings

Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities Jiazheng Zhao, Chia Chao Kang, Jian Ding Tan, M. M. Ariannejad, and Steven Yoong Choong Hoong

and three polyimide films are inserted which act as absorbing materials to ensure that the tag functions well in harsh environments for smart city sustainability. Thus, as a result, based on the Friis transmission equation, the antenna tag can achieve a read distance of up to 4.815 m.

Abstract

In today’s smart cities, the use of passive Radio-frequency Identification (RFID) tags gained popularity in access control, file tracking for healthcare, supply chain management in logistics, smart labels, vehicle tracking identification and others. The main advantages of using passive RFID tags are low cost and not requiring an internal power source to activate the tag. However, the metal surface has always been a challenge to passive RFID tags due to metal interference. The interference was caused by reflected energy from metal surfaces that were emitted from the RFID readers. As a result, the tag was unable to both transmit and receive information. This is also inconvenient to users as metal must not be present in the surroundings where the RFID tag is installed. As such, this paper proposed a compact passive Ultra High Frequency (UHF) RFID tag that can be installed on metal surfaces. To meet compactness requirements and flexibility over impedance matching, the antenna is designed in S-shaped by using computer simulation technology CST software. Two methods are used to model the antenna tag which firstly is to increase the gap between the antenna and the metal surface, secondly to place absorbing material between the antenna and metal surface. PP-4 flexible foam is used as the gap J. Zhao
C. C. Kang (&)
J. D. Tan
M. M. Ariannejad
S. Y. C. Hoong Department of Electrical and Electronics Engineering, Xiamen University Malaysia, Jalan Sunsuria, 43900 Sepang, Malaysia e-mail: [email protected] J. Zhao e-mail: [email protected] J. D. Tan e-mail: [email protected] M. M. Ariannejad e-mail: [email protected] S. Y. C. Hoong e-mail: [email protected]

Keywords

Compact

1




On-metal




RFID




S-shaped

Introduction

Nowadays, numerous industries have undergone significant changes as a result of technological progress in the realms of information and communication technologies, digitalization and networking (Kang et al., 2023). RFID employs wireless technology to utilize radio frequencies (RF) for the purpose of interacting with distinctively recognizable devices referred to as tags (Fahmy et al., 2019). RFID supports a wide range of IoT applications due to its high throughput, non-contact readability, tag functionality and most importantly low cost (Munoz-Ausecha et al., 2021). Its application involves monitoring the maturation process of climacteric fruits within the context of supply management (Ibrahim et al., 2019). Passive Radio-frequency Identification RFID tags on a conductive surface can suffer from magnetic field distortions, detuning and power loss (Ciudad et al., 2010). Magnetic field distortions due to the skin effect will cause the magnetic field lines to be almost parallel to the metal surface which leads to the inability of the antenna to harvest energy from electromagnetic induction. Detuning happens due to eddy current in the conductive surface and parasitic capacitance. Eddy current in the conductive surface produces a magnetic field that is perpendicular to the conductive surface which can lead to a reduction of total inductance (Bowler & Huang, 2005) and increases the working resonance frequency. The resonance frequency of an antenna is determined by its inductance and capacitance, following the

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_1

3

4

LC resonant frequency formula. When the inductance changes, resonance frequency also will change. Parasitic capacitance introduces parasitic impedance that causes impedance mismatch. Power loss is another issue that arises from eddy current in the conductive surface. Eddy current in the conductive surface allows the energy absorption by the conductive material which reduces the effectiveness of the antenna. Metal being conductive, possesses these three issues. In recent years, there have been numerous researches to overcome the issues of metal surface to Ultra High Frequency (UHF) RFID tags. A loop-fed Planar Inverted—L Antenna (PILAs) was proposed for an omnidirectional UHF on-metal tag whereby four identical PILAs are placed in a rotational symmetry constellation (Lee et al., 2020). The novelty of the circular loop provides additional reactance to improve the impedance matching (Kang et al., 2017). In (Lee et al., 2019), a compact on-metal tag was designed using a pair of complementary Planar Inverted-F antennas (PIFAs) positioned in an antipodal style that reduces the size of the tag. A double T-match structure with a meander feed line antenna was applied in a design for a compact UHF RFID tag (Faudzi et al., 2014). The double T-matching technique can match the impedance of the antenna and chip easily. C-shaped antennas appear to be common in designing the antenna. In (Lee et al., 2018), a combination of a loop antenna and a PILA was applied in designing a C-shaped antenna, and the C-shaped structure is made by folding a piece of flexible substrate which contrasts with the conventional approach of using rigid printed circuit boards. Such an antenna can be easily tuned as it has multiple degrees of tuning freedom achieved by several patch segments. Another C-shaped antenna with a shorted patch was proposed by (Tan et al., 2020). The ground plane is connected to a small shorting wall and fed by a loop in the centre of a C-shaped resonator which enables flexibility in adjusting the shorting wall and the C-shaped resonator for impedance matching. A miniature folded dipole arm has achieved high compactness (Chiang et al., 2021). The dipole arms are folded into a two-fold rotational symmetrical which improves the read distance. The circular loop also provides inductance for impedance matching between the antenna and chip. In general, there are three ways to design metal-resistant tags. The first method is to sacrifice the thickness in exchange for reducing the influence of the metal boundary of the tag by adjusting the distance between the tag antenna and the metal surface. The second method is to use absorbing material that is placed in between the antenna tag and the metal surface to reduce the effect of the metal surface. PP-4 flexible foam is used as the absorbing material (Jaakkola, 2016; Zhang & Long, 2013a, 2013b). It will absorb a portion of electromagnetic waves incident upon it. This property can help in reducing unwanted reflections and scattering from

J. Zhao et al.

nearby surfaces, including metal. The third method is to use the substrate of the electronic band gap (EPG) structure as the dielectric plate of the antenna. The purpose of this research is to design a compact passive UHF RFID tag that can work without magnetic distortions, detuning and power loss on a metal surface. The design required the area of the tag to be less than 50 mm by 50 mm and the thickness cannot exceed 5 mm. Besides that, the reading distance must be at least 3 m when it is placed on a metal surface with an area of 20 cm by 20 cm. The proposed antenna tag is designed in a software called CST Studio Suite, results are simulated in the software as well. CST enables users to model and evaluate electromagnetic phenomena, including antenna performance and electromagnetic fields. Through its electromagnetic simulation capabilities, CST Studio Suite enables precise modelling and analysis for the operation of tag antennas, particularly to represent the material properties of the metal surface, including its conductivity and thickness.

2

Design of the RFID Tag

2.1 Tag Chip The tag chip that is used in the design is Monza R6 tag made by (IMPINJ, 2021). The tag chip has an equivalent circuit as shown in Fig. 1 where C mount is mount capacitance, Cp is internal chip capacitance and Rp is internal resistance. Table 1 shows the parameters of Monza R6. Based on Fig. 1, the chip impedance at different frequencies can be calculated. The total capacitance, C, is C ¼ Cp þ Cmount

ð1Þ

The imaginary part of the chip impedance, Rim , is the inductance of the chip, X C , which can be calculated according to Eq. (2) where f is the frequency driving the tag. Rim ¼ XC ¼ 

1 2pfC

Fig. 1 Monza R6 tag chip linearized RF model (IMPINJ, 2021)

ð2Þ

Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities Table 1 Parameters of Monza R6 (IMPINJ, 2021) Parameters

Typical value

Cp

1.23 pF

Rp

1.2 kΩ

C mount

0.21 pF

Chip read sensitivity

−20 dBm

Chip write sensitivity

−16.7 dBm

RXC2 R2 þ XC2

R R2 ð2pfC Þ2 þ 1

ð3Þ

ð4Þ

2.2 Measuring Read Distance The read distance is only theoretical based on mathematical calculations. Friis transmission equation is adopted for calculating the read distance. The Friis transmission equation is given as Pr ¼ Pt




k 4pR

2 Gt Gr

4RC Ra jZC þ Za j2

s ¼ 1  C2

By substituting Eq. (2) into Eq. (3), Eq. (3) then becomes Rre ¼

Z C is chip impedance, Z a is antenna tag impedance and C is coefficient of reflection. s¼

With the information on the chip inductance, the real part of the chip impedance, Rre , can be calculated according to Eq. (3) Rre ¼

5

ð5Þ

where Pt is the radiated power of the transmitting antenna, Pr is the power received by the receiving antenna, Gt is the gain of the transmitting antenna, Gr is the gain of the receiving antenna, k is the wavelength of the radiowave and R is the distance between the transmitting and receiving antenna. By rearranging Eq. (5), the distance R is rffiffiffiffiffiffiffiffiffiffiffiffiffiffi k Pt Gt Gr R¼ ð6Þ 4p Pr

ð9Þ

The coefficient of reflection C can be obtained from the S11 curve in CST software. Its value is equal to the value of S11 at the resonant frequency point after matching the impedance of the antenna tag and the chip (Ng et al., 2019).

2.3 Modelling The proposed antenna tag in this paper adopted a combination of two methods to reduce the effect of a metal surface on the antenna tag. The two methods used are increasing the distance between the antenna tag and the metal surface and placing an absorbing material in between the antenna tag and the metal surface. In between the antenna and the metal surface, PP-4 flexible foam is used as the gap and three polyimide films are inserted which act as absorbing materials. The designed antenna has a shape similar to the pattern of ‘S’ which can reduce the size of the tag and the structure allows flexibility in adjusting the antenna impedance. Figure 2 shows the 3D view of the proposed antenna tag. The structure of the entire tag can be divided into three layers, each layer is detailed in the following Sects. 2.3.1, 2.3.2 and 2.3.3. The explanation of the model takes a top-down approach that begins with the top layers, stack by stack down to the bottom layer.

2.3.1 Top Layer The top layer of the antenna tag is an S-shaped copper sheet embedded with the Monza R6 chip as shown in Fig. 3 along with the design parameters. Such a shape allows flexibility in

By multiplying Pr with the coefficient of power transmission of the tag, s, it becomes the activation power of the tag chip, Pth (also known as reading sensitivity). Replacing Pr with Pth in Eq. (6), the reading distance of the tag can be calculated as in Eq. (7) rffiffiffiffiffiffiffiffiffiffiffiffiffiffi k Pt Gt Gr R¼ ð7Þ 4p Pth The value of s can be calculated either from Eqs. (8) or (9) where RC is chip resistance, Ra is antenna tag resistance,

ð8Þ

Fig. 2 3D view of the proposed antenna tag (Source The author)

6

J. Zhao et al.

Fig. 3 Top layer of the tag and design parameters (Source The author)

adjusting parameters and helps in reducing the size of the tag. The thickness of this layer is 0.009 mm.

2.3.2 Middle Layer On the top of the middle layer are polyimide film (film 1) and flexible foam (foam 1) as shown in Figs. 4 and 5 along with the design parameters respectively. Film 1 absorbs electromagnetic waves generated by electromagnetic induction on the metal surface whereas foam 1 increases the gap between the antenna and the metal surface and provides structural bending capability. The thicknesses of film 1 and foam 1 are 0.05 mm and 1.6 mm respectively. The centre part of the middle layer is a small U-shaped arm copper sheet (U-arm) connected to the top layer by a copper patch (Cu-patch) as shown in Figs. 6 and 7 along with the design parameters. The function of the U-arm is to increase the electrical length of the antenna to adjust the impedance of the antenna. On the bottom of the middle layer are two identical polyimide films (film 2; film 3) stacked on the top of a flexible foam (foam 2) as shown in Figs. 8 and 9 along with Fig. 4 Polyimide film and design parameters (film 1) (Source The author)

the design parameters respectively. Film 2 and film 3 are identical to film 1 and share the same function as film 1. The use of foam 2 has the same function as foam 1 and it’s identical to foam 1.

2.3.3 Bottom Layer The bottom layer is made of a copper sheet (Cu-btm) connected to the top layer and U-arm by two small copper patches as shown in Figs. 10 and 11 along with the design parameters. Cu-btm has the same function as U-arm which is to adjust the impedance of the antenna. This layer has a thickness of 1.6 mm.

2.4 Tag Dimension Figure 12a shows the 2-dimensional view of the tag’s top layer and sides where “Shorting Wall A” and “Shorting Wall B” correspond to the copper patches. Figure 12b shows the 2-dimension of the middle layer of the tag. Table 2 shows all the dimensional values in Fig. 12.

Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities

7

Fig. 5 Flexible foam and design parameters (foam 1) (Source The author)

Fig. 6 U-shaped arm and design parameters (U-arm) (Source The author)

Fig. 7 Copper patch and design parameters (Cu-patch) (Source The author)

2.5 Impedance Matching The one last factor that must be decided for the impedance matching of the antenna tag and antenna chip is the frequency band of the antenna. This can be done in the CST software by sweeping the frequency of the antenna and plotting its impedance. Table 3 shows the Monza R6 chip impedance at different frequencies.

With the matching frequency, the bandwidth can be determined by plotting the S11 (note that S11 is equal to the coefficient of reflection, C) parameters against frequency. Figure 13 shows the plot where the lowest point at 930.98 MHz has a S11 value of −10.6141 dB. The bandwidth selected has a range of 927.45–935.1 MHz where the S11 values are lower than −3 dB.

8 Fig. 8 Identical polyimide films and design parameters (film 2; film 3). (Source The author)

Fig. 9 Flexible foam and design parameter (foam 2) (Source The author)

Fig. 10 Bottom of the tag— bottom copper plate (Cu-btm) (Source The author)

J. Zhao et al.

Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities

9

Fig. 11 Identical coper patches and design parameters (Cu-ground-patch) (Source The author)

Fig. 12 2-dimensional view of the tag a top layer and sides b middle layer (Ng et al., 2019)

` (b)

(a)

Table 2 Dimensional values of the tag (Ng et al., 2019) Symbol

Value (mm)

L1 ðWidthÞ

25

h1 ðThicknessÞ

1.6

w1 ; w2 ; w3 ; w7 w8

6.9

w4 ; w5 ; w6

7

s1 ; s2

2.15

s3

2.7

g

0.5

sg

0.2

sw1

5

sw2

2.9

l1

7.75

l2

16

l3

16.75

t

0.009

Table 3 Monza R6 chip impedance at different frequencies (IMPINJ, 2021) Frequency (MHz)

Impedance (Ω)

860

13.608–j128.517

916

12.011–j120.660

920

11.908–j120.135

921

11.882–j120.004

922

11.857–j119.874

923

11.831–j119.744

924

11.806–j119.615

925

11.781–j119.486

926

11.755–j119.357

927

11.730–j119.228

928

11.705–j119.099

929

11.680–j118.871

930

11.655–j118.843

931

11.631–j118.716

932

11.606–j118.588

933

11.581–j118.461

934

11.557–j118.334

935

11.532–j118.208

10

J. Zhao et al.

Fig. 13 S11 parameters against frequency and bandwidth selection (Source The author)

3

Simulation Results

3.1 Electromagnetic Fields Electric field intensity observed around the top layer of the tag is averaging at 20000 V/m as shown in Fig. 14. The maximum electric field strength at a point is 161613 V/m. The magnetic field distribution around the top layer of the tag is as shown in Fig. 15. This field distribution provides insights into how the magnetic field strength varies in the vicinity of the tag's upper layer. The magnetic field is peaked at 152.68 A/m at a point. This indicates the maximum strength of the magnetic field at that specific point.

Fig. 14 Electric field around the top layer of the tag (Source The author)

Fig. 15 Magnetic field around the top layer of the tag (Source The author)

3.2 Theoretical Read Distance and Coefficient of Power Transmission The antenna tag read distance is based on the Friss transmission equation, Eq. (5). The equation provides and determines the travel distance of the tag signal before the signal becomes too weak to be detected. Pth is assumed to be the chip reading sensitivity which is −20 dBm or 0.01 mW. This value acts as a threshold for assessing whether the received signal is strong enough for the chip to correctly interpret it. Transmitting antenna is assumed to operate with 4 W EIRP which is equal to the product of Pt and Gt . Table 4 shows the read distance, R, of two different values Gr .

Design and Characterization of Compact On-Metal UHF RFID Tag Antenna for Smart Cities

References

Table 4 Tag read distance (Source The author) Gr (dBi)

R (m)

−11.4

4.271

−10.36

4.815

4

11

Conclusion

A compact S-shaped metal mountable UHF RFID tag is designed in software named CST Studio Suite. Monza R6 chip has been selected as the tag chip. Two methods are used to model the tag which is increasing the gap between the antenna and the metal surface, and placing absorbing material between the antenna and the metal surface. PP-4 flexible foam is used as the gap and three polyimide films are inserted which act as absorbing materials. The antenna is S-shaped which helps in tag size reduction and provides flexibility over impedance matching. The resulting dimension of the tag is 25 mm by 25 mm by 3.377 mm which is small in size. The impedance matching frequency is 930.98 MHz where the impedance of the antenna is 6.350 + j119.157 X and the impedance of the chip is 11.631–j118.716 X. The coefficient of power transmission of the tag is 0.913. Thus, the tag is able to achieve a reading distance of up to 4.815 m given that Gr is −10.36 dBi. Due to the prevalence of metal objects in supply chains, on-metal RFID tag antennas are essential for the precise tracking of supplies. Without being hampered by the presence of metal, these antennas allow for the seamless integration of RFID technology into supply chain procedures and other potential applications. Conducting this research will expand our knowledge related to the challenges posed by metal interferences and lead to more reliable identification and tracking of tagged items. The finding from the study could be policy implications related to industries such as healthcare, manufacturing or aviation. Acknowledgements The author gratefully acknowledges financial support from the Malaysian Ministry of Higher Education under Fundamental Research Grant Scheme: FRGS/1/2022/TK08/XMU/02/10 and Xiamen University Malaysia under Research Fund Grant No: XMUMRF/2021-C7/IECE/0018 and XMUMRF/2023-C12/IECE/ 0047.

Bowler, N., & Huang, Y. (2005). Electrical conductivity measurement of metal plates using broadband eddy-current and four-point methods. Measurement Scientific and Technology, 16(11), 2193– 2200. https://doi.org/10.1088/0957-0233/16/11/009. Chiang, S. M., Lee, T. L., Lim, E. H., Chee, P. S., Lee, Y. H., Bong, F. L., Phua, Y. N., & Chung, B. K. (2021). Miniature folded dipole in rotational symmetry for metal tag design. Progress in Electromagnetics Research C, 110, 55–66. https://doi.org/10.2528/ PIERC2012062. Ciudad, D., Cobos, P., Sanchez, P., & Aroca, C. (2010). RFID in Metal Environments: An overview on low (LF) and ultra-low (ULF) frequency system led. Research Gate. https://doi.org/10.5772/7978. Fahmy, A., Altaf, H., Al Nabulsi, A., Al-Ali, A., & Aburukba, R. (2019). Role of RFID technology in smart city applications. In IEEE International Conference on Communications, Signal Processing, and Their Applications (ICCSPA) (pp. 1–6). https://doi.org/10. 1109/ICCSPA.2019.8713622. Faudzi, N. M., Ali, M. T., Ismail, I., Jumaat, H., & Sukaimi, N. H. (2014). Metal mountable UHF-RFID tag antenna with meander feed line and double T-match. In IEEE 2014 International Symposium on Technology Management and Emerging Technologies (ISTMET) (pp. 33–38). https://doi.org/10.1109/istmet.2014.6936473. Ibrahim, A. A. A., Nisar, K., Hzou, Y. K., & Welch, I. (2019). Review and analyzing RFID technology tags and applications. In IEEE 13th International Conference on Application of Information and Communication Technologies (AICT) (pp. 1–4). https://doi.org/10. 1109/AICT47866.2019.8981779. IMPINJ. (2021). Monza R6 Tag Chip Datasheet IPJ-W1700-K00 Version 7. https://support.impinj.com/hc/en-us/articles/202765328Monza-R6-ProductBrief-Datasheet. Jaakkola, K. (2016). Small on-metal UHF RFID transponder with long read range. IEEE Transactions on Antenna and Propagation, 64 (11), 4859–4867. https://doi.org/10.1109/TAP.2016.2607752. Kang, C. C., Teh, Y. H., Tan, J. D., Mohammad, M. A., & Siti, B. (2023). Review of 5G wireless cellular network on Covid-19 pandemic: Digital healthcare & challenges. Jurnal Kejuruteraan, 35 (3), 02. Kang, C. C., Ain, M. F., Zalzala, A. M., & Zubir, I. A. (2017). Lumped element equivalent circuit modelling for RF energy harvesting antenna array. In 9th International Conference on Robotic, Vision, Signal Processing and Power Applications (pp. 455–461). Springer. https://doi.org/10.1007/978-981-10-1721-6_49. Lee, Y. H., Lim, E. H., Bong, F. L., & Chung, B. K. (2020). Loop-Fed Planar Inverted-L Antennas (PILAs) for omnidirectional UHF on-metal tag design. IEEE Transactions on Antennas and Propagation, 68(8), 5864–5871. https://doi.org/10.1109/TAP.2020. 2990287. Lee, Y. H., Lim, E. H., Bong, F. L., & Chung, B. K. (2018). Compactfolded C-shaped antenna for metal- mountable UHF RFID applications. In IEEE Transactions on Antennas and Propagation. https://doi.org/10.1109/TAP.2018.2879853.

12 Lee, Y. H., Lim, E. H., Bong, F. L., Chung, B. K., & Lee, K. Y. (2019). Complementary planar Inverted- F antenna (PIFAs) for On-Metal RFID Tag Design. In 2019 IEEE Asia-Pacific Conference on Applied Electromagnetic (APACE). https://doi.org/10.1109/ APACE47377.2019.9020868. Munoz-Ausecha, C., Ruiz-Rosero, J., & Ramirez-Gonzalez, G. (2021). RFID applications and security review. Computation, 9(6), 69. https://doi.org/10.3390/computation9060069. Ng, W. H., Lim, E. H., Bong, F. L., & Chung, B. K. (2019). Compact planar inverted- S antenna with embedded tuning arm for on-metal UHF RFID tag design. IEEE Transactions on Antennas and Propagation, 67(6), 4247–4252. https://doi.org/10.1109/TAP.2019. 2911191.

J. Zhao et al. Tan, N. M., Lin, Y. F., Chang, C. H., Liao, C. T., & Chen, H. M. (2020). Compact shorted C-shaped patch antenna for UHF RFID tag mounted on metallic objects. In 2020 International Workshop on Electromagnetics: Applications and Student Innovation Competition (iWEM). https://doi.org/10.1109/iWEM49354.2020.9237434. Zhang, J., & Long, Y. (2013a). A dual-layer broadband compact UHF RFID tag antenna for platform tolerant application. IEEE Transactions on Antennas and Propagation, 61(9), 4447–4455. https://doi.org/10.1109/TAP.2013.2269472. Zhang, J., & Long, Y. (2013b). A miniaturized via-patch loaded dual-layer RFID tag antenna for metallic object applications. IEEE Antennas and Wireless Propagation Letters, 12, 1184–1187. https:// doi.org/10.1109/LAWP.2013.2281842.

Assessment of Speech Intelligibility in Buildings with Low Reverberation Sara Girón, Javier Alayón, Teresa Gómez-Gómez, and Francisco J. Nieves

non-parametric chi-square test carried out by the SPSS software has been undertaken to study the correlations of the responses obtained; these correlations depend on whether it is the ascending or descending series of stimuli, and on the voice format, the gender, and sociological data of the respondents. Furthermore, an estimation is carried out of the differential limen of the STI parameter. The findings of this study are useful in the smart city context and urban planning, especially in public open-air venues.

Abstract

This work is based on the results of listening tests designed through the comparison of two signals in order to investigate the subjective perception of speech intelligibility in public venues with low reverberation. Binaural impulse responses obtained in a campaign of acoustic measurements in a set of Roman theatres in Spain, built in the imperial era in what was then the province of Hispania, have been convolved with anechoic recordings of oral texts with male and female voices to produce the signals of comparison of the tests across the whole range of values of the acoustic parameter Speech Transmission Index (STI). This is a single-value parameter that integrates the significant spectral data of speech. These performance venues were built in classical times of Western civilisation for theatrical performances and other oral events where speech intelligibility played a primary role. They present short reverberation times at medium frequencies, between 0.33 s and 2.32 s, depending on the size and state of rehabilitation of the space. The tests were completed in a semi-anechoic acoustic laboratory in the School of Architecture of the University of Seville, and the design of the comparison pairs therein is based on the method of limits used in neuroscience. The statistical analysis of the results by means of Pearson's S. Girón (&)
J. Alayón
F. J. Nieves Departamento de Física Aplicada II e Instituto Universitario de Arquitectura y Ciencias de la Construcción, Universidad de Sevilla, Av. Reina Mercedes 2, 41012 Seville, Spain e-mail: [email protected] J. Alayón e-mail: [email protected] F. J. Nieves e-mail: [email protected] T. Gómez-Gómez Departamento de Estadística e Investigación Operativa, Facultad de Matemáticas, Universidad de Sevilla, Calle Tarfia, 41012 Seville, Spain e-mail: [email protected]

Keywords

Listening test intelligibility

1












Smart venues Roman theatres Speech Method of limits Differential limen

Introduction and Research Objectives

Speech is vital in human communication although the speech signal can sometimes be degraded by the transmission path between the talker and the listener, thereby resulting in a reduction in the intelligibility of the speech at the listener point. The speech transmission index (STI) method quantifies the deterioration of the speech signal induced by a transmission channel. The objective STI has been refined since its introduction in the 1970s by Houtgast & Steeneken, and major improvements have been consolidated through their incorporation in successive revisions of the International Electrotechnical Commission, IEC-60268-16 standard. Since 1988, this standard has been revised several times, with the latest revision (Edition 5) appearing in 2020. Research carried out by the scientific community on the STI parameter has led to the incorporation of improvements into successive editions of the standard. These include redundancy factors for neighbouring bands, level-dependent auditory masking, various procedures to apply the STI parameter to special groups of people, such as non-natives and the hearing-impaired, and enhancements to

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_2

13

14

STI data to improve the effects of environmental noise and speech levels in simulations. The just noticeable difference (JND) or differential limen is the minimal variation in the value of an acoustic parameter that is detectable by a listener. This descriptor is accepted as a great indicator of the subjective perception caused by the variation of a parameter and is very useful in a large number of applications in room acoustics: it offers guidance on the precision with which the objective acoustic parameters should be measured; it establishes the accuracy with which computational models should be able to simulate an enclosure; and it constitutes a fundamental tool for acousticians to ascertain whether an alteration in the design of a room would indeed be appreciated by the audience. In this regard, Cremer & Muller (1982), described the results of the JND for reverberation time T and pointed out that for longer times than 0.6 s the JND was approximately 4% relative to the measured value, while for shorter than 0.6 s the differential limen became absolute and approximately equal to 0.024 s. By using synthetic sound fields, Reichardt & Schmidt (1967) studied the detectability of level changes, the delay of reflections, and the reverberation onset in an impulse response. Measured results were expressed in terms of differential thresholds, and they also studied the variations in the sound field necessary for detection by 50% of listeners. Regarding energy parameters based on impulse responses and related to speech intelligibility, Cox et al. (1993) provided a detailed discussion on JND of several acoustic descriptors also based on synthetic sound fields similar to those encountered in concert halls. Additional research was carried out by Bradley et al. (1999) that focused on clarity of speech C50. It considered three reverberation times, varying from 0.5 s to 2.0 s, and concluded that, under the observed conditions, the JND for C50 was 1.1 dB and was independent of reverberation time. The authors proposed that the corresponding JND for STI be 0.03 by correlation with the differential limen of other energy parameters indicating speech intelligibility, but no direct studies of the JND for this parameter have yet been published. With actual acoustic fields, Martellotta (2010) studies the differential limen of centre time and clarity parameters in large reverberant places such as churches, while Liu et al. (2020), through listening tests of intelligibility in Mandarin Chinese, explore the factors that influence the intelligibility of speech in large venues. From their results, they propose another scale of valuation of STI for large spaces. This work is based on the results of listening tests designed through the comparison of two signals in order to investigate the subjective perception of speech intelligibility in public venues with low reverberation. The intelligibility study has been carried out through the STI parameter and its differential limen. These results are of interest for the

S. Girón et al.

assessment of acoustic comfort and speech intelligibility in outdoor venues within the scope of smart cities and urban design (Yang & Kang, 2005).

1.1 The STI Parameter The single-index STI is a monaural parameter that assumes values between 0 (zero intelligibility) and 1 (optimal intelligibility). Its calculation is complex and is based on the modulation transfer function (MTF). To this end, it involves 7 carrier octave bands i corresponding to the human voice (125 Hz–8000 Hz) with 14 modulation frequencies k (one-third octave interval range from 0.63 Hz up to 12.5 Hz), thereby obtaining the modulation matrix of 98 values. The modulation reduction factor m of a room can be deduced from the impulse response (Schroeder, 1981) called the indirect method. Cabrera et al. (2014) also discuss the causes of vulnerability in several commercial tools of the indirect method of measuring STI and provide a robust freely available implementation, executed by the authors. In this method, to appraise the modulation reduction factor in octave band i, and modulation frequency FK mi(Fk), first the impulse response h(t) must be filtered in the seven frequency bands i [hi(t)] (Zamarreño et al., 2008; International Electrotechnical Commission, IEC 60268–16 2020). Hence mi(Fk) can be obtained as the Fourier transform of the squared impulse response as: R1 2 h ðtÞ ej2pFk t dt mi ðFk Þ ¼ 0 R i1 2 : ð1Þ 0 hi ðtÞ dt These modulation reduction factor mi (Fk) values are converted to effective signal-to-noise ratios SNReff by the expression:   m i ð Fk Þ SNReffik ¼ 10 log ðdBÞ: ð2Þ 1  m i ð Fk Þ These 98 values are limited to the −15 dB + 5 dB range so that the STI remains within the 0–1 margin. In a room, the main distortions involved in the loss of modulation are reverberation and background noise. When both factors affect the signal, the total modulation reduction factor can be obtained as the product of these two factors: 1 1 m ¼ mrev
mnoise ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi SNRik : 2pF T 2
k i 1 þ 10 10 1 þ 13:82

ð3Þ

In this equation, Ti is the early decay time at each octave band (alternatively, the reverberation time) under diffuse field hypothesis, and FK is the modulation frequency. From the modulation reduction matrix, the averaged values for the 14 modulation frequencies enable the

Assessment of Speech Intelligibility in Buildings with Low Reverberation

15

Table 1 Standard scale of valuation of the STI parameter versus speech intelligibility (Acoustics Engineering 2002) STI

0.00–0.30

0.30–0.45

0.45–0.60

0.60–0.75

0.75–1.00

Speech intelligibility

Bad

Poor

Fair

Good

Excellent

modulation indices (MTI) to be calculated and then the STI parameter can be calculated as the weighted sum of MTI for each octave band. The qualification of intelligibility for a native listener with normal hearing in terms of the STI parameter, validated with subject-based intelligibility experiments, is shown in Table 1 and is independent of language.

2

Methods

This section describes the experimental system employed to obtain the impulse responses and hence the STI indices in the Roman theatres studied. The most important characteristics of the seven Roman theatres are briefly described, the anechoic material used for the auralisation of the signals that intervene in the surveys is presented, and finally, the listening test and the procedure for carrying out the surveys are explained.

2.1 Experimental Set-Up In the Roman theatres, the acoustic experimental measurements were carried out without the public by following the protocol established in the International Organisation for Standardisation, ISO 3382 part 1 (2009), and part 2 (2008), which affect the recommended source–receiver number of combinations and the monitoring of environmental conditions (temperature, relative humidity, and air velocity), among other recommendations. The theatres were acoustically excited to obtain the room impulse responses (RIRs) at the reception points by means of sine-swept signals of variable duration of up to 20 s depending on the theatre, wherein the frequency grows exponentially over time from 20 Hz to 20,000 Hz. These signals have been produced and processed by commercial software platforms (EASERA v1.2 and IRIS) connected to the rest of the measurement chain through AUBIONx8 and MOTU 4PRE HYBRID sound cards, respectively. The omni-directional source used was an AVM DO-12 located 1.50 m above the floor (in the centre and lateral part of the scaena, and in the centre of the orchestra), and previous amplification with a B&K 2734-type power amplifier, the excitation signals were reproduced in the spaces. The RIRs were captured either by means of the omni-directional and figure-of-eight configurations of an Audio-Technica

AT4050/CM5 microphone connected to a Sound Field SMP200 polarisation source or via the Core Sound TetraMic microphone array. A Head Acoustics HMS III torso simulator (Code 1323) and a B&K 2829 microphone polarisation source were employed to capture the binaural RIRs. In all cases, microphones were located 1.20 m from the floor at a variable number of reception points ranging from 18 in Regina Turdulorum theatre to 35 in Saguntum theatre. The processing of the impulse responses enabled the monaural and binaural acoustic parameters as well as the STI at the positions of the microphones to be known. A Svantek SVAN 958 analyser recorded the background noise level. More details regarding the experimental chain can be found in Girón et al. (2021).

2.2 The Roman Theatres Hispania is the Roman name attributed to the Roman provinces located on the Iberian Peninsula and the Balearic Islands. The period of Rome’s domination in this territory starts with the landing in Ampurias in 218 BC and lasted until the beginning of the fifth century with the entry of the Visigoths into the peninsula: during the Visigoth period this name was also maintained. These classical precincts of Western civilisation were built for theatrical performances and other oral events where intelligibility played a primary role. Of the Roman theatres documented and located in Hispania, 22 remain in present-day Spain, and 3 in present-day Portugal (Braga, Lisbon, and Evora). Of those in Portugal, only traces of the theatres remain. Hispania was converted into a fundamental part of the Roman Empire, as evidenced by the large number of monuments for public assembly and performance in the region (Girón et al., 2021). The PIAATRE research project, developed at the University of Seville, considers the study of the intangible cultural heritage of the sound of Roman theatres to be a key factor in European identity, not only in the current identity but also in the past (acoustic archaeology) and the future (restoration projects, intervention, and ephemeral architecture). In this project, the following 7 theatres, located in three ancient Roman provinces (Fig. 1), have been acoustically measured in situ, in alphabetical order: Carthago Nova (Cartagena, Murcia), Fig. 2; Emerita Augusta (Merida, Badajoz), Fig. 3; Italica (Santiponce, Seville), Fig. 4; Metellinum (Medellin, Badajoz), Fig. 5;

16

Fig. 1 The five provinces of Hispania established by Emperor Diocletian with their capitals marked in red. (Source the authors)

Fig. 2 View of the Carthago Nova theatre (Source Romero-Odero, J. A.; PIAATRE project)

S. Girón et al.

Assessment of Speech Intelligibility in Buildings with Low Reverberation

Fig. 3 View of the Emerita Augusta theatre (Source Bustamante, P.; PIAATRE project)

Fig. 4 View of the Italica theatre (Source Bustamante, P.; PIAATRE project)

17

18

S. Girón et al.

Fig. 5 View of the Metellinum theatre (Source Bustamante, P.; PIAATRE project)

Fig. 6 View of the Regina Turdulorum theatre (Source Bustamante, P.; PIAATRE project)

Regina Turdulorum (Casas de Reina, Badajoz), Fig. 6; Saguntum (Sagunto, Valencia), Fig. 7; and Segobriga (Saelices, Cuenca), Fig. 8. The typology of the theatres follows the spatial configuration proposed by Vitruvius Pollio (1787). In terms of their acoustic study, three well-defined areas (Girón et al., 2020a)

can be established: Scaenae frons (stage for actors); Orchestra, semi-circular zone in front of the stage, wherein the authorities were seated; and Cavea, where the audience stood regarding their social status as ima, media, or summa, see Figs. 2–8. The most significant geometric and acoustic data of these 7 theatres is presented in Table 2.

Assessment of Speech Intelligibility in Buildings with Low Reverberation

Fig. 7 View of the Saguntum theatre (Source Romero-Odero, J. A.; PIAATRE project)

Fig. 8 View of the Segobriga theatre (Source Bustamante, P.; PIAATRE project)

19

20

S. Girón et al.

Table 2 Data regarding the seven Roman theatres measured in the PIAATRE project Hispania

Localisation

Cavea diameter (m)

Capacity

T30m (s)

Background noise (dBA)

Carthago Nova Theatre (Carthaginensis province)

Cartagena, Murcia: 37°35′58″N, 1°36′ 14″W

87.2

7000

1.92

N/A

Emerita Augusta Theatre (Lusitania province)

Merida, Badajoz: 38°54′55″N, 6°20′ 19″W

86.63

6000

1.29

N/A

Italica Theatre (Baetica province)

Santiponce, Seville: 37°26′24″N, 6°2′ 19″W

75.76

3000

1.07

46.33

Metellinum Theatre (Lusitania province)

Medellin, Badajoz: 38°57′58″N, 5°57′ 21″W

63

3200

0.85

40.08

Regina Turdulorum Theatre (Baetica province)

Casas de Reina, Badajoz: 38°12′12″N, 5°57′13″W

64

1000

0.65

49.26

Saguntum Theatre (Carthaginensis province)

Sagunto, Valencia: 39°40′36″N, 0°16′ 41″W

85

4000

2.25

35.73

Segobriga Theatre (Carthaginensis province)

Saelices, Cuenca: 39°53′10″N, 2°48′ 45″W

65

1500

0.44

34.45

2.3 Anechoic Material and Listening Tests The auralisations (Kleiner et al., 1993) presented in the listening tests were carried out using Matlab software and by convolving the binaural room impulse responses quantified in the theatres with the anechoic material: two locutions in Spanish (with female and male voices) of an excerpt from the book of Vitruvius Pollio (De architecture Book X 1787) recorded in the anechoic chamber of the Acoustic Laboratory of the Polytechnic University of Madrid. The auralised signals from the experimental recordings in the theatres present differences of 0.01 in the STI parameter. For the preparation of the test, the method of limits (Ehrenstein & Ehrenstein, 1999) has been followed. Two stimuli of an oral speech are presented to the respondent successively. The STI of the standard stimulus is kept constant while the other stimuli are changed in a series of steps. The comparison stimulus is either initially with a lower value of STI than the standard (ascending series) or initially with a higher STI (descending series) than the standard. The survey method involves a pairwise comparison of a 25-s duration each whereby the listeners are informed that certain pairs of stimuli may coincide. The subject is asked which stimulus (Stimulus A or Stimulus B) prompts the respondent to believe to be more intelligible, or whether the two are equally intelligible. The recommendations for the surveys outlined in the publications of the International Telecommunication Union (ITU 2014) have been followed as closely as possible. The voice signals were in Spanish, the native language of the respondents. The concept of intelligibility was explained to all subjects, despite the fact that 100% of the respondents were already familiar with this concept.

The listening room of the Acoustics Laboratory where the tests were performed was located in the Applied Physics II Department of the School of Architecture of the University of Seville. Conforming to the International Telecommunication Union 2014 requirements, this room is a rectangular parallelepiped (5.1  7.5  3.0 m), semi-anechoic, and presents low background noise (LAeq = 24.6 dB), together with an average mid-reverberation time of 0.2 s (Alayón et al., 2020). By means of SENNHEISER-HD600 hi-fi/ professional headphones, a suitable frequency response of the auralisations was reproduced between 100 and 20,000 Hz. The volume of the signal emission remained constant throughout the survey, see Fig. 9.

3

Questionnaires

The questionnaire was completed by 32 people (15 women and 17 men), all of whom were between 19 and 52 years old, with no hearing defects, and the majority of whom were students and lecturers. Information about the study, its objectives, and the confidentiality were given, and consent to participate and/or to publish was obtained from participants. The questionnaires were distributed randomly with the male and female voice signals. With the male voice, 17 (7 men and 10 women) were surveyed, while with the female voice, 15 people responded (10 men and 5 women). The ascending series was created by taking the STI value of 0.70 as a standard pattern and from 0.46 the STI was increased at a rate of 0.01 until it reached 0.70 in total for the comparison of 25 pairs (P1-P25). In the descending series, the pattern was again the STI signal of 0.70, and started from the pair 0.70–0.91, P26, up to P47, in which the convergence reached 0.70.

Assessment of Speech Intelligibility in Buildings with Low Reverberation

21

Fig. 9 A listener completing the questionnaire in the listening room (Source The authors)

3.1 Results and Statistical Analysis of the Surveys For the statistical study of data, IBM-SPSS version 26 software is used. The existence of a relationship between the number of hits or recognitions that the listeners indicate and other variables that intervene in the study is analysed by using non-parametric techniques. When it is accepted that there is dependence between the variables, association measures are calculated to determine the degree of dependence following the same procedure as that in other statistical studies of acoustic perception of the research group (Álvarez-Morales et al., 2019; Girón et al., 2020b). First, it is determined whether the ascending or descending series is independent when it comes to recognising the correct stimulus, without taking into account the type of voice of the signals (male or female) or the gender of the respondent. The same analysis is then carried out only for the male voice and subsequently only for the female voice. The result of the tests in all three cases is significant, and hence there is dependence on whether the series is either ascending or descending, although the relationship is not strong, as indicated by Cramer's test.

Both in the ascending and descending series, it is then studied as to whether the recognition of the most intelligible stimulus is independent of the type of voice (male or female). The results show that there is no dependency on the type of voice. The subsequent statistical study consists of establishing pairs of questions from the ascending and descending series that present the same difference in STI (e.g., P4-P26 difference 0.21, P5-P27 difference 0.20, P6-P28 difference 0.19). With these pairs of which there are 64 responses with both male and female voices, the correlation is studied of the responses of each pair of questions with the attributes of having had an education in acoustics, with having had an education in music, and with the fact of listening to either a male or female voice. The statistical results show that the possession of an acoustic education, of a musical education, and the fact of listening to either a male or female voice exert no influence on the determination of the most intelligible stimulus in any of the STI differences that arise. By considering these differences in intelligibility both in the ascending and descending series and by studying whether the listeners correctly indicate the most intelligible signal for the same difference in STI depending on whether it

22

S. Girón et al.

Table 3 Pattern of results of the STI differences: Yes means that it depends on the series, and No indicates that there is no dependence (Source the authors) STI Diff

0.21

0.20

0.19

0.18

0.17

0.16

0.15

0.14

0.13

0.12

0.11

Pattern

No

No

Yes

No

No

No

No

Yes

Yes

Yes

Yes

STI Diff. (cont.)

0.10

0.09

0.08

0.07

0.06

0.05

0.04

0.03

0.02

0.01

0.00

Pattern

Yes

Yes

No

Yes

Yes

No

Yes

Yes

No

Yes

No

is the ascending and descending series, it can be concluded that the pattern is totally irregular, and depends on the difference considered, see Table 3. The authors consider these discrepancies to be due to the auralisations built in the ascending series in which the appropriate impulse responses were not chosen in each theatre.

3.2 Analysis of the Differential Limen of the STI The ascending series of comparison of stimuli raises many doubts regarding whether it is indeed correct due to the discrepancies in the responses of the listeners shown above, and hence, in order to obtain the differential threshold of the STI by applying the method of limits, we have considered the transition point of the STI for each respondent at the second failure of the choice of listening in the ascending series. In the descending series, the transition has been established when respondents fail in their answers the first time. The average value of the STI corresponding to these answers is then taken as indicated by the method of limits, thereby providing the differential limen of each respondent. Mean values of the JND of the respondents and other statistical parameters corresponding to all the results with solely a male voice, solely a female voice, and all together are indicated in Table 4 and are calculated by assuming that the variances are dominated by the subjective responses and not by errors in the objective measurements of the STI. According to the results of this work, the proposed differential limen of the parameter STI is 0.042 ± 0.002 in these low reverberation venues. Table 4 Statistical parameters of the count for the differential threshold of the STI parameter (Source The authors)

4

Conclusions

Binaural impulse responses measured in a set of Roman theatres of Spain (Hispania in Roman times) have resulted in a collection of values of the STI parameters from 0.46 to 0.90 in steps of 0.01. This is a single-value parameter that integrates the significant spectral data of speech. These binaural impulse responses have been convolved with anechoic recordings of an oral passage with male and female voices. Pairs of signals for comparison have been employed to investigate the subjective perception of speech intelligibility in these performance spaces. They present short reverberation times at medium frequencies, between 0.33 s and 2.32 s depending on the size and state of rehabilitation of the space. The design of the test was based on “the method of limits” and the results of the data provided by the respondents have been analysed by means of non-parametric tests carried out on SPSS software. Statistical results show that the recognition of the intelligibility of the correct stimulus in the pairs depends on whether it is the ascending or descending series although there is no strong relationship, as indicated by Cramer's test. Furthermore, the recognition of the most intelligible stimulus is shown to be independent of the type of voice (male or female). By associating pairs of questions with the same difference in STI both in the ascending and descending series, the statistical analysis reveals that the determination of the most intelligible stimulus in any of the STI differences that arise remains independent of the respondents’ possession of an education in acoustics, of the possession of an education in music, and of whether the voice is male or female. Finally, by applying the

Male voice

Female voice

The two voices

Mean

0.0409

0.0433

0.042

Median

0.0375

0.045

0.0375

Standard Deviation

0.0131

0.0119

0.0124

Standard Error

3.17E-03

3.07E-03

2.19E-03

Assessment of Speech Intelligibility in Buildings with Low Reverberation

method of limits, an estimation of the differential limen of the STI parameter in these venues of low reverberation is established as 0.042 ± 0.002. With the methodology implemented the objectives of this study have been addressed and the findings achieved are applicable in the soundscape design of smart city and urban planning, especially to explore the appreciation of the audience in public open-air venues. As future work, the authors are going to carry out new auralisations, previous verification that there is no echo in the signals utilised, to build the listening tests of a new ascending series and will perform a new perception survey in order to compare the results obtained with those shown here. Acknowledgements The authors appreciate the help provided by Professor A. Pedrero and B. Abascal from the Polytechnic University of Madrid with the anechoic material and remain very grateful to all participants in the listening tests for their selfless collaboration. This research has been financially supported by ERDF funds and the Spanish MINECO with references BIA2017-85301-P. Ethics Approval The study was conducted according to the guidelines of the Declaration of Helsinki and approved by the Ethics Committee of CEIC Valme Teaching Hospital’s Clinical Research (30 June 2020/No: 1210-N-20). Competing Interest The authors have no conflicts of interest to declare that are relevant to the content of this chapter.

References Acoustics-engineering. (2002). Measuring Speech Intelligibility using DIRAC Type 7841. https://www.acoustics-engineering.com/html/ speechintelligibility.html. Accessed 6 Sept 2022 Alayón, J., Romero-Odero, J. A., Galindo, M., Nieves, F. J,. & Girón, S. (2020). Sound perception in 3D virtual environments: application to a Roman theatre of Hispania. In: Ahram T, Taiar R, Langlois K, Choplin A (Eds.) Advances in intelligent systems and computing series, Springer, Heidelberg Germany, Vol 1253, pp 216–222. https://doi.org/10.1007/978-3-030-55307-4 Álvarez-Morales, L., Galindo, M., Santamaría, J., Zamarreño, T., & Gómez-Gómez, T. (2019). Reverberation perception in Spanish Cathedrals. In: Proceedings of Internoise, Madrid 16–19 June 2019. Paper 1870, 12 pages. Bradley, J. S., Reich, R., & Norcross, S. G. (1999). A just noticeable difference in C50 for speech. Applied Acoustics, 58(2), 99–108. https://doi.org/10.1121/1.1426374 Cabrera, D., Lee, D., Leembruggen, G., & Jimenez, D. (2014). Increasing robustness in the calculation of the speech transmission index from impulse responses. Building Acoustics, 21(3), 181–198. https://doi.org/10.1260/1351-010X.21.3.181 Cox, T. J., Davies, W. J., & Lam, Y. W. (1993). The sensitivity of listeners to early sound field changes in auditoria. Acustica, 79, 27–41. Cremer, L., & Muller, H. A. (1982). Principles and applications of room acoustics. Applied Science 1, 503–509.

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Ehrenstein, W. H., & Ehrenstein, A. (1999). Psychophysical methods. In U. Windhorst & H. Johansson (Eds.), Modern Techniques in Neuroscience Research (pp. 1214–1229). Springer. Girón, S., Álvarez-Corbacho, A., & Zamarreño, T. (2020a). Exploring the acoustics of ancient open-air theatres. Architectural acoustics 45, 181–208. https://doi.org/10.24425/aoa.2020.132494 Girón, S., Galindo, M., & Gómez-Gómez, T. (2020b). Assessment of the subjective perception of reverberation in Spanish cathedrals. Building and Environment, 171, 106656. https://doi.org/10.1016/j. buildenv.2020.106656 Girón, S., Galindo, M., Romero-Odero, J. A., Alayón, J., & Nieves, F. J. (2021). Acoustic ambience of two Roman theatres in the Cartaginensis province of Hispania. Building and Environment, 193 (107653), 1–17. https://doi.org/10.1016/j.buildenv.2021.107653 Houtgast, T., & Steeneken, H. J. (1973). The modulation transfer function in room acoustics as a predictor of speech intelligibility. Acta Acustica United Acustica, 28(1), 66–73. IBM. (2022). SPSS Statistics Platform (version 26). Educational version for the University of Seville. International Electrotechnical Commission (2011). Sound System Equipment–Part 16: Objective Rating of Speech Intelligibility by Speech Transmission Index, IEC 60268-16, 4th ed. International Organisation for Standardisation, Geneva, Switzerland. (2009). Acoustics-Measurement of room acoustic parameters, Part 1: Performance rooms (ISO 3382–1:2009(E)). International Organisation for Standardisation, Geneva, Switzerland. (2008). Acoustics-Measurement of room acoustic parameters-Part 2: Reverberation time in ordinary rooms (ISO 3382–2:2008(E)). International Telecommunication Union, Geneva, Switzerland. (2014). Method for the subjective assessment of intermediate quality level of audio systems (Recommendation ITU-R BS.1534–2 (06/2014)). Kleiner, M., Dalenbäck, B.-I., & Svensson, P. (1993). Auralization - an overview. Journal of the Audio Engineering Society, 41(11), 861–875. Liu, H., Maa, H., Kang, J., & Wanga, C. (2020). The speech intelligibility and applicability of the speech transmission index in large spaces. Applied Acoustics, 167, 107400. https://doi.org/10. 1016/j.apacoust.2020.107400 Martellotta, F. (2010). The just noticeable difference of center time and clarity index in large reverberant spaces. Journal of the Acoustical Society of America, 128, 654–663. https://doi.org/10.1121/1. 3455837 PIAATRE project, University of Seville. (2018). Acoustic and environmental immaterial heritage associated with the Roman Theatres of Spain: Recreation using virtual reality techniques (ref. BIA2017–85301-P). http://grupo.us.es/piaatre/inicio.html. Accessed 6 July 2022 Reichardt, W., & Schmidt, W. (1967). The detectability of changes in sound field parameters for music. Acustica, 18, 274–282. Schroeder, M. (1981). Modulation transfer functions: definition and measurement. Acustica, 49(3), 179–182. Vitruvius Pollio, M. (1787). De Architectura, Los diez libros de arquitectura (The Ten Books on Architecture), translated from Latin and commented by J. Ortiz y Sanz. Imprenta Real, Madrid. Yang, W., & Kang, J. (2005). Acoustic comfort evaluation in urban open public spaces. Applied Acoustics, 66(2), 211–229. https://doi. org/10.1016/j.apacoust.2004.07.011 Zamarreño, T., Girón, S., & Galindo, M. (2008). Assessing the intelligibility of speech and singing in Mudejar-Gothic churches. Applied Acoustics 69(2), 242–254. https://doi.org/10.1016/j. apacoust.2006.09.007

Smart Buildings and Grid Features in City Energy System Ng Kai Li, M. M. Ariannejad, Tan Jian Ding, and Kang Chia Chao

Abstract

Keywords

This study presents a proposed approach that is focused on two aspects of smart buildings (SBs), which are near or real-time measuring and monitoring of energy consumption and energy generated locally. The design proposed is a smart plug, which is the employment of a smart monitoring system that allows users to monitor various ordinary electrical appliances (i.e., common lighting, air-conditioning, fans, and other electronic devices). For remote interaction with the smart plug, a simple end-user interface accessible through any smartphone is devised via Wi-Fi. Via internet connection, the sensors provide a direct connection to the users. A smart microgrid controller based on a Raspberry Pi board is used in the proposed system to control and act as the central part of the system while managing the operation of the system in real-time. The smart plug provides real-time data acquisition and data logging through a cloud database. As a result of the data obtained by real-time monitoring, building systems may be monitored, predictive maintenance can be performed, and problems and abnormalities can be identified. This system is intended to provide easy control of appliances and to allow adjustment of the electricity usage accordingly for conservation and saving of electricity. The proposed approach is also simple and convenient for building occupants to employ.

Smart buildings Smart energy Smart grid microgrid Smart monitoring Raspberry Pi

N. K. Li
M. M. Ariannejad (&)
T. J. Ding
K. C. Chao School of Electrical Engineering and Artificial Intelligence, Xiamen University Malaysia, Sepang, Malaysia e-mail: [email protected] T. J. Ding e-mail: [email protected] K. C. Chao e-mail: [email protected]

1












Smart

Introduction

The smart grid (SG), a theoretical notion introduced some years ago (Gharavi & Ghafurian, 2011; Ipakchi & Albuyeh, 2009), has become a reality during the previous decade (Dileep, 2020) and is currently progressing towards innovative paradigms such as the Internet of Energy (IoE) (Joseph & Balachandra, 2020; Mahmud et al., 2020). Multiple research projects are now underway in various knowledge fields to build and develop SGs, emphasizing their nature is multidisciplinary. The well-known advantages of SGs have been described in numerous studies; for example, increasing the electrical grid’s overall resilience and efficiency (Bie et al., 2017), introducing renewable sources of power, implementing load control mechanisms and demand response, and improving energy quality (Gellings & Samotyj, 2013; Llaria et al., 2021). Besides, due to the consequences of a population that is constantly growing, the expanding economy, and the demand for increased comfort, energy demand is projected to rise considerably in the upcoming years. Consequently, increasing renewable energy utilization is one option to satisfy the expected growth in demand (Jaganmohan, 2020). Thus, interactive features in buildings that dynamically adjust to user wants and varying boundary circumstances (either external or internal, such as climate and grid costs, and occupant requirements) are becoming increasingly popular. Buildings in the future are projected to be grid-responsive, meaning that they will adjust their utilization to time-of-use electricity rates in addition to the patterns of utilization of their customers (Oldewurtel et al., 2012; Wang, 2016). Sensors are also required in buildings to

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_3

25

26

acquire data about the ambient environment and accessible resources (King & Perry, 2017). Actuators, on the other hand, are utilized in control systems to manage sensor data and directly stimulate the control functions, then the statistics from sensors are directed to the control layer, such as the Building Energy Management System (BEMS) (Al Dakheel et al., 2020; Benavente-Peces, 2019). To connect all of these elements, information and communication technologies (ICTs) are required. Data transmitted to the control unit from the sensors subsequently delivers instructions to the actuators. The information acquired from the building’s sensors is processed and stored using information technology (Li et al., 2022). Intelligence is defined as the application of technology and procedures to make decisions, such as analyzing data from sensors storing it in a database, and making decisions to operate the various actuators in a Smart Building (SB) (Benavente-Peces, 2019). Buildings consume a lot of energy, so using Internet of Things (IoT) devices to make them smarter and more efficient is becoming extremely prevalent. IoT denotes the interconnection of embedded electronics and other physical devices, actuators, sensors, and network connectivity that allow these items to gather and share information (Mudaliar & Sivakumar, 2020). Building energy efficiency is crucial, and one of the goals of an SB is to control, minimize, and monitor energy use while maintaining occupant comfort and operating efficiency. The remainder of the paper includes the research background or literature review concerning the topic, such as descriptions, definitions, supporting technologies, purpose, limitations, and drawbacks. Besides, the research methodology is deliberated, along with the research design of the proposed system, product materials, and so on. Moreover, a comprehensive analysis of the outcomes and discourse is presented, accompanied by an in-depth conclusion.

1.1 Aims and Objectives It is important to highlight that this research in no way, shape, or form, introduces any new technology; rather, the proposed system is an incorporation of existing technologies integrated with a new perspective and application. The following are the significant contributions of this study: – A system is proposed based on existing technologies to execute a smart monitoring system based on a smart microgrid controller to overcome the drawbacks of similar already existing systems. – The proposed system is a framework with features that are flexible and scalable. Data exchange in real-time and remote accessibility through a simple end-user interface are proposed.

N. K. Li et al.

– The proposed monitoring system is fully practical and functional, easy to use, and does not rely on software licenses or external web servers for its operation.

1.2 Environment Consideration Surprisingly, buildings pollute the environment more than either transportation or industry. As a result, efforts can be made to implement an architecture that prioritizes energy conservation (Khanna et al., 2019). There has been a slew of programs aimed at reducing energy usage. For example, in the year 2015, the Paris Agreement was contracted as part of the United Nations Framework Convention on Climate Change. The Paris Climate Agreement delegated decision-making on material and energy resource management to local governments, establishing metropolitan cities and areas as new hubs for urban transformation, low-carbon implementation, and collaboration. Governments worldwide also agreed to make human settlements and cities safe, sustainable, inclusive, and resilient by the year 2030 as part of the post-2015 United Nations sustainable development plan (Sustainable Development Goal number 11: Sustainable Cities and Communities) (Nyangon, 2020). Furthermore, smart cities’ ICT interface standardization will help support the specific Urban Sustainable Development Goal (USDG) and the New Urban Agenda as part of the United Nations 2030 Agenda for Sustainable Development, promote accountability, and recognize performance gaps (Alfaro d’Alençon et al., 2018). Cooperation, emulation, and knowledge among cities with mutual smart city features and objectives can be boosted under a common framework of measurement, reporting, and verification (MR&V) systems, promoting smart economics, smart energy, smart urban infrastructure, smart mobility, and smart urban government (Nyangon, 2020). Between the users and the distribution facilities, there is a distinct gap that needs to be filled. One of the devices that attempts to bridge this gap is SMs, although they have significant restrictions regarding accuracy, data quality, and frequency (Suryadevara & Biswal, 2019). Various SM designs and consumption estimating algorithms are available, as are a variety of approaches. For example, separate meter designs for power distributors and customers are presented in Pereira et al. (2015), which are coupled to a Supervisory control and data acquisition (SCADA) monitoring system using programmable logic controller (PLC) hardware design. A sensor unit in these SMs collects energy values and displays them on a mobile device (Mir et al., 2021). A significant technical gap is present in the smart plug development that possesses the features that can truly qualify

Smart Buildings and Grid Features in City Energy System

it as smart in all aspects. A prototype with multiple features must be an utmost priority in any company’s research and development strategy if a smart plug is to be popular and widely adopted. The market is presently swamped with smart plugs, but the one that offers the most functionality while providing the customer with a hassle-free experience will undoubtedly triumph (Suryadevara & Biswal, 2019). This is clear as shown in the comparison in the list of commercially available smart plugs by different companies in Table 4.

2

Literature Review

This section includes the descriptions and definitions of the structures and relevant, which will contribute to a better understanding of smart infrastructure’s operations and performance. In-depth reviews and summaries are presented to inform and address a set of future study directions.

2.1 Smart Buildings SB, Smart Homes (SH), SG, and Smart Meters (SM) all have an imperative role in creating a smart city. An SB is an assemblage of communication technologies that allow various sensors and devices that function within a structure to interact and communicate with one another, as well as being remotely automated, controlled, and managed. The use of sensors, actuators, ICTs, and smart approaches and technologies to regulate and optimize the usage of the building’s resources (infrastructures and energy sources) while providing optimal comfortability to inhabitants is referred to as SB (Benavente-Peces, 2019). For example, given the growing number of elderly individuals, there is a fundamental need to comprehend and enhance housing units for the aging population. This can be achieved by creating and deploying different gerontechnologies like intelligent blood meters and sensors. These technologies prove valuable in

Table 1 Characteristics of smart cities

27

addressing health concerns and promptly notifying caregivers about potential issues (Li et al., 2022).

2.2 Smart Cities The notion of smart cities is gaining traction. Smart city systems include environmental monitoring such as city vehicles that have sensors to monitor environmental parameters; Intelligent transportation systems such as smart mobility, traffic control, and vehicular automation; SGs; street lighting management; surveillance; waste management; traffic lights management; and water management. These smart city solutions increase asset management efficiency while simultaneously improving people’s Quality of Life (QoL) (Minoli et al., 2017). There are numerous definitions of SCs. By substituting different adjectives for smart, such as digital or intelligent, a variety of conceptual alternatives might be generated. There is not one description that justifiably defines all smart cities nor is there a single framework for defining one (Albino et al., 2015). People and community characteristics, as well as ICTs, are now included in smart city descriptions. Smart cities’ characteristics can be differentiated into six smart components. The description of each component is described in Table 1. Ghaffarianhoseini et al. (2017) investigated the terms “smartness” and “intelligence” in the framework of Smart Cities (SCs) and SBs, concluding that both terms are synergistic on condition that they share the goal of optimizing building and city performance and impacts. In the context of SC, intelligence refers to the widespread use of ICT in electronic and digital technologies, infrastructure, innovation, and technological progress, but also relates to people’s and communities’ needs (Al Dakheel et al., 2020; Albino et al., 2015). In comparison, the Management Optimization of the Electricity System with Sustainability Enhancement that has been achieved can be considered to improve the efficiency

Component

Description

Smart mobility

The utilization of ICTs in transportation and public services applications

Smart economy

The presence of ICT industries or ICT employment in production

Smart environment

Environment efficiency and sustainability

Smart governance

Stakeholders responsible for public services and making decisions

Smart living

Affinity to lifelong learning, ethnic and social plurality, cosmopolitanism, flexibility, open-mindedness, and participation in public life

Smart people

People who possess diversity, creativity, and education

28

and monitoring of the devices accordingly; however, the current results demonstrate the effectiveness of their proposed technique, which could be considered as higher reliability and sustainability for the grids.

2.3 Smart Grids An SG is an advanced electric power grid infrastructure that improves reliability, efficiency, and safety with seamless integration of RES, as well as a great amount of storage resources and distributed generation (Al Dakheel et al., 2020). Moreover, a microgrid is the core module that makes distribution decisions (Mir et al., 2021). As a result of SG digital communications, it is possible to transform “dumb” infrastructure into smart infrastructure (Fig. 1) (Farmanbar et al., 2019). Figure 2 shows an example of a smart grid. IEA identified that there are eight determinative smart grid technology features, which are described in Table 2. Some of the advantages of using an SG include electricity transmission that is efficient and systematic; it is possible to better integrate providers of power generation systems and the users; improved electricity management lowers electricity rates by reducing peak demand; SGs allow for fewer power outages and faster recovery times following power outages; Improved security; By integrating renewable energy technologies with the SG, they may be used more efficiently (Farmanbar et al., 2019; Khanna et al., 2019). Moreover, in comparison to the conventional grid (Table 3), the smart grid

Fig. 1 Infrastructures of a smart grid (Source The authors)

N. K. Li et al.

is a more modernized grid that functions cooperatively through the technologies and devices incorporated. One of the major challenges in SGs is converting the conventional power grid into an active system with bidirectional communication capacity. Because the smart grid is a system that incorporates highly automated services and digital computing into existing power system infrastructure, thus, to have a successful execution of this notion, SGs require an effective deployment of ICTs (Alotaibi et al., 2020). Furthermore, one of the primary issues in the SG scenario is the adoption of distributed monitoring and control systems. Furthermore, significant resources must be allocated to the aforementioned technologies to offer suitable control, monitoring, and sensing. Since controllers, data loggers, sensors, and other equipment are required, traditional supervisory systems for Microgrids (MGs) are costly (Portalo et al., 2021). A microgrid, by definition according to the United States Department of Energy, is a collection of interconnected DERs and loads contained inside clearly distinct electrical borders that function as a sole network unit that is controllable. To function in grid or island mode, an MG can be linked and disconnected from the network. There is a type of MG, known as a remote MG, that operates in island conditions. MGs are decentralized distribution and load management systems that operate on a local level. MGs use automated control, digital information, and autonomous technologies to offer onsite electricity with rarer outages and self-healing power systems (Nyangon, 2020). This form of MG management is difficult to adopt, and specific changes on the institutional level are required to realize its full potential, as network administration is now monopolized by large production corporations and governments at various levels (Izquierdo-Monge et al., 2021). Automation and control systems, loads, main controllers, protective devices, and smart switches are the major components of MGs (Parhizi et al., 2015). The principal controller’s purpose is to determine the connection or disconnection of the MG to the grid, acting in interconnected or island mode, and maximizing the operations of DERs based on financial and safety principles. This will ensure that MG elements communicate in a timely, efficient, and consistent manner (Farmanbar et al., 2019). However, MGs do have drawbacks and limitations, which makes many people hesitant to use them. Constant fluctuations in climate conditions and unpredictable load profiles are among the constraints, resulting in stale generation and disturbance in economic planning. As a result, having a management system for measurement and communication, as well as intelligent controllers and other devices, is essential for the system to operate autonomously. A central controller manages the microgrid, which sits at the top of a hierarchical control system (Izquierdo-Monge et al., 2021).

Smart Buildings and Grid Features in City Energy System

29

Fig. 2 Smart grid example (Khanna et al., 2019)

Table 2 Smart grid technology facilities description

Features

Description

Advanced metering infrastructure (AMI)

Network infrastructure and smart meters to transport information from customers to the utility, as well as software to process the data received

Infrastructure for charging EV

Linking of electric vehicles to the grid for battery recharging and electric energy exchange with the system during peak hours (car is parked and not in use), as well as billing. Charging stations allow for unidirectional or bidirectional power transmission

Integration of ICT

The goal is to develop bidirectional communication in real-time for better management of energy

Integration of RESs and distributed generation (DG)

Expansion of the power system’s generation capacity via additional biomass energy sources, geothermal, photovoltaic (PV) arrays, wind farms, and so on

Management for distribution grid

To guarantee the optimum operation of equipment and to eliminate outages, this system combines automation and sensing technologies to continually sustain voltage levels, identify and pinpoint problems, regulate distributed energy resources (DERs), and change the topology of the grid

Systems on consumer’s side

Network sensors installation to monitor the consumption of power from air-conditioning, heating, lighting, and other home appliances, and the use of demand-response hardware are examples of automation systems to provide control on the consumer side

Transmission enhancement applications

Application of new technology to improve transmission network controllability, improve power transfer, reduce transmission losses, and reduce the risk of overloading

Wide area control and monitoring

For power system control, optimization, and monitoring across a vast geographic region, preventing power supply disturbances and outages, and easing the incorporation of renewable energy sources

2.4 Smart Meters The traditional technique of measuring electricity, which is widely used in most regions that utilize household power, is a variation of the mechanical meter, which necessitates a

great deal of manual labor in electricity bill measurement and generation for each user. The smart energy meter is one of the most important alternatives for enhancing the traditional energy meter system (Bhalaji & Vinayak, 2020). Smart metering has an imperative role in monitoring power

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N. K. Li et al.

Table 3 Differences between smart grid and conventional grid Smart grid

Conventional grid

Automated control

Manual control

Bi-directional

Unilateral

Digitized

Mechanically operated

Distributed generation

Centralized power generation

Dispersed

Radially connected

Fast response

Slow responsive actions

Highly monitored

Less monitoring capabilities

Many

Small number of sensors

Vulnerable to security issues

Less security issues

quality and the performance and energy usage of the grid loadings (Lee & Lai, 2009). The smart meter (SM) uses the client–server architecture to provide a restructured solution to the manpower-intensive energy meter while likewise providing an architecture that accurately measures electricity, thus making it an important component of any SB. The meter communicates wirelessly via wireless mesh networks. Between the SB and the utility network, the SM acts as an intermediary router (Khanna et al., 2019).

2.5 Smart Plugs When it comes to an effortless link of the utility to the end-user with correct energy consumption information, smart plugs can be an invaluable technology, resulting in higher cost savings for both sides, improved services, and increased energy savings (Suryadevara & Biswal, 2019).

Table 4 Commercially available smart plugs

Commercial smart plugs have a single or limited set of features depending on the manufacturer or brand. For the end-user, using various plugs to access multiple functions is complex and costly. It’s worth noting that available plugs that come with several capabilities are also likely to be pricey. The esthetic appeal of smart plugs is still valued more than their technological capabilities in the smart plug market (Suryadevara & Biswal, 2019).

2.6 Technologies for Smart Buildings Because of their ability to properly monitor energy usage, SBs are rising in popularity, and a huge number of apartments, offices, and university buildings are adapting by installing a Building Management System (BMS). The interaction of sensors, actuators, and other devices with automation capabilities has made this possible (Khanna et al., 2019). One of the various technologies or devices that can be utilized to automate a home at a reasonable cost is the Raspberry Pi as it is based on the IoT (Table 4). For this study, Raspberry Pi was chosen over Arduino for a variety of reasons (Ashraf et al., 2020; Mudaliar & Sivakumar, 2020). Also, there are many types of Raspberry Pi boards available, depending on the requirements. Thus, the hardware aspect of the Arduino board used can be quite complex as compared to using Raspberry Pi intended for the same energy monitoring system. The various features of Arduino and Raspberry Pi and their differences are concluded in Table 5. Moreover, choosing the best technology (wired or wireless) for interconnecting equipment and devices is the most

Device type

Technology

Control mechanism

Company

Cost (USD)

Advantages

Disadvantages

References

Wi-Fi smart plug

Wi-Fi

Smartphone application

TP-Link

35–50

Integrated with Amazon Alexa and Google Assistant

Energy monitoring reports not provided

Tp-Link, n. d.

Smart plug

Bluetooth

Smartphone application

Zuli

60

Precise and reliable sensing feature

Lower Definition

Richardson, n.d.

Mini smart plug

Wi-Fi

System application

WeMo (Belkin)

50– 100

WeMo app for energy usage monitoring

High cost

WEMO, n. d.

Wi-Fi smart plug

Wi-Fi

Smartphone application

D-Link

35–60

Automatic overheating protection

No Home Kit support causes lights to always be on

D-Link, n.d.

Smart Buildings and Grid Features in City Energy System Table 5 Arduino and Raspberry Pi features and differences

Features

Arduino

Raspberry Pi

Cost

Inexpensive

Expensive in comparison to Arduino

General

Microcontroller

Minicomputer

Internet

External hardware is needed to be connected and codes are required to address the hardware

Easily connected by using USB Wi-Fi and dongle Ethernet port

Libraries and sensors

Easy to interface sensors and other electronic components

Complex process of installation of software and libraries for interfacing sensors

Operating system

Arduino IDE

Raspbian (modified Debian)

Ports

Four USB ports for connection of several devices

Only one USB port for connection to a computer

Backup of power

Able to use battery packs as the current is low

Unable to use battery packs as they use high-current

Power on/off functions

Programs start to run when power is supplied and stop when disconnected (plug and play device)

Must be shut down properly to avoid corruption of files and software glitches

Processor

AVR family Atmega328P

ARM family

Program running capability

Only one program can be run at a time

Multiple programs can be run at a time

Programming language

C and C++

Python is required and pre-installed C, C++ Ruby are available

Storage

Storage on-board is available

Separate SD port is available (no storage on-board)

important selection. Each respective technology has its benefits, downsides, and limitations. Table 6 depicts the many technologies utilized in SBs to increase energy efficiency, with smart plug technology having the highest percentage of energy savings. The use of intelligent materials and ICT together enhances energy savings and is the most effective technique for improving total building efficiency (Benavente-Peces, 2019). As a result, connectivity is a crucial characteristic of SBs, as all of the installed elements, such as actuators, databases,

Table 6 Materials and smart technologies’ energy savings in buildings

31

information processing systems, electromechanical elements, sensors, and so forth, must be interconnected properly. All wireless technologies relevant to the IoT have been acknowledged as the most suited. Actuators, databases, intelligent data processing systems, metering devices, and sensors, must all be guaranteed interconnection (Benavente-Peces, 2019). There are numerous options for this goal, as indicated in Table 7, where the benefits and drawbacks of widely used technology are highlighted. In addition, Table 8 compares the most important elements of

Technology

System

Energy savings (%)

Variable speed control

HVAC

15–50 (pump/motor energy)

Smart ambient sensing

HVAC

5–10

Smart plug

Plug load

50–60

Advanced power strip

Plug load

25–50

Sensors, actuators smart control

Lighting

45

Web-based management

Lighting

20–30 (above controls savings)

Automated shade system

Window shading

21–38

Switchable film

Window shading

32–43

Smart glass

Window shading

20–30

Building automation system

Building automation

10–25 (whole building)

Cloud information-based

Analytics

5–10 (whole building)

32 Table 7 Advantages and disadvantages of well-established and widely used technologies

Table 8 Comparison of relevant features of wireless standards

N. K. Li et al. Pros

Cons

Bluetooth

• Available on mobile devices • Internet Protocol Version 6 (IPv6) based • Low energy

• Not mature • Star network • Short range

Wi-Fi

• • • •

Accessible on smartphones Good range IPv6 based Well-established standards

• Star network

ZigBee

• • • •

Good range Low energy Mesh network Well-established standards

• Not IP based • Not available on smartphones

THREAD

• Good range • IPv6 based • Low energy

• Not well-established as compared to ZigBee • Not available on mobile phones

Wireless standard

Energy efficiency

Frequency

Range

Data Rate

Cost

2G/3G

Low

Cellular bands

11 km

10 Mbps

High

6LoWPAN

Medium

SubGHz and 2.4 GHz

10– 100 m

20–250 kbps

Low

802.15.4: LR-WPAN

High

SubGHz

15 km

40,259 Kbps

Low

Bluetooth/BLE

High

2.4 GHz

100 m

1, 2, 3 Mbps

Low

LoRaWAN

High

SubGHz

10– 15 km

50 Kbps

Medium

Low-Power Wi-Fi

High

SubGHz, 2.4, 5 GHz

100 m

0.1–54 Mbps

Low

LTE Cat 01

High

Cellular bands

11 km

1–10 Mbps

Low

NB-IoT

Medium

Cellular bands

11 km

0.1–1 Mbps

High

SigFox

High

SubGHz

50 km

< 1 kbps

Medium

Thread

High

2.4 GHz

10–30 m

1, 2 Mbps

Medium

Weightless

High

SubGNz

13 km

0.1–24 Mbps

Low

WirelessHART

High

2.4 GHz

100 m

25 Kbps

Low

ZigBee

High

2.4 GHz

100 m

25 Kbps

Medium

Z-Wave

High

SubGHz

100 m

40 kbps

Medium

the major wireless communications standards, where undoubtedly Wi-Fi has the least drawbacks in comparison to the others. Wi-Fi is a wireless local area network (LAN) that utilizes 2.4 GHz radio waves to allow electronic devices to exchange data and connect to the internet. It features a high data transmission rate, a large coverage area, is wireless and has good anti-jamming capabilities (Wang et al., 2015).

2.7 Features of Smart Buildings Customization of intelligent structures to meet specific needs necessitates a certain level of contextual knowledge. This means that the state of the surroundings and the occupants is critical to the intelligent building’s operation (Daissaoui et al., 2020). Based on several studies, the SB’s important

Smart Buildings and Grid Features in City Energy System

properties and features are described and explained. They are categorized into five primary functions, which complement and synergistically work together with one another, and they constitute the macro-classes that outline the compulsory features that an SB must have. First is climate response. A building’s ability to adjust to expected and actual external climate conditions, based on which the appropriate operational profile must be determined. To cover their energy consumption, it is essential that buildings reduce their energy demand and produce renewable energy (Al Dakheel et al., 2020). The second is grid response. The action or reaction of buildings in response to grid information and signals, usually to maximize energy or economic efficiency at the city or district scale. For example, by grid overload reduction, energy consumption only when there is maximum availability thereof and the price is low, and so on SG (Hussain & Gao, 2018). Automated metering, communication networks and sensors, intelligent devices, and specialized processors are all required for DSM integration to be full (Al Dakheel et al., 2020). Third is user response. The ability of a building to allow technologies and users to interact in real-time between the user and the BEMS is to design optimal load operating schedules, and specify comfort settings to varied priorities (Geelen et al., 2013; Ponds et al., 2018). Fourth is real-time interaction. Actuators or sensors, an internet connection, and a direct link to the users are all components of engagement in real-time. Prediction in building automation was based on the gathering of real-time data about inhabitants and weather forecasts. The information gathered is utilized to generate real-time visualizations of user interaction, as well as to provide quick access to building status and building automation systems (Al Dakheel et al., 2020).

Fig. 3 Block diagram of the proposed smart monitoring system (Source The author)

33

Fifth is monitoring and supervision. The ability to monitor the operation of a building, specifically its technical systems and users’ behavior, in real-time; aids in easing efficient operation, such as identification of faults or unexpected behavior in real-time, predictive maintenance, and so on. As a result, the user’s position shifts from passive receiver to active participator (Al Dakheel et al., 2020).

3

Research Methodology

Energy monitoring and management are the primary functions of the suggested monitoring system. The suggested smart plug is designed intended for consumers to be more energy-aware and understand their usage patterns, while also allowing them to save costs. Furthermore, it will assist in detecting high-energy-consuming equipment or devices, prompting them to replace them with more energy-efficient alternatives.

3.1 Research Design The proposed system’s overall architecture is as illustrated in Fig. 3, which is designed with the intent of utilization within a building or household, and integration with the microgrid. The smart plug is designed to control and monitor appliances from a distance. This is beneficial in the event of malfunctions, defects, or weather surges, as consumers can use the smart plug to isolate individual appliances. It also displays the consumption of the appliance that is linked to it in real-time. A current sensor, voltage sensor, relay module, power converter, and microcontroller unit make up the smart plug. Multiple smart plugs can be connected to the

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monitoring program, which together make up the smart meter that will ultimately be connected to the microgrid. The Node microcontroller (MCU) unit aids in the data collecting and processing of smart plug data. Wi-Fi is selected as the mode of communication in the future prototype and the devices are linked to a real-time database, which aids in controlling and monitoring via a cross-platform application by using the NodeMCU. The Raspberry Pi’s function is to perform as a typical computer, with a keyboard, mouse, and monitor connected to carry out the necessary functions. A Raspberry Pi is the embedded system used as an IoT in this study, with its main purpose being data gathering and serving as an internet gateway to the cloud server.

Table 9 List of hardware electronic components proposed in this project with its technical data

Fig. 4 Flowchart of the overall smart monitoring system flow (Source The author)

3.2 Product Materials This section describes the proposed system in-depth, including its components and operating principles. Table 9 contains the complete list of components required for the proposed system. The hardware components were carefully selected, taking into account their cost, size, availability, and functionality. Sensor signal processing, IoT, and online monitoring or display on mobile applications are the three primary applications of sensors in the proposed smart power management system. The flowchart of the overall flow of the proposed system is shown in Fig. 4.

Component

Hardware specification

Purpose

Raspberry Pi

RPI 3 version B+

• Acts as webserver and data communication center • Synchronizes data to the cloud database and refreshes the information displayed on the smartphone application

NodeMCU

ESP8266

• Collects data from sensors and sends it to the cloud database

Power converter

Hi link HLK-PM01 5 V/3W

• Has a power rating of 3 watts and supplies 5 V direct current (DC) (from mains) from 120 to 230 V AC

Voltage sensor

ZMPT101B

Current sensor

ACS712

• Measures current and voltage continuously, then transmit this data to the NodeMCU via Wi-Fi

Relay module

Single channel 5 V relay module

• On/off control

Mobile smartphone/PC

–

• Displays data obtained in real-time from the sensors • Provides controls

Smart Buildings and Grid Features in City Energy System

3.2.1 Raspberry Pi Raspberry Pi (RPI) can accomplish fundamental activities that a fully-fledged low-end computer can execute with the very minimum of settings. The RPI processor is used to integrate all of the input and output peripherals, as well as to process and control the output modules. For connecting the output modules, the processor features four USB connections. Raspbian, a Linux-based operating system designed specifically for the RPI, is used to run it. Python is the programming language used to create RPI-based apps (Pamulaparthy & Jeevana Jyothi, 2020). The RPI is capable of performing all functions and processes, can connect to sensors, has the requisite General-purpose input/output (GPIOs), and does not require any additional modules. As a result, it is simple and compact

Fig. 5 Raspberry Pi 3 model B+ specifications (eTechnophiles, 2020)

35

when compared to other systems (Mudaliar & Sivakumar, 2020). The RPI model 3 version B+ (Fig. 5) can achieve the objectives as the IoT solutions can be implemented using an RPI. This version has a Cortex-A53 (ARMv8) 64-bit SoC clocked at 1.4 GHz overclocked to 1.54 GHz, Broadcom BCM2837B0, 1 GB of LPDDR2 SDRAM, and 2.4 GHz and 5 GHz IEEE 802.11.b/g/n/ac wireless LAN, making it suitable for a small numbered cluster as the component can act as a server (Bhalaji & Vinayak, 2020).

3.2.2 NodeMCU ESP8266 The NodeMCU ESP8266 (Fig. 6) is a low-cost, low-power embedded device. It has a Wi-Fi module embedded into the device, making it ideal for Internet of Things applications. All sensor data from the components can be transferred to a

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N. K. Li et al.

3.2.3 Power Converter The Hi Link HLK-PM01 5v/3w Switch Power Supply Module is a printed circuit board (PCB) mounted isolated switching step-down power supply module with a 5 V/3 W Switch Power Supply Module (Fig. 7a, b). It is an alternating current (AC) to DC converter that can provide 5 V DC from 120 to 230 V AC and has a 3-W power rating. These modules have low-power consumption, low-temperature rise, great efficiency, and high reliability. Fig. 6 NodeMCU ESP8266 specifications (Components101, 2020)

cloud database using the ESP8266. It also helps with component control and monitoring. Lua is the scripting language for the firmware. The firmware was written with the Espress if Non-OS SDK for ESP8266 and is based on the eLua project. Among the open-source programs it uses are lua-cjson and SPIFFS. Some of the GPIO lines on the processor chip are used for interfacing with other components of the SoC, such as flash memory. There are around 11 GPIO pins left for GPIO use. RX (receiver) and TX (transmitter) pins out of 11 GPIO are typically dedicated for communication with a host PC from which the constructed object code is downloaded. This module is charged, and data is sent to the board from the host using a USB cable.

a)

3.2.4 Voltage Sensor A high-precision ZMPT101B voltage transformer underpins the ZMPT101B AC single-phase voltage sensor module (Fig. 8). An open-source platform, such as Raspberry Pi, Arduino, or ESP8266, is a great way to test AC voltage. Many electrical projects necessitate engineers working directly with measurements that meet a few fundamental criteria, including great galvanic isolation, high precision, a wide range, and good consistency. For voltage and power measurements up to 250 V AC, it provides high accuracy and consistency (Abubakar et al., 2017). 3.2.5 Current Sensor Current sensors (ACS712) that are designed to work with microcontrollers like the Arduino (Fig. 9). The Allegro ACS712ELC chip is used in these sensors. Full-scale values of 5, 20, and 30 A can be handled by these current sensors.

b) Output inductor

Safety capacitor

Output capacitors

Optical feedback chip

Bridge rectifier

Circuit board

Fig. 7 a Hi Link HLK-PM01 5v/3w switch power supply module (ROBU, n.d.). b HLK-PM01 inside view (Performance Test of Power Mains to 5 V 0.6A Hi Link HLK-PM01 UK, 2021)

Smart Buildings and Grid Features in City Energy System

37

Fig. 8 ZMPT101B AC voltage sensor specifications (DNA Technology, n.d.)

Relays have a COM terminal that is connected to one of the AC terminals, and their normally closed terminal is attached to the plug point. A voltage of 12 AC is used to power the relay board. Relays are driven by the output pins of the ULN2803 and connected to the microcontroller’s digital output pins via its input pins. When the amount of energy used surpasses the predetermined threshold after interacting with the Raspberry Pi, the microcontroller’s digital output pin rises high, turning off the corresponding load’s relay module. Thus, to establish a dynamic tariff, efficient energy management must be provided (Das & Saikia, 2015).

3.3 Modern Tool Usage

Fig. 9 ACS712 current sensor (30 A) specifications (Ubuy, n.d.)

On a +5 V DC power source, the ACS712-30A, for example, can measure up to 30 A of current and has a 66 mV/A output sensitivity (Mnati et al., 2017).

3.2.6 Relay Module A relay is an electrically actuated switch that may be turned on or off to allow or prevent current flow and can be operated from the microcontroller to control high current loads. For example, an 8-channel relay board module (Fig. 10) can be utilized along with a Darlington transistor array (ULN2803) (Fig. 11). The number of load appliances that can be controlled by a relay module depends on the number of channels. An electromagnet is used to control a relay module, which is a type of electrical switch. A low-power pulse from a microcontroller is used to trigger the electromagnet. When the electromagnet is turned on, it pulls to open or close a circuit.

The MATLAB Simulink software was used to obtain preliminary results through simulation by running a basic model of a small-scale microgrid in the software to signify or predict how the proposed monitoring system may be integrated into the microgrid. Besides, The Arduino IDE software would be used for the programming of the NodeMCU. Furthermore, for programming development, debugging, and compilation, the proposed system employs Python IDE. Furthermore, cloud storage is utilized as a database in real-time. The smart plug would be linked to a real-time database, allowing users to monitor and control their devices using a cross-platform app. Many available clouds can be integrated into the proposed system, such as Firebase cloud (Li et al., 2018), Blynk Application (Durani et al., 2018), or ThingSpeak IoT platform (Parida et al., 2019).

3.4 Monitoring Program The appliances connected to the smart plug are monitored by the end-user via the cross-platform application. This application will be developed by a database that can be viewed on

38

N. K. Li et al.

Fig. 10 8-Channel relay board module (Components101, 2021)

any PC or smartphone. The active, apparent, and reactive power and power factor are calculated by employing Eqs. (3.3), (3.4), (3.5), and (3.6) respectively. Vrms is the voltage root mean square value (Eq. 3.1); Irms is the current intensity root mean square value (Eq. 3.2); P is the active power (Eq. 3.3); S is apparent power (Eq. 3.4); Q is reactive power (Eq. 3.5); and u is the power factor (Eq. 3.6). The flowchart of the algorithm to calculate the active, reactive, apparent power, and power factor is shown in Fig. 12. Figure 13 illustrates the flowchart of the method of how the variables measured are to be stored in the cloud database. First, information or data is obtained from the current and voltage sensors. If data is available, then the data will be used to calculate the important parameters by employing Eqs. (3.1)–(3.6) in the NodeMCU. Next, the calculated values will be sent to the cloud database to be stored and then to the Raspberry Pi to permit remote control. vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi u N 1 u1 X rms ¼ t V 2 ðnÞ ð3:1Þ N n¼0

I 2 ðnÞ

ð3:2Þ

N 1 1X VðnÞ
IðnÞ N n¼0

ð3:3Þ

Irms ¼

P¼

rffiffiffiffi ðN1Þ 1 X N

ðn¼0Þ

S ¼ Vrms
Irms Q¼

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi  S2  P2 

cosu ¼

P S

ð3:4Þ ð3:5Þ ð3:6Þ

3.5 Preliminary Results The results obtained from the pre-implementation of a microgrid system in a small-scale model were simulated using the MATLAB Simulink software. The sole aim of doing so is to analyze and observe the overall performance of the model to allow for a better understanding of how a

Smart Buildings and Grid Features in City Energy System

39

Fig. 11 8-Channel relay board module utilized along with a Darlington transistor array (ULN2803) (Having an 8-channels relay working with ULN2803A and 5 V—Raspberry Pi Forums, 2014)

Fig. 12 Flowchart of the algorithm to store variables

Start

Start

Data acquisition from current and voltage sensors

Data available

Data reading from input pin of voltage sensor

No

Yes

Calculations

Data reading from input pin of current sensor

Convert analog to digital value

Instantaneous voltage (V_Ratio)

Instantaneous current (I_Ratio)

Store data on Cloud database

Send data to Raspberry Pi

smart monitoring system as proposed in this study can be integrated into the microgrid. The proposed system as described in Sect. 3.2 is to be integrated or connected to the microgrid from the load at the green dotted box as shown in Fig. 14. A single-phase AC network powers the microgrid.

Fig. 13 Flowchart of the algorithm to calculate active, apparent, reactive power, and power factor

40

An electricity grid, a solar power-producing system, and a storage battery are all examples of energy sources. A battery controller regulates the charging and discharging of the storage battery. When the micro-network has excess energy, it absorbs it, and when the micro-network has a power shortage, it delivers additional power. Electric charges are consumed by three conventional households, which have a maximum electric charge of 2.5 kW. A transformer installed on a post connects the microarray to the power network, lowering the voltage from 6.6 kV to 200 V. Solar power generation and battery storage are both transformed to single-phase AC from DC power sources that are. The control technique presumes that the microarray does not fully rely on grid power and that solar power generation and storage are always sufficient. Figure 14 illustrates the behavior of a small-scale microgrid as a simplified model throughout a typical day of 24 h. To speed up the simulation, the model employs the Phasor solution from Specialized Power Systems (MathWorks, 2022a, 2022c). The simulation’s scope block (Fig. 15), which enables a graphical depiction of the model’s overall performance, is used to display the findings. The findings of this model, which comprise the power from the solar panel (Plot 1), the secondary power of the pole-mounted transformer (Plot 2), the power from the load (plot 3), the power of the battery (plot 4), the State of Charge (SOC) of the battery (plot 5), and the hour of the day (plot 6), were obtained using MATLAB Simulink (Fig. 16). From the simulation, the overall model can be described that the solar power

N. K. Li et al.

generated is 0 W from the 20th hour to the 4th hour due to insufficient irradiance from the lack of sunlight. It reaches its maximum output (5 kW) between the 14th and 15th hour when irradiance is at its maximum. Besides, the quantity of electric power load achieves peak consumption at the 9th hour (6500 W), 19th hour, and 22nd hour (7500 W) in a typical load change in ordinary households (MathWorks, 2022b). Furthermore, battery control is conducted by the battery controller from the 0 to the 12th hour and from the 18th to the 24th hour. The battery control performs current tracking management such that active power flowing into the system power from the pole transformer’s secondary side is set to zero. The active power of the pole-mounted transformer’s secondary side is then always around zero. When the microgrid’s power is insufficient, the storage battery provides insufficient current whereas it absorbs surplus current when the microgrid’s power exceeds the electric load. Battery control is not conducted between the 12th and 18th hours. The SOC of the storage battery does not change and remains constant because the battery controller does not command the storage battery to charge or discharge. The power system supplies insufficient power as soon as there is a shortage of power in the microgrid while surplus power in the microgrid is returned to the power system. The breaker turns off power load number 3 of a typical dwelling for 10 s at the 8th hour. The secondary side of the pole transformer’s active power and the storage battery’s electric power both show a surge or spike (MathWorks, 2022b).

Fig. 14 Simplified model of a small-scale microgrid in MATLAB Simulink software (Source The author)

Smart Buildings and Grid Features in City Energy System

41

Fig. 15 Scopes block of the simplified model of a small-scale microgrid in MATLAB Simulink software (Source The author)

Fig. 16 a Plot of PV power against time. b Plot of Secondary power against time. c Plot of load power against time. d Plot of battery power against time. e Plot of battery’s SoC against time. f Plot of the hour of the day

42

3.6 Prototype Implementation The hardware implementation of the proposed monitoring system will be integrated into a microgrid system of small-scale, which will include the necessary components such as a wind turbine, PV, and battery storage sources. The system assembled would be able to perform in grid-connected mode and islanding mode. From the PV, the DC output voltage will be converted into AC voltage by using an inverter before connecting it to the grid. Whereas for the wind turbine, the AC voltage will be rectified to DC voltage before getting converted back to AC voltage by using a bridge rectifier and inverter respectively. The battery storage will be connected to the bidirectional inverter to allow for battery charging and discharging. The loads connected to the grid system would be able to obtain power from the micro sources during islanding mode in cases of grid mode is unachievable, such as during power outages or when faults occur. The Raspberry Pi would be the central controller of the entire system. The vast majority of equipment in homes and businesses are powered using AC or are inductive loads, especially those that consume the most electricity compared to others (i.e., dishwashers, fans, toasters, refrigerators, etc.). As a result, the proposed system is designed for the monitoring of AC voltage and current of various appliances and devices. Additionally, it should be noted that the Analogue to Digital Converter’s (ADC) sampling rate should be at least twice as high as the frequency that the ADC will be used to measure. Utilizing the ADC allows the microcontroller to read and process analog signals, such as the voltage measured, by converting them into digital form. To properly sample the load during implementation, the appropriate sampling rate will be used. The authors intricately unveil the study’s findings, employing a critical approach while synthesizing the essential elements. This method of presentation not only underscores the revealed outcomes but also subjects them to a comprehensive assessment. By addressing potential limitations, contradictory observations, and underlying biases, the authors ensure a well-rounded interpretation of the results. Furthermore, a deeper exploration of the broader implications of these findings within the context of existing literature is provided, creating a coherent narrative that establishes connections between empirical evidence and theoretical foundations. Shifting towards theoretical implications, the study enriches and extends established frameworks, introducing innovative pathways for future research that could potentially reshape established viewpoints. This contribution enhances the understanding of the subject matter, offering fresh perspectives for scholarly

N. K. Li et al.

investigation. From a pragmatic perspective, the study’s managerial implications furnish valuable insights for decision-makers and practitioners. Grounded in empirical data and theoretical insights, these discoveries offer guidance for shaping effective strategies, policies, and real-world practices. As a result, the study not only propels academic discourse but also provides practical compasses for well-informed decision-making in the realm of smart cities.

4

Conclusion

The notion of smart cities has been of interest for the past decade, with researchers proposing it as the best answer for solving urbanization issues. Smartness is described here as the desire to improve the QoL of city dwellers from a variety of perspectives by leveraging ICT. Using ICT in city settings, on the other hand, does not imply that the city is smart (Hollands, 2008). There are several meanings for the term smart city, but the most common one defines it as the connected environment of ICT, social, business, and physical infrastructure for elevating and enriching the intelligence of the city by balancing the demand and supply of various functionalities. Cities consume 75–80% of global energy (Mohanty et al., 2016), resulting in 80% of total emissions of greenhouse gasses (Farmanbar et al., 2019). In this regard, the renewable nature of RES best meets the recent energy demands of sustainable SCs globally, despite the shortage of fossil energy sources and the growing city populations (de Jong et al., 2015). SGs, which are an upgraded version of existing “dumb” energy infrastructures, remain critical components of future designs of sustainable cities. They combine renewable and non-renewable energy resources, hence decreasing environmental issues. Meanwhile, they profit from decreased power costs and a consistent energy supply (Farmanbar et al., 2019). Traditional non-smart systems lack monitoring and real-time control, creating a difficult chance for SGs to act as a real-time resolution. In the circumstance of a smart city, the next generation of smart grids and energy systems can control the energy of buildings that are in the process of being modernized by connecting smart networks and buildings for efficient consumption and generation of energy. By utilizing available resources, the SG provides new services to residents of SHs and demonstrates significant potential in terms of economic and business value (Masera et al., 2018). However, there is still more work to be done due to technological, economic, and regulatory limitations (Farmanbar et al., 2019).

Smart Buildings and Grid Features in City Energy System Acknowledgements I would like to express my gratitude to my project supervisor, Dr. Mohammadmahdi Ariannejad, for his supportive guidance in completing this study. I am immensely appreciative of his kind supervision throughout the entire development of my project, for his valuable advice, enormous patience, continuous support, immense knowledge, and enthusiasm.I would like to appreciate the grant to support this research by:Xiamen University Malaysia Research Fund (Grant No: XMUMRF/2023-C12/IECE/0046).

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Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits Santina Di Salvo

Abstract

Keywords

The recent crisis due to the COVID-19 pandemic and the fight against climate change has had effects that have profoundly influenced the global distribution of resources, the ways of producing and doing business, the social structure, and individual and collective lifestyles. The need to share common spaces, the concept of mitigation, and the way of living in natural areas have become the subject of new research aimed at identifying a type of architecture that, in the near future, may be able to sustain itself to significantly reduce energy consumption, to be sustainable, more inclusive, and resilient. The design of green roofs has become a full-fledged interest in the landscape architecture discipline. The reason is that the exploitation of these structures is not limited to solving problems related to global warming or aestheticenvironmental issues in general. They are conceived to build hanging gardens or hanging parks above new or existing buildings in the service of the community. In this way, not only is the lack or insufficiency of green areas addressed, but one also benefits from advantages that vary according to the type, materials, and results to be obtained. This paper aims to analyze and spread knowledge of the main advantages of green roofs to demonstrate their relevance in the contemporary scenario and also provides a contribution through an interdisciplinary approach to the implementation of green roofs in urban landscape architecture for the significant benefits not only from the physical, environmental, and aesthetic point of view of the building but also from a social and inclusive one.

Green roof Resilience

S. Di Salvo (&) Department of Architecture and Engineering, Polis University, Tirana, Albania e-mail: [email protected]

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Community Environment




Sustainable landscape




Introduction

1.1 What Are Green Roofs? Since 1902, when it was introduced by Dr. Ebenezer Howard in his book Garden Cities of Tomorrow, the concept of “green roofs” has marked a continuous endeavor by researchers and professionals to refine urban living conditions and offer ecological advantages (Howard, 1965). These architectural components, also known as living roofs or vegetated roofs, involve the cultivation of vegetation on building roofs, providing the built environment with a natural and eco-conscious stratum. Hence, green roofs are explored as a crucial component of landscape design due to their potential to improve environmental benefits, strengthen community engagement, and enhance energy efficiency in the context of future smart cities (Fig. 1). Nowadays, more than ever before, implementing the green roof strategy is a good practice to address issues linked to optimizing insulation, energy efficiency, and environmental sustainability in urban areas. Green infrastructures serve as a platform for innovative experimentation and facilitate connections between ecological principles and urban planning across various levels and territorial scales. In regions characterized by dense urban development and substantial human-induced disruptions, green roofs offer an avenue for natural processes to unfold. By integrating structural, mechanical, thermal, agronomic, and drainage functions, a green roof covers all essential roofing requirements with multifaceted advantages, with positive outcomes for both the building and the surrounding environment.

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_4

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S. Di Salvo

Fig. 1 San Francisco. Green Roof at California Academy of Science (Source Flickr)

In Italy, the reference standard is UNI 11235, which defines the criteria for designing, executing, controlling, and maintaining continuous green roofs based on specific conditions of climatic context, building context, and intended use (Fiori, 2021). Technological progress has resulted in the availability of high-performance products for creating green roofs, a concept with a rich historical background. Tracing back to 600 BC in Babylon, we find the earliest evidence of extensive and grand hanging gardens. The Etruscans and Romans also adopted this practice to enhance funeral architecture. Subsequently, garden roofs gained ornamental significance and were featured in the villas of Roman emperors. In the era of climate change, green roofs have garnered increasing attention. Beginning in the 1970s and particularly over the last three decades, green roofs have emerged as a significant facet of sustainable urban development. Their economic and ecological advantages, combined with heightened awareness of environmental issues, have driven their widespread adoption. As a result, green roofs and rooftop gardens are now prevalent in many major cities worldwide, benefiting both the urban environment and residents. At the European level, countries with temperate climates, such as the Nordic nations, have a strong tradition and widespread use of green roofs. However, these technologies primarily established themselves in the construction sector during the 1980s in Germany. Research and development efforts led to the formulation of specific guidelines for green roofs (Calheiros & Stefanakis, 2021). Currently, vibrant markets for green roof products and services have flourished in countries like Germany, France, Austria, and Switzerland. In contrast, in Italy and other Mediterranean climate countries, the recognition of green roof technology's advantages is a relatively recent development. As a result, the market is still in the process of maturation and expansion. Internationally, notable experiences from cities such as Toronto,

Montreal, Chicago, and New York showcase unified solutions and technical measures for adapting to climate change (Fig. 1).

1.2 Current Scenario Currently, we are experiencing a particular time from an environmental point of view. The COVID-19 pandemic has shown us that cities are no longer just means of coexistence in a given stable scenario. Cities are a process of continuous adaptation to conditions of permanent instability (Melis et al., 2020). The interruption of travel between places, the need for a future city where distancing when necessary is possible, and the climate emergency have amplified the observations of his new concepts that adapt to the contemporary and raised new-found questions on how and where to design suspended green spaces that can offer a natural lung favoring cohesion and inclusiveness. Hashim Sarkis, curator of the Venice Biennale in 2021, also investigated the need for a spatial-relational renewal as the theme of his edition entitled How will we live together? (Sarkis et al., 2020). In the exhibition, 112 participants from 46 countries put forward their proposals on how we could best live together, considering that the planet faces crises that require global action but also a rethinking of living spaces in common. Architectures are found to respond to criteria of functional adaptability and to increasingly extreme and constantly changing conditions, which we could rarely predict a priori (Di Salvo, 2020). Starting from the considerations and reflections raised by the COVID-19 pandemic, it is now more than ever necessary to revolutionize the very concept of living in a place. A rethinking in the contemporary urban context of where to live, work, and spend free time in more safety, also considering the case of tragic events that could

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

no longer be exceptional, such as the case of pandemics. Rethinking new or existing buildings by providing green spaces on the roofs and flexible and shareable spaces has the dual purpose of protecting communities and taking care of the environment with tools that we have available and that we can control in the medium term through a multidisciplinary approach, in which different professionals collaborate to obtain lasting and sustainable results on many levels, addressing the issue on an environmental and social level.

2

Methodological Approach

The major goal of the study in this article is to investigate the contribution of green roofs to the broader concept of sustainable urban development. This involves understanding how green roofs can positively impact urban environments from an environmental, social, and economical point of view, according to a perspective of resilience. This contribution responds to the need to rethink common green spaces based on new social needs through a multidisciplinary scientific methodological approach since it addresses crucial contemporary issues on different levels, with the contribution of various fields of specialization such as architecture, biology, botany, anthropology, physics, economics, engineering, and technology. It is through collaboration with different professionals that it is possible to aim at a sustainable future for our urban landscape. We demonstrate that the vital role of the architect becomes that of a catalyst able to give life to new green spaces in urban contexts that arise from a symbiosis between nature and artifice that, inclusive and resilient to climate change, become meeting places that are self-generating independently of human will. Plants are a positive example of sustainable adaptation, developing proven, sustainable, and highly sophisticated solutions for billions of years to withstand harsh hygrothermal conditions (Kopnina, 2015). The contribution is structured into the following phases: – A literature review examining the role of green roofs in sustainable development. – An analysis of the diverse advantages of green roofs, encompassing environmental and typological aspects. This analysis starts with an exploration of the significance of green roofs and the respect for the site. – An in-depth analysis of the environmental and social issues considering typological aspects of the green roofs. – Case studies in order to show some best practices of integration of green roofs in urban landscape in the context of smarter cities. – A concluding phase entails providing a reference framework for designing green roof interventions, which

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accounts for ecological-environmental and aestheticsocial dimensions of sustainability on a comprehensive scale.

3

Literature Review

This section provides an overview of recent findings and trends related to research on green roofs, exploring their environmental, social, and economic impacts on urban landscapes. Many studies address issues concerning design innovations, best practices, and challenges related to the theme. The research conducted by Getter, K. L., and Rowe, D. B., on extensive green roofs provides significant insights into their positive environmental contributions and their effectiveness in mitigating urban heat island effects and stormwater management. Additionally, it highlights their potential for ecological benefits by supporting biodiversity and enhancing urban aesthetics, thereby contributing to the creation of a more sustainable and resilient built environment (Getter & Rowe, 2006; Mentens et al., 2006). While the study focuses on benefits, it could be necessary to explore challenges such as maintenance difficulties or potential regulatory obstacles and barriers associated with extensive green roof implementation. Vegetation systems are an increasingly adopted practice, representing an ecological and pragmatic solution for reducing air pollution. In fact, plants have the ability to clean the air as they absorb gases through their stomata, retain particulate matter on their leaves, decompose some organic compounds, and regulate microclimates (Castleton et al., 2010; Rowe, 2011). Actually, human health and well-being are inherently linked to the adoption of ecosystem services. Hence, the implementation of greening systems within urban settings yields a positive influence on both the environment and the physical health of individuals. With accessible greening systems fostering increased social engagement and physical vitality, they consequently contribute to the overall welfare of users. Research conducted in this domain suggests a promising impact in terms of disease prevention and potentially even life expectancy enhancement (Zhou & Parves Rana, 2012). A bibliometric study carried out in 2013 demonstrates the increasing attention given to research, adopting a multidisciplinary approach that includes both engineering and the natural sciences (Blank et al., 2013). One of the fundamental issues to consider is the substantial contribution of green roof research to supporting biodiversity conservation to mitigate the effects of urbanization on natural ecosystems and contribute to a more balanced and harmonious urban environment. Indeed, green roofs offer habitats, help species

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move through urban areas, support native plants and insects, and enhance human well-being by connecting people to nature (Catalano et al., 2016). The state-of-the-art review carried out by Berardi in 2014, delineates the typologies of intensive, extensive, and semi-intensive green roofs based on their characteristics, structural complexity, and function. It focuses on the environmental benefits, highlighting the role in mitigating urban heat islands, reducing energy consumption by providing insulation, managing stormwater effectively, and improving water quality. However, difficulties due to the widespread adoption of green roofs, such as initial installation costs, long-term maintenance requirements, and structural implications for building envelopes, should be further considered (Berardi et al., 2014). Researchers delve into the theme by conducting a comparison of different green roof types. This comparison highlights distinct characteristics, including structure, initial costs, installation procedures, and maintenance levels. (Wilkinson et al., 2015). Implementing the integration of greening systems with the building envelope embodies significant potential for regeneration, aesthetic pleasure, and economic support (Juric, 2016). An in-depth study of the structural implications of building with green roofs was undertaken by Vijayaraghavan K. through systematic comparison of relevant literature. Recognizing that the functioning of green roofs depends on the composition of the growing substrate, vegetation, and drainage layer, the review brings together the characteristics of each component, providing suggestions for pragmatic construction methodologies, pointing out prevailing gaps in knowledge of green roof technology, and supporting localized research efforts, particularly in developing and underdeveloped countries (Vijayaraghavan, 2016). The research conducted in 2016 focuses on the energy-saving potential of green roofs in existing buildings. It demonstrates that retrofitted green roofs can contribute to significant energy savings by reducing cooling loads in summer and heating demands in winter. The study primarily focuses on energy efficiency without exploring other dimensions of sustainability like social well-being (Castleton et al., 2010). Green roofs come in diverse configurations, each adapted to specific goals such as stormwater mitigation, urban heat reduction, improved urban biodiversity, noise abatement, and social advantages (Shafique et al., 2018). In addition to the environmental aspects, green roofs can also offer social benefits. Accessible rooftop green spaces improve the mental health and well-being of citizens by providing places to hang out and relax. These spaces can be used for urban agriculture, environmental education, and community promotion. Researchers. also discuss the evidence for psychological benefits, providing suggestions on design approaches to improve mental well-being and

S. Di Salvo

determining areas requiring further research investigation (Williams et al., 2019). Urban planning, construction technology, and maintenance are critical factors that need attention. On the other hand, government policies, financial incentives, and public awareness play an essential role in the widespread adoption of this solution. Liberalesso provides an overview of green roofs and green walls incentives at an international level. Specifically, the study examines incentive policies to encourage investment in green infrastructure in 113 cities in 19 countries, analyzing data on tax reductions, financing, permits, certifications, legal obligations, and streamlined processes. It is difficult to provide a complete picture of all the different types of green infrastructure incentive policies, especially as municipalities continuously change their environmental policies and adopt specific requirements according to their needs (Liberalesso et al., 2020). As cities continue to grow and environmental concerns intensify, green roofs present a nature-based solution, and their implementation could play a central role in creating more resilient and ecologically balanced urban landscapes. The contribution by Calheiros and Stefanakis (2021) provides an overview of how green roofs can be integrated into urban metabolism, promoting a shift toward circular and more resilient cities. The main strategy involves redefining the roles of stakeholders, decision-makers, businesses, educational institutions, research hubs, and community involvement to collectively enact effective change. The aim of the article is to underscore the importance of understanding social, economic, and environmental vulnerabilities, as these insights guide the formulation of contextually tailored resilience strategies. However, it is difficult to determine a systematic approach to provide quantitative insights into the cost–benefit dynamics of green roofs without overcoming current barriers. (Calheiros & Stefanakis, 2021). A recent study conducted by Zhang, G., and He, B. J. delves into this matter, highlighting the barriers that impact the adoption of green roofs: the absence of policies, technological readiness, and economic assessment. The recommendations involve political, technological, economic, and social dimensions. Adapted to stakeholders including planners, landlords, and government entities, the strategies aim to strengthen motivation and overcome barriers to the implementation of green roofs for urban sustainability and resilience (Zhang & He, 2021). In terms of future directions, citing the study conducted by Cucca et al. (2023) is crucial, as it delves in-depth into the correlation between green gentrification and urban development, with a focus on environmental enhancement. Specifically, it analyzes 212 articles from 1977 to 2021, revealing that this phenomenon, where environmental strategies displace vulnerable communities, has roots in the US environmental justice movement. Most studies focus on

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

urban parks and trees, with limited attention to nature-based solutions like green facades and roofs. Despite recognizing the issue, effective solutions remain lacking, though collaborative planning within affected communities is suggested. Overall, the study highlights the need for balanced urban design that considers both ecological sustainability and social equity (Cucca et al., 2023).

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Environmental Issues

The Significance of the Place One of the issues that emerged from the literature review in the conceptual phase of a project related to green roofs within the field of landscape architecture is the significance of respecting our territory, which entails an awareness of the specific locale. The consciousness of place stands out as a fundamental element for recognizing the inherent potential of reconstructing a territory impacted by the COVID-19 pandemic. This consciousness is a decisive factor in the processes of reconfiguring a place, as it shapes the relationship formed with local resources, influencing their utilization, forms, and methods of enhancement. Without a manifestation of this consciousness of place, capable of recognizing and guiding the local resources of the territory, we encounter dynamics of non-sustainable regeneration. The connection with nature serves as a predictor of human well-being and behavior, fostering an attitude of defense and care for the environment and the territory (Capaldi et al., 2014; Mackay & Schmitt, 2019). Through the core principles of place consciousness and connection with nature, the topic of green roofs is examined as an emblem of the pursuit of a novel relationship between humans and nature. This relationship evolves into the embodiment of contemporary architecture in a resilient urban setting. Roof structures constitute approximately 20– 25% of the horizontal surfaces in urban areas. In this context, green roofs emerge as a solution capable of expanding natural spaces within cities and enhancing the sustainability of buildings.

4.1 Heat Island Effect and Greenhouse Gas Increase The Microclimate Within High-Density Urban Areas Green roofs are the principal nature-based solution (NBS) among green infrastructure on buildings, providing a range of environmental, energy, social, and economic benefits for cities and increasing their resilience to climate change (Stern, 2019). From a technological point of view, a

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green roof is a horizontal vegetation cover system functionally integrated on the surface of a solar pavement. It can be designed to provide many ecosystem services for the environment and citizens and offset the effects of urbanization. Among the relevant functions of green roofs is their contribution to the mitigation of the phenomenon of heat islands in urbanized centers where the air temperature is often 3–5 °C higher than in nearby rural areas (Chen et al., 2022). By subtracting heat from the air through evapotranspiration, plants act as thermal insulators for buildings, reducing the energy required for both cooling and heating with consequent energy savings. Furthermore, the climate near the building and the temperature of the urban environment are affected by this beneficial effect. The temperature of green roofs can be 15–25 °C lower than that of conventional roofs, and, overall, the reduction of temperatures in the urban context can be up to 3 °C (Brenneisen, 2006). The number of tropical nights with minimum temperatures above 20 °C can be up to three times higher than in greener areas of the cities (Stern, 2019). This accumulation of heat in the urban environment depends on many factors, such as poor ventilation due to the presence of many buildings, the overbuilding of surfaces, emissions from cars and industrial plants, heating and refrigeration systems, and the lack of green areas. As a result, the rise in temperatures in cities leads to higher water and energy consumption, as well as significant challenges in waste management. These issues, combined with excessive urban traffic, collectively generate a notable negative impact on the city's ecosystem, ultimately reducing the overall quality of living (Koop et al., 2022). The issue is increasingly important if we consider that projections of the World Urbanization Prospects 2018 of the United Nations predicted that in 2050, emigration from rural to urban areas will lead on average 70% of the world population to live in urban areas. For Italy, the percentage reaches 80%. In this regard, the Ministry of Health, in the recent National Plan for the Prevention of the Effects of Heat on Health, stressed that a long-term structural program should include strategies to reduce the urban heat island effect or, more generally, draw models of cities suitable for emerging climate discomforts (Ministry of Health, 2019). One of the recognized mitigation measures to counteract this phenomenon is the implementation of green roofs and walls. For instance, Japan has formalized green roofs as a cutting-edge technology to be preferred in order to decrease UHI in urban centers (Speak et al., 2014) and promote sustainable buildings (Berardi et al., 2014). The New York City Council has approved a measure in its Climate Mobilization Act where the sustainability of cities has been defined as the obligation, starting in 2024, to create green roofs for all new buildings and to be renovated (Rodrigues, 2019). Other positive effects documented in the scientific

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Fig. 2 Diagram of building energy reduction in Kansas City (1999/2020). Data by United States Environmental Protection Agency

Fig. 3 Kansas City, green roof view (Source Unsplash)

literature concern the improvement of air quality with the absorption by the vegetation of polluting gases (CO2, VOCs, and particulates) harmful to human health and the environment (Baraldi et al., 2019; Cincinelli & Martellini, 2017). Another analysis of the case of green roofs installed in Kansas City, Missouri (USA), carried out for a period ranging between 1999 and 2020 (Fig. 2), highlighted a building energy reduction of 0.7% compared to conventional roofs, with a significant reduction in electrical peak demand and annual savings of $0.021 per m2 of roof area (Fig. 3) (Di Bonito et al., 2014). Green roofs also allow for mitigating the runoff of meteoric water, reducing its overflow from the sewer system during heavy rainfall and sudden water bombs. Green roofs in the Mediterranean climate can hold more than 60% of the rainfall volume (Fioretti et al., 2010).

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European project Clever Cities, funded by the Horizon 2020 research program, allows us to understand the types, construction techniques, and advantages of green roofs. The project, demonstrating innovative nature-based solutions in cities, has a duration of five years, from 2018 to 2023, and aims to promote and experiment with green infrastructure and innovative naturalistic solutions (NBS) in Milan (Mahmoud & Morello, 2018). Actually, Milan, along with London and Hamburg, is one of the frontrunner cities for the project. In Germany, since 2009, the German Federal Building Code has promoted green roofs, and already in 2011, more than 45% of German cities co-financed green roofs, with Berlin and Stuttgart teaching the same, while Hamburg has set itself the goal of planting at least 100 hectares of roofs in the coming years. In 2019, the government allocated 3 million euros of support for the construction of green roofs. In Paris, there is the Vegetalision la Ville program, which has set itself the goal of creating 20 hectares of green roofs and walls (Mutani & Todeschi, 2020). In Basel, green roofs have been built for twenty years, while in Sheffield, since 2005, thanks to the Green Roof Centre, about 25 thousand square meters of green surfaces have been built (Fig. 4). London now has 500,000 square meters of green roofs (Fig. 5) (Brenneisen, 2010). Copenhagen has included the Green Roofs Copenhagen Strategy as part of its Climate Change Adaptation Plan since 2009 (Fig. 6) (Köhler & Clements, 2012). Madrid, with the recent Madrid + Natural project, aims to transform itself into a green city (Fig. 7). It does so with the collaboration of the international studio Arup, which has developed guidelines containing numerous solutions to promote the presence of greenery in the city (Arup, 2022). Strength of the Vegetation Layer The thermal insulation capacity of vegetation is mainly due to evapotranspiration and albedo, but also to chlorophyll

European Panorama Many cities have adopted policies that encourage the development of green roofs through discount programs, tax incentives, or accelerated authorization programs. The

Fig. 4 Green roofs in Basel (Source Unsplash)

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

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photosynthesis and shading (development in space), which are specific properties of the species. With evapotranspiration, the water of the culture substrate is released into the atmosphere in the form of water vapor, both by direct evaporation and by transpiration through the stomata. The water vapor is formed by subtracting latent heat from the air, causing a lowering of its nearby temperature. The albedo, or reflectivity of solar radiation, corresponds to the fraction of solar radiation reflected in all directions concerning the incident radiation (min 0–max 1). Plants can absorb an average of 50% of the sunlight and reflect 30% of it. The surface of a roof or wall covered with greenery has a higher albedo than a traditional roof, which corresponds to a reduction in heat accumulation.

Fig. 5 Green roofs in London (Source Unsplash)

4.2 Types of Green Roofs and Benefits for Future Smart Cities

Fig. 6 Green roofs in Copenhagen (Source Wikiarquitectura)

The design of a green roof is site-specific as it depends on immaterial and material characteristics. By “immaterial”, we mean traditions and local materials marking the culture of a place, and by “material”, we intend both the climatic conditions and the techniques of the building or the slope of the roof, its accessibility, the structural capacity, and the use. Depending on the use, green roofs can be distinguished into two types: intensive and extensive, based on the thickness of the substrate, the level of maintenance, installation, and management costs, the type of vegetation, and the irrigation regime. Intensive green roofs are natural hanging gardens, walkable, and characterized by the high thickness of the substrate, which is more than 20 cm, a wide variety of plant essences to be planted, increased water retention capacity, and high installation and maintenance costs (Fig. 8). Extensive green roofs are not usable and are characterized by a reduced thickness of the substrate, which is usually less than 20 cm, which, for this reason, allows the planting of a reduced variety of species. The materials used in the stratigraphy of green roofs make them more or less efficient, depending on the main objective you want to achieve and the place where they are used. Basically, a green roof requires a minimum stratigraphy composed as follows:

Fig. 7 Green roofs in Madrid (Source Unsplash)

1. a high-quality waterproofing layer; 2. an anti-root system that does not allow the roots to develop further in depth;

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Fig. 8 Intensive green roof at Block 21 HDB Holland, Queenstown, Singapore (Source Unsplash)

3. a drainage system made of gravel material; 4. a filter fabric; 5. a plant growth medium (culture layer) that is as light as possible; 6. a layer of vegetation. The filter layer is typically a geotextile, also known as “non-woven fabric” (TNT), which is an artificial material with characteristics of resistance to temperature extremes, being water-repellent and soft, and being made of rot-proof

synthetic fibers (usually polyester and polypropylene). The geotextile prevents the soil particles that make up the top layer from penetrating deeply (Fig. 9). The choice of plant species and roofing materials impacts the heat absorption of buildings. Opting for reflective materials and heat-resistant vegetation contributes to mitigating the urban heat island effect, a concern in densely populated smart cities. Further, studies show that the use of IoT devices for data collection on green roof performance leads to data-driven maintenance smart practices (Tseng

Fig. 9 Stratigraphy of a green roof (according to Italian standard UNI 11235:2015, 2021)

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

et al., 2022). In fact, real-time monitoring of plant health, soil conditions, and other relevant factors enables optimized maintenance schedules, thereby extending the longevity of green roofs. Modular and Prefabricated Green Roof Systems Modular green roof systems that are pre-planted and easy to install can provide adaptability to various building types. Their rapid implementation aligns with the dynamic growth of smart cities, ensuring green spaces can be swiftly integrated into urban landscapes (Shushunova, 2021). Enhanced Shading and Naturally Improved Cooling Naturally acquired shading from plants functions as a physical shield against surface overheating. Moreover, through the reduction of surface temperatures and the provision of shade, green roofs reduce the energy requirements of the building, leading to a lower necessity for air conditioning. As a result, emissions from electricity production plants are appreciably reduced, especially when such installations are deployed extensively.

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of materials used for stratigraphy, the composition and depth of the substrate, the drainage methods, and the ability of the plant species used to evapotranspire and retain water. Rainwater harvesting systems integrated into green roofs collect and store rainwater for various non-potable uses within buildings. By managing stormwater runoff at the source, these systems alleviate strain on urban drainage infrastructure while promoting efficient water management (Akther et al., 2018). The flow of rainwater to the sewage system is consequently delayed. Some of the water is also dispersed by the plants through evaporation. These mechanisms help stabilize groundwater levels, reduce the impact of heavier rainfall (Campiotti et al., 2018) on the sewage system, and reduce the risk of flooding. The EPA has quantified that in US case studies, green roofs can effectively retain a significant portion of summer precipitation, albeit with a slightly reduced capacity of about 20% during the winter period (Mugnai, 2004). This influence is also observable across seasons and corresponds with typical rainfall patterns. Furthermore, the filtration effect of green roofs results in cleaner rainwater as they remove pollutants present in rainfall. Energy Generation and Harvesting

Air Purification A green roof significantly contributes to air purification by utilizing its vegetation. The plants on green roofs capture airborne particulates as they pass through leaves and plant tissues. This process involves photosynthesis, where plants harness incident solar radiation to generate energy while simultaneously absorbing CO2 from the atmosphere through their stomata, thus mitigating the greenhouse effect. This gas exchange mechanism involves all airborne constituents, including gaseous pollutants, which are metabolized by plants. Generally, trees and shrubs exhibit superior efficacy in removing contaminants compared to herbaceous species, primarily due to their greater foliage surface area. Consequently, intensive green roofs featuring tree and shrub vegetation prove more efficacious than their extensive counterparts (Ispra, 2012).

A green roof reduces the roof temperature values recorded on green roofs, which fluctuate between 25 and 30 °C, compared to the temperatures recorded on artificial waterproof materials, which fluctuate between 50 and 85 °C, from light synthetic surfaces to dark bituminous surfaces. On a cooler roof, PV systems work more efficiently (Di Salvo, 2015). Also, incorporating renewable energy sources into green roof designs contributes to the energy independence of smart cities. Solar panels integrated into green roofs generate clean energy while optimizing the use of available rooftop space. Furthermore, the incorporation of kinetic energy harvesting technologies in recreational areas exploits energy from human movement, adding another layer of sustainability. Reduction of Noise Pollution Inside and Outside the Building

Stormwater Management and Harvesting Numerous studies have underscored the hydrological and rainwater management benefits of green roofs. Their capacity to mitigate urban flooding risks and enhance water retention on rooftops reduces the likelihood of urban drainage systems being overwhelmed during significant rainfall events, consequently lowering the risk of system failure. A green roof can retain rainwater thanks to the natural absorption by plants and the water retention of the substrate and drainage layer, depending on the characteristics and type

A green roof presents a tangible solution for reducing noise pollution within and outside the building. Functioning as an effective acoustic barrier, it possesses the capability to absorb urban noise, thereby creating a quieter environment indoors and outdoors (Di Salvo, 2020). Prolonged Lifespan of Roof Cladding Green roofs have a protective function against the structural materials of the roof of the building, limiting their exposure

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to heat and ultraviolet radiation and agents harmful, in particular, to the bituminous membranes of traditional roofs. Protection of Biodiversity Additional significant advantages of green roofs revolve around safeguarding and nurturing plant and animal diversity. In the construction of green roofs, a variety of Sedum species are utilized, creating an optimal habitat for birds, microorganisms, and insects. This habitat is further enriched by incorporating herbaceous plants, grasses, and host vegetation. The resultant ecosystem offers an ideal sanctuary for birds, butterflies, and insects, particularly in urban environments marked by concrete and asphalt. This serves as an alternative haven, supporting the preservation of native flora and fauna (Brenneisen, 2006).

5

Social Issues

Other advantages of green roofs include an increase in the aesthetic and economic value of buildings and an improvement in the quality of life through the creation of green areas in cities where recreational activities can be carried out. There is a growing propensity to exploit local natural resources and self-production practices in cities. The principles of One Health and Environmental Justice (EJ) permeate, increasingly, human activities that cannot fail to consider the well-being of human beings intimately linked to that of other species and the planet (Parikh et al., 2022). The social and aesthetic benefits fall under the cultural provision, and green roofs offer refuges of peace and tranquility above traffic noise and immediate air pollution. Though most green roofs are privately owned, it is possible to create successful, larger elevated public parks that are closed at night and controlled in the same way as classical parks. Providing green space at the rooftop level creates opportunities for community cohesion and improvements in health and comfort.

5.1 The Community Garden. Case Studies The Community Gardens were born in New York in the 1970s as gathering spaces for neighbors who, closed in their small apartments, perhaps had never even met. The condominium areas and the roofs of New York skyscrapers then began to turn into beautiful meeting places, where collaboration between citizens became the means to socialize and raise awareness of the protection of nature in the city through the sharing of collectively cared-for places. The very important social value of these spaces has favored their diffusion initially in the big American metropolises and then

also in the European reality. In Rome, the non-profit association Linaria is very active and has been dealing with urban regeneration for years through participatory planning processes, involving, from time to time, associations, schools, and neighborhood committees to transform neglected or abandoned spaces into colorful and very popular community gardens (Linaria, 2022). The consociative relationships between different plants, the organization of vegetation systems, and the adaptation of some pioneer species are just some of the natural processes that, appropriately translated into human language, transform a community garden into a place of aggregation and regeneration that is not only urban. The green space, which regenerates, becomes a precious place of cultural exchange and social interaction at the service of the community. Taking advantage of green roofs to create community gardens, in addition to having social value, fosters an attitude toward conscious regeneration and sustainability through responsible involvement and participation in common social programs. Awareness of the importance of respect for nature would also be nourished through education in the use of ecological materials and care programs for the shared garden and the products of the earth (Di Salvo, 2018).

5.1.1 Tirana, Riverside: A Smart Project Urbanization presents both opportunities and challenges for modern cities, and Tirana, the capital of Albania, is no exception. As the city continues to evolve and grow, the need for sustainable, innovative urban planning becomes increasingly crucial. For several decades, the Municipality of Tirana has been working on how to make the city smarter and greener, introducing a new project to transform the roofs of private apartments into green areas (Zekaj & Delia, 2016). This project started some time ago on the rooftop of the Town Hall in order to involve private buildings, with the support of the Eco Movement, GEF, and Europol. In accordance with the government-approved Tirana Master Plan, a collaborative project with Stefano Boeri Architects has the aim of catalyzing significant investments in infrastructure and public services within the city of Tirana. This project, called Riverside, stands as a disruptive achievement as it introduces the first smart, eco-conscious, and completely self-sustaining energy district in Europe (Figs. 10 and 11). Its cultural-dimensional feature not only addresses the aftermath of the 2019 seismic events in Tirana but also effectively meets the post-Covid-19 health requirements and the evolving needs prompted by the ongoing climate crisis. At the core of this innovative project resides an array of meticulously conceived constituents, each converging to underscore its distinctive and forward-looking character. A central issue of the project is the extensive integration of green roofs, beyond the conventional notion of rooftops

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

Fig. 10 Rendering of the project of Tirana Riverside, © Stefano Boeri Architects

Fig. 11 Project of Tirana Riverside, © Stefano Boeri Architects

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manifesting as vibrant living places capable of accommodating diverse plant species. These green visions transcend mere visual appeal, as their significance extends to augmenting air quality, fostering biodiversity, and protecting a healthier urban environment. Further, the integration of green roofs with smart energy grids facilitates the sharing of excess energy generated through rooftop solar panels. This synergy enhances energy efficiency and supports the overall sustainability objectives of smart cities assumed by the entire project area. This approach not only enables the creation of a local energy grid but also provides citizens with the opportunity to access this sustainable energy resource (Dias, 2022). Concurrently, the River Side project designates areas for coworking and the efficient delivery of goods, attesting to its attunement to the evolving imperatives of contemporary urban life, where collaboration and logistical efficiency hold a certain importance. The project also embodies a comprehensive approach to recreational and leisure activities. The inclusion of sports facilities not only provides avenues for physical engagement but also encourages communal cohesion, cultivating a sense of solidarity among residents. Simultaneously, dedicated leisure spaces offer tranquil retreats for individuals to unwind, reconnect with nature, and find respite from the bustling urban environment. An especially prominent visual aspect of the project lies in the creation of hanging gardens. These suspended green sanctuaries blur the boundaries between architectural elements and the natural environment, offering an elevated experience that harmoniously blends aesthetics with functionality. Connectivity and accessibility are achieved through the integration of pedestrian bridges into the architectural design of the project. These bridges serve more than just their utilitarian purpose as conduits; they also emerge as hubs for interaction and social engagement. In doing so, they enhance societal harmony while facilitating efficient mobility. Recognizing the crucial importance of horticulture and urban farming, the River Side project designates specific zones dedicated to cultivating flora and progressing agrarian practices. This approach goes beyond enhancing the accessibility of fresh produce, demonstrating the project's dedication to sustainable practices and self-sufficiency. In summary, the River Side project is a fusion of nature and urbanity, a symphony of constituent elements that collectively redefine urban living. By integrating green roofs, coworking spaces, sports facilities, hanging gardens, pedestrian pathways, and horticultural areas, this initiative establishes new benchmarks for eco-conscious and community-oriented urban development, representing a catalyst for community involvement and social interaction in the context of a future smart city.

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5.1.2 Dakparken Anton and Gerard Strijp S in Eindhoven All of the aforementioned benefits can be described in a single exemplary case, representing a pioneering and multidisciplinary approach that demonstrates how landscape architecture can integrate natural and artificial components to the advantage of all stakeholders involved. This paradigm finds realization in the Netherlands, where Eindhoven has earned global recognition as a great example of a smart city. By strategically investing in human resources, Eindhoven has crafted an environment characterized by optimal social cohesion. This has resulted in a city where the benefits of its rich intellectual heritage influence its urban planning strategies. Within this context, two industrial buildings known as Anton and Gerard stand in the area on the former Philips industrial site Strijp S (Maldonado & Romein, 2013). The transformation of the rooftops of these structures into urban parks catering to inhabitants is integral to the site's redevelopment initiative, started in 2009. Landscape designer Buro Lubbers conceived the principal notion of cultivating an artificial landscape that emulates the natural one, thereby conforming to the specific characteristics of the site. Just as the architectural integrity of the two buildings acknowledges the interplay of old and new elements, preserving the vestiges of their industrial heritage during their transition from factories to residential structures, the design philosophy behind the rooftop gardens similarly embraces the site's inherent character. This approach takes into consideration the genius loci, ensuring a harmonious integration of the rooftop designs with the original environmental essence (Buchanan, 2013) (Fig. 12). The two parks, named after the siblings Anton and Gerard Philips, exhibit distinct technical and design approaches. Gerard's rooftop garden prominently features corten steel elements and birch trees, while a parallel structure in Anton's garden predominantly employs timber components (Fig. 13). 3). Flower beds populated by small to medium-sized plants and colorful blooms are intertwined with pathways and cozy rest spots in Anton's garden (Fig. 14a and b). This approach not only accentuates the identity of each park but is also a result of purpose-driven design decisions rather than purely aesthetic considerations. The formal aspects of these designs stem logically from their individual peculiarities, underscoring their uniqueness (Thehu et al., 2013). Throughout the design process, meticulous attention is given to particulars, management strategies, and the use of sustainable materials. In terms of environmental benefits, this approach presents some functional requirements. Among these is the implementation of smart irrigation systems, where sensor networks embedded within the green roofs continually monitor soil moisture, temperature, and humidity

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

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Fig. 12 Eindhoven, Above, Dakparken Anton. Below, Gerard at Strijp S in Eindhoven. © Buro Lubbers

blending its two distinct sections into a unified sensory expanse, a shared garden that protects and safeguards biodiversity, inclusive of both flora and fauna. In addressing microclimate impacts, the green roof takes on an additional role, evolving into a communal space where individuals collectively tend to the garden and its products. This collaborative effort can implement a heightened awareness of resilience and sustainability concerns. Fundamentally, the project signifies a harmonious fusion of design, practicality, and ecological responsibility. It serves as an exemplary good practice for safeguarding nature, encouraging communal connections, and improving ecological consciousness.

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Findings

Fig. 13 Eindhoven, Dakparken Gerard. © Buro Lubbers

levels. This data-driven approach allows for precise irrigation, optimizing water usage, and promoting plant health. By preventing overwatering, these systems conserve water resources and minimize waste. In summary, the project offers a comprehensive approach to various facets associated with rooftop gardens, including aesthetics, sensory experiences, and biological characteristics. The fusion of these aspects results in a distinctive kind of green roof that holds significant social value. This type of elevated vernacular garden represents a narrative journey,

Existing literature highlights the multifaceted nature of green roofs and their potential to transform urban spaces. Green roofs not only provide environmental benefits such as enhanced stormwater management, air quality improvement, and biodiversity promotion, but they also offer social advantages by creating communal spaces and promoting a sense of place. Moreover, these living systems contribute to energy efficiency through insulation and temperature regulation, leading to reduced energy consumption within buildings according to the broader goals of sustainable practices.

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Fig. 14 a, b Eindhoven, Views of Dakparken Anton. © Buro Lubbers

A pertinent aspect entails adopting long-term strategies for establishing green habitats on rooftops, given the imperative for our ecosystems to endure evolving environmental conditions. The need to challenge the current urban development paradigm by incorporating vertical gardens into buildings is increasing. The integration of green roofs within the urban landscape aligns with the objectives of ecological transition, advocating for the adoption of energy-saving techniques toward a more sustainable economy. Simultaneously, this integration can encourage social inclusivity and resilience. However, the issue of the integration of inclusivity and resilience into green roofs has received less attention, making this article a valuable contribution to the field. The article demonstrates that implementing green roofs is a practice that can enhance the resilience of these spaces in the context of future smart cities, with the described social benefits as follows: Community engagement: The implementation of smart green roof technologies fosters community engagement. Residents can actively participate in the monitoring and maintenance of green spaces, reinforcing a sense of ownership and pride in their surroundings. Aesthetic enhancement: Integrating green roofs not only improves the visual aesthetics of your surroundings but also provides a more inviting and relaxing urban environment. These spaces become community centers for relaxation, meetings, and recreational activities. Health and well-being: The presence of green spaces has been linked to improved mental health and well-being. Smart green roofs provide areas where residents can connect

with nature, relax, and engage in physical activities, improving their overall quality of life. Educational opportunities: Smart green roof technologies offer educational platforms. Schools and educational institutions can use these sites to teach students about sustainable practices, environmental monitoring, and the benefits of green infrastructure.

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Conclusion

The implementation of resilient green roofs within urban landscapes must originate from a transformative shift in our perspective based on the observation of context, nature, and society. A new aspect emerging from the perspective of future projects lies in their pragmatic approach, wherein envisioned architectures encourage the coexistence of spaces, nature, buildings, and people. This balance is reached through a continuous and multifaceted interplay involving tradition, respect for the genius loci, the natural environment, and sustainable technologies. This contribution meticulously examines the environmental and social benefits of green roofs by analyzing good practices and highlighting the essential role green roofs play in reshaping urban areas into more sustainable, livable, and resilient contexts. Compared to the unsustainable direction of the conventional city, which paradoxically holds the status of an exemplary habitat, a pressing need arises to formulate strategies that enhance the metabolic functionality of built environments. Social mechanisms underlying community involvement, such as participatory design and collaborative

Inclusive and Resilient Green Roofs in Landscape Design: Analysis of Environmental, Community, and Energy Benefits

decision-making, encouraging interaction among residents with a sense of community ownership, drive the integration of inclusivity into green roof projects for smarter cities. The findings of the article underscore the complex interconnections among environmental, community, and energy considerations. This study provides a foundational understanding for addressing upcoming challenges and supports future research and the formulation of policies aimed at safeguarding our territories and environments.

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Dias, H. (2022). Retrieved November 10, 2022, from https:// emergencia190.com/noticia/52993/novos-ecobairros-moradiatrabalho-e-cuidado-ambiental.html Di Bonito, R., Guiagnacovo, G., Biagiotti, D., & Colletta, R. (2014). Eco-sistemi vegetali per l’efficienza energetica e il risparmio di energia. Report Ricerca di Sistema Elettrico. RdS/PAR2013/141. Di Salvo, S (2015). Nanotechnology for photovoltaic cells and energy efficiency. International Journal of Engineering Research in Africa, 15, 11–17, Trans Tech Publications. Di Salvo, S. (2018). Advances in research for biomimetic materials. Advanced Materials Research, 1149, 28–40. Di Salvo, S. (2020) New technologies for adaptive architecture. In H. Bougdah, A. Versaci, A. Sotoca, F. Trapani, M. Migliore, & N. Clark (Eds.), Urban and Transit Planning. Advances in Science, Technology & Innovation (IEREK). Springer International Publishing. Fioretti, R., Palla, A., Lanza, L., & Principi, P. (2010). Green roof energy and water related performance in the Mediterranean climate. Building and Environment, 45, 1890–1904. Fiori, M. (2021). Tetti verdi UNI 11235:2015 una norma di progettazione. Modulo, 428, 84–88. Getter, K. L., & Rowe, D. B. (2006). The role of extensive green roofs in sustainable development. HortScience, 41(5), 1276–1285. Howard, E. (1965). Garden cities of to-morrow (Vol. 23). Mit Press. https://en.wikiarquitectura.com/building/amager-resource-centercopen-hill/arc-14-2/ https://unsplash.com/it/foto/photo-aerienne-darbres-a-feuilles-vertes-etde-batiments-th19OsUf3mE https://unsplash.com/it/s/foto/green-roof https://www.stefanoboeriarchitetti.net/project/tirana-riverside/ ISPRA. (2012). Verde Pensile: prestazioni di sistema e valore ecologico. Manuali e Linee Guida, 78, 3. Juric, M. (2016). The perception of advantages and disadvantages of green roof design in Riverside County, California. Köhler, M., & Clements, A. (2012). Green roofs, ecological functions. Encyclopedia of Sustainability Science and Technology, 4730– 4754. Koop, S. H., Grison, C., Eisenreich, S. J., Hofman, J., & van Leeuwen, K. (2022). Integrated water resources management in cities in the world: Global solutions. Sustainable Cities and Society, 86(104), 137. Kopnina, H. (2015). Sustainability in environmental education: New strategic thinking. Environment, Development and Sustainability, 17(5), 987–1002. Liberalesso, T., Cruz, C. O., Silva, C. M., & Manso, M. (2020). Green infrastructure and public policies: An international review of green roofs and green walls incentives. Land Use Policy, 96(104), 693. Linaria—Organizzazione non profit per la bio e la biblio diversità. (2022). http://www.linariarete.org/wp/ Mackay, C. M., & Schmitt, M. T. (2019). Do people who feel connected to nature do more to protect it? A Meta-Analysis. Journal of Environmental Psychology, 65(101), 323. Madrid + Natural − Arup. (2022). https://www.arup.com/perspectives/ publications/research/section/madrid-and-natural Mahmoud, I., & Morello, E. (2018). Co-creation pathway as a catalyst for implementing nature-based solution in Urban Regeneration Strategies Learning from CLEVER Cities framework and Milano as test-bed, 278, 204–210. Maldonado, A., & Romein, A. (2013). The reinvention of Eindhoven: From industrial town in decline to capital city of a technology and design region. In Arenilla & Séaz (Eds.), City futures in a globalising World (pp. 1–23). EURA. Melis, A., Lara Hernandez, J. A., & Thompson, J. R. (Eds.). (2020). Temporary appropriation of cities: Human spatialisation in public spaces and community resilience. Springer International Publishing.

60 Mentens, J., Raes, D., & Hermy, M. (2006). Green roofs as a tool for solving the rainwater runoff problem in the urbanized twenty-first century? Landscape and Urban Planning, 77(3), 217–226. Ministry of Health. (2019, July). Linee di indirizzo per la prevenzione. Ondate di calore e inquinamento atmosferico. Piano Nazionale di Prevenzione degli effetti del caldo sulla salute. Mugnai, S. (2004). Elementi di ecofisiologia vegetale. In A. Pardossi, L. Incrocci, P. Marzialetti. (Eds.), Uso razionale delle risorse nel florovivaismo: l’acqua. Quaderno ARSIA No. 5. Agenzia Regionale per lo Sviluppo e l’Innovazione nel Settore Agricolo-Forestale, Firenze. Mutani, G., & Todeschi, V. (2020). The effects of green roofs on outdoor thermal comfort, urban heat island mitigation and energy savings. Atmosphere, 11(2), 123. Parikh, T., Egendorf, S. P., Murray, I., Jamali, A., Yee, B., Lin, S., … & Kao-Kniffin, J. (2022). Greening the virtual smart city: Accelerating peer-to-peer learning in urban agriculture with virtual reality environments. Frontiers in Sustainable Cities, 3, 815, 937. Rodrigues, S. (2019). London living roofs walls report 2019. Retrieved November 10, 2022, from https://docs.google.com/viewerng/ viewer?url=https://zincogreenroof.co.uk/sites/default/files/2019-04/ London_Living_Roofs_Walls_Report_2019.pdf Rowe, D. B. (2011). Green roofs as a means of pollution abatement. Environmental Pollution, 159(8), 2100–2110. Sarkis, H., Salgueiro, R., & Kozlowski, G. (2020). The world as an architectural project. MIT Press. Shafique, M., Kim, R., & Rafiq, M. (2018). Green roof benefits, opportunities and challenges—A review. Renewable and Sustainable Energy Reviews, 90, 757–773. Shushunova, N. S., Korol, E. A., & Vatin, N. I. (2021). Modular green roofs for the sustainability of the built environment: The installation process. Sustainability, 13(24), 13,749. Speak, A. F., Rothwell, J. J., Lindley, S. J., & Smith, C. L. (2014). Metal and nutrient dynamics on an aged intensive green roof. Environmental Pollution, 184, 33–43. Stefano Boeri Architects,

S. Di Salvo website, doc online retrieved November 10, 2022, from https:// www.flickr.com/photos/27966213@N08/4524368799 Stern, M. (2019). Green roof and wall policy in North America. Pdf online retrieved November 10, 2022, from https://static1. squarespace.com/static/58e3eecf2994ca997dd56381/t/ 5d84dfc371cf0822bdf7dc29/1568989140101/Green_Roof_and_ Wall_Policy_in_North_America.pdf Thehu, K., De Feijter, C., & De Vries, M. (2013) Anton en Gerard pionieren op Strijp-S. In Dakegevel Groen. Retrieved November 10, 2022, https://www.vakbladdehovenier.nl/upload/artikelen/ dgg213strijps.pdf Tseng, K. H., Chung, M. Y., Chen, L. H., & Chou, L. A. (2022). A study of green roof and impact on the temperature of buildings using integrated IoT system. Scientific Reports, 12(1), 16,140. Vijayaraghavan, K. (2016). Green roofs: A critical review on the role of components, benefits, limitations and trends. Renewable and Sustainable Energy Reviews, 57, 740–752. Wilkinson, S., Lamond, J., Proverbs, D. G., Sharman, L., Heller, A., & Manion, J. (2015). Technical considerations in green roof retrofit for stormwater attenuation in the Central Business District. Structural Survey, 33(1), 36–51. Williams, K. J., Lee, K. E., Sargent, L., Johnson, K. A., Rayner, J., Farrell, C., … & Williams, N. S. (2019). Appraising the psychological benefits of green roofs for city residents and workers. Urban Forestry & Urban Greening, 44, 126,399. Zekaj, E., & Delia, F. (2016). The concept of “Green Roofs” in Tirana. In UBT International Conference (Vol. 63). Zhang, G., & He, B. J. (2021). Towards green roof implementation: Drivers, motivations, barriers and recommendations. Urban Forestry & Urban Greening, 58(126), 992. Zhou, X., & Parves Rana, M. (2012). Social benefits of urban green space: A conceptual framework of valuation and accessibility measurements. Management of Environmental Quality: an International Journal, 23(2), 173–189.

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic Nutthawut Ritmak, Varin Vongmanee, and Wanchai Rattanawong

correlations among SMCd in each aspect that affects the smart city building model with consideration on health core driving.

Abstract

While the present concept of a smart city mainly focuses on technology without considering health and sustainable development, the Coronavirus pandemic has reflected that health indeed affects the economy and society in all aspects even the leading smart cities with cutting-edge technologies were inevitably affected by the pandemic. Hence, the study on smart city core driving (SMCd) building after the pandemic with attention on health and sustainability is crucial. The purpose of this research is to present a new model of smart city highlighting health as a driver of development, integrating a health sustainability model suitable to the locality. The study used the Exploratory Factory Analysis (EFA) under the Factor Analysis (FA) method to find correlation among variables, which were explored and selected by Del-phi method (DM) conducted among multi-specialist fields while the model efficiency was conducted through the Confirmatory Factor Analysis (CFA) exploring correlation among variables from the cause-and-effect approach. The result shows that the statistical values are reliable, meeting all criteria with the CMIN/DF = 1.78, RMSEA = .04, GFI = .95, AGFI = .93, RMR = .06, NFI = .94, TLI = .97, CFI = .98, and IFI = .98 in compliance with well level. The analysis contributes to the findings of

N. Ritmak Faculty of Management Science, Phetchaburi Rajabhat University, 38 Village No. 8, Hat Chao Samran Road, Na Wung, Mueang, Phetchaburi, 76000, Thailand e-mail: [email protected] V. Vongmanee (&)
W. Rattanawong School of Engineering, University of the Thai Chamber of Commerce, 126/1 Vibhavadi Rangsit Road, Din Daeng Bangkok, 10400, Thailand e-mail: [email protected] W. Rattanawong e-mail: [email protected]

Keywords




Sustainability CFA SEM

1





Smart city Pandemics




Health Driven



EFA

Introduction

In the future, the world’s population could double to 60 million people by 2050. This can cause a drastic change which results in an increase in urban areas to provide enough space for the future population. It is impossible to avoid having risks and social problems. Therefore, city councils around the world need to strategize to solve the problems due to rapid expansion. The cities are likely to face environmental problems, such as air pollution, noise pollution, and ecosystem degradation, or social problems, such as contagious diseases, crimes, and accidents. Thus, good public administration is needed (Huisingh et al., 2015). The smart sustainable city (SSc) idea occurs when technology is integrated with services in a city. This idea aims to improve people’s life quality and protect the environment. When technology is integrated with sustainability, it is called ‘Smart sustainable city’ which has been popular since mid-2010. It has special characteristics, especially in developing countries. SMCd has changed according to development plans or solutions in each area. For example, the ‘National Informatization Strategies Based on the Internet of Things in 2004’ project is used to exchange data at the national level (Zhao et al., 2007). The ‘Smart Nation’ project or ‘iSapiens’ aims to improve traffic in cities, foster sustainability, and raise awareness. ‘Smart City Mission’ project in India aims to encourage the implementation of 100 clean cities to improve the citizens’ life quality by using advanced

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_5

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technology, together with Smart Solution and Smart City (Boes et al., 2016). However, the perfect SMCd idea cannot be driven by technology alone. It should also consider institutional and human aspects simultaneously. Due to the Coronavirus pandemic, it is evident that smart city potentially influences sustainability. In the future, it is important to study the main SCMd that are related to pandemic prevention and control measures. It is necessary to use technology together with humans to halt the spread of the virus (Yang & Chong, 2021). Nevertheless, some studies disagree with this idea in which the researchers found that the use of smart city’s three original core driving led to different ideas of sustainability in different areas. (Liu et al., 2022; Wang et al., 2020) suggest that technology and institutions have positive long-term impacts on a smart city’s sustainability, while the human dimension does not statistically have positive impacts. Due to the ambiguity of the SMCd, a question arises: how many core driving factor should be considered to be improved for a sustainable smart city after the pandemic? According to the history and the importance of the problems, this study aims to present a model for the new type of SMCd highlighting the health of development, integrating with sustainable development suitable to the locality. This model consists of four SMCd as technology, institution, human, and economic driving factors (ECDv), including health and 2 dimensions of sustainability development which are environmental and social. This could be beneficial to city developers and authority figures who make decisions on budget management and allocation at all levels. Moreover, this model could be used to guide and evaluate SMCd situations in order to plan for creating a sustainable smart city that is driven by health as well as future pandemic prevention. The concept of the modeling is shown in Fig. 1.

Fig. 1 Smart cities and sustainability connecting with health core driving. Source the author

N. Ritmak et al.

2

Literature Review

2.1 Smart City Definition There is no one specific meaning for a smart city; it depends on the characteristics of each region. However, it can be concluded that ‘Smart City’ is a city that uses technology to increase operational efficiency. It aims to satisfy residents’ needs and promote the balance between human activities and the environment (Cohen, 2012). This includes effective fundamental infrastructure, cultural diversity, and environmental preservation that attract residents and visitors (Aoun, 2013). These can be done by using technology which can result in better quality of life and sustainable development (Benamrou et al., 2016; Clarke, 2017). In order to create a living environment to promote smart health (Haque et al., 2022), there are 6 characteristics that are widely accepted: (1) Smart Economy, (2) Smart Mobility, (3) Smart Environment, (4) Smart People, (5) Smart Living, and (6) Smart Governance (Giffinger & Gudrun, 2010). There are 4 core driving the first as technology, which consists of physical infrastructure, smart technologies, and digital networks, the second as human, which consists of human infrastructure and social capital, the third is institution, which consists of governance, policy and regulations/directives (Manville et al., 2014) and the fourth as economic.

2.2 Smart City Core Driving According to the meaning of smart city, it is frequently found that using technology helps to improve quality of life. SMCd in the first era suggests that technology is one of the

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic

driving factors. Then, academicians argue that advanced technology does not translate to raising living standards if humans lack knowledge and understanding. Therefore, improving residents’ skills is important for driving a smart city, which is called human. Subsequently, some opine that technology has pros and cons in which institution is needed as a driving factor. (Vasuaninchita et al., 2018, 2019, 2020) suggest SMCd with sustainability based on the idea that smart cities must be economic to foster economic development because the economy is a fundamental factor of wellness and quality of life improvement. After reviewing past studies, it was found that (Kummitha & Crutzen, 2017) collected SM-related studies between 1999 to 2016 from 211 reliable sources. They found that most of the studies are descriptive and focus on technology, human and institution. However, these studies lack statistical accuracy. (Vasuaninchita et al., 2020) reviewed smart city related past studies based on 36 reliable sources and found that these descriptive studies were mainly conducted at the national level, with only a few that studied at the local level, and focus on smart city's three original core driving which are ranked by the level of importance: human, technology, and institution, respectively. Evidently, these past studies paid little attention to SMCd with health. Therefore, this study focuses on health which is an important driving factor. The pandemic illustrates this importance by showing that ignoring health factors affects smart cities and sustainable development in all aspects of core driving because the health dimension influences the city’s stability, quality of life improvement, and work efficiency that is related to economic development. Thus, health should be separated from social sustainability, and this could be the key SMCd after the pandemic.

3

Methodology

3.1 Establishing the Research Variable 3.1.1 Variable Selection The selection of Indicators and variables in this research was started by literature review also International standard organizations: ISO 37120, ISO 37122, ISO 37123 (International Organization for Standardization, 2018a, 2018b, 2019) and U4SSC (The United for Smart Sustainable Cities: U4SSC, 2017) by focusing on health issue in the smart city there are 17 Indicators while, the group of health sustainable variables were used from (Ritmak et al., 2023a, 2023b) consist of 45 indicators 15 factors 4 dimension show as Table 2.

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3.1.2 Variable Improvement • Establishing specialist panel There is an academician who recommends the study that using specialists as a sample should have 7–8 participants at least (Sourani & Sohail, 2015) whereas, the city design usually implicated with multiple fields Consequently, there is a need to use various specialists. Purposive sampling was applied to ensure that the qualifications of the participants met the research’s criteria. there are 18 participants Consisting of 5 medical doctors professional level, 2 public health academician professional level, 2 officers professional level from the fiscal policy ministry of Finance, 2 officers professional level from the Ministry of social development and human security, 1 academician about city architecture, 1 officer professional level from digital economy promotion agency, and 2 professionals of environment also, 3 academicians of sustainability. • Consensus indicators All indicators were proved by specialists from each field with the Item-Objective Congruence (IOC) form to validate the indicators that were selected, it’s fit with the research objective, by (1 = inappropriate) (0 = uncertainly) (+1 = appropriate) Each indicator must be close to 1, and the minimum value must be  0.05 or higher, but if minimum value is 0.05, item adjustment or elimination is needed (Rovinelli & Hambleton, 1976). • After that the rest indicators were used to build a research instrument as a questionnaire in the Del-phi method used for the specialist final consensus by the (Likert, 1932) 5-point scale (5 = very important to 1 = least important), provided that halting study when expert consensus is consistent by, The statistical tests as follows: Median (MD)  4 ‘highly important’ (Horner et al., 2009). The Interquartile Range (IQR)  1 and Standard Deviation (SD) < 1(Geist, 2010). Kendall's W (KW)  0.5 is used to test the degree of consensus in answering questions (Kendall & Smith, 1939).

3.2 Data Preparation for Structural Equation Model 3.2.1 Research Instrument Design and Reliability Test The rest indicators from the consensus indicators process that was grouped into variables and Dimension by specialist. the research instrument in this step is a 5-point scale questionnaire it was built from variables in factors level moreover

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before applying the instrument it was try out the questionnaires (40 questionnaires) to test reliability, Cronbach's Alpha (C.A.) must be  0.8 or higher (Tavakol & Dennick, 2011).

0.7 the EFA was permitted to analysis after the test meet the criteria if not, should not use the technique (Dragan & Topolšek, 2014).

3.2.2 Determined Sample Size and Collecting Data The e-questionnaires were sent to the samples. the largest number of samples is determined using a 95% Confidence interval as to (Yamane, 1973)’s sample size Table shows 400 sample size, and the Snowball Sampling method was applied to collecting data. By letting the first group of samples (specialists) refer and nominate similar individuals who are qualified and suitable to complete the questionnaire.

3.4 Structural Equation Model: SEM SEM is a statistical analysis technique that simultaneously encompasses multivariate analysis techniques, focusing on examining the modification of the theoretical model (Anderson & Gerbing, 1988), and the main goal of using SEM is to test the hypothesis through a causal relationship line (Lei & Wu, 2007) also integrating the different models become to the new model. In this research, SEM was used for combining two models as the smart city core-driven model Integrated with the health sustainability model.

3.3 Factors Analysis: FA FA is technique that consists by two methods as follow, the Exploratory Factor Analysis (EFA) method is suited to determine the structural relationship between variables to reduce the number of variables by combining them into new variables, the second Confirmatory Factor Analysis (CFA) method is suited to conduct and to confirm the theoretical variable relationship, and to check the hypothetical model fit with the empirical data.

3.3.1 Check the Suitability of Data for Factor Analysis The process was checked by the criteria as follows, The data should be a scale type also have normal distribution when put into testing for the suitability of the FA with a statistical program, the Kaiser–Meyer–Olkin test (KMO), should be Table 1 Model fit test index criteria

3.4.1 Confirmatory Factor Analysis (CFA) The variables from EFA result were used in CFA procedure to confirm the variable relationship between two models, by adjusting the model, the model fit test followed the criteria as the Table 1 after that the hypothetical model will be tested. Before moving toward the structural equation writing. 3.4.2 Model Validity and Reliability Test The final procedure of modeling After completing the CFA, was to verify the reliability with four values the first is convergent validity of the model with Composite Reliability (C.R.) to test the accuracy of latent variables. should be  0.7 and more than the value of AVE, the second is The Average Variance Extracted (AVE), which should be more than 0.5, the third is Cronbach’s Alpha, which measures the internal consistency of the variables, should be more than

Index

Recommended value

Type

References

RMSEA

 0.05 well  0.05–0.08 moderate  0.8 low-quality

Absolute fit

Schumacker and Lomax (2004)

AGFI

 0.90 well

2

ðv =df Þ CMIN/DF

 3 well  5 obtainable

GFI

 0.95 well  0.90 passable

RMR

Close to 0

NFI

 0.95 well  0.90 passable

CFI TLI

 0.95 well  0.80 passable

IFI

 0.90 well

Dragan and Topolšek (2014)

Incremental fit

Bollen and Long (1993)

P

 0.05 significant

–

CMIN (v2 ) (Chi-square)

0

–

DF

–

–

–

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic

0.7. and, the fourth is maximum shared variance (MSV) was tested on the relations between latent variables should be less than the value of AVE (Ritmak et al., 2023b).

3.4.3 Hypothesis Testing Since the factors analysis is the testing of factor interrelation of model. This research hypothesis is based on theory and analytic research that assumes that the interrelationship between selected factors may signify and affect to the performance of specific research. The research hypothesis was set as below to prove the robustness of the model. • Null Hypothesis: H0 = There is ‘no statistically significant interrelationship’ between variables affecting the performance of the Model. • Alternate Hypothesis: H1 = There may be a ‘statistically significant interrelationship’ between variables affecting the performance of the Model.

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4.1.2 Institutional Driving Factor Reflects organizations or governments that are established to drive the smart city forward. This includes two factors as follows: – Governance is a means to govern and manage businesses equally. Moreover, it also means good governance to promote transparency, convenience, and interests among stakeholders, consisting of two indicators; VR53-VR54. – Policy is a purposeful action that is done by governments, individuals, or groups to foster social improvement and solve social problems, according to the goals, consisting of three indicators VR55-VR57.

4.1.3 Human Driving Factor Reflects valuable individuals who are capable of imparting and creating new knowledge to put forward the smart city idea, it has one factor which is social capital consisting of five indicators; VR58-VR62.

The conceptual framework is shown in Fig. 2.

4.2 Factor Analysis Results

4

Result

4.1 The Set of Variables of Smart City Core-Driven Model from Del-Phi Method The results of the Del-phi method analysis were summarized in Table 3 found that the 18 specialists had a consensuses on all 17 indicators overall, IQR = 0.80, S.D. = 0.56, and M. D. = 4.3, and on each variable, Hence, it can be interpreted that the specialists had a consensus on consistency, with all indicators of high significance when KW = 0.30 < 0.50.

4.1.1 Technology Driving Factor Reflects fundamental technology that is the key to a smart city based on the definition, ‘Smart city is the city that is driven by technology. It aims to improve life quality of the residents.’ It has two factors as follows: – Smart technology is automated technology. It can be installed by commands. For instance, tracking/detection system or error-detection alert system that is controlled by Bluetooth, LTE, Wi-Fi, etc., consisting of four indicators; VR46-VR49. – Digital networks are digital technology that functions as a signal sender which allows digital switching, voice, video, and data sending, and other networking that allow every platform to have an ability to connect, consisting of three indicators; VR50-VR52.

After the variables improvement process, we made the research instrument again its questionnaire by using variables in factor level, hence before using the instrument we checked, the reliability of the instrument with a Pilot test from 40 sample size, it was found that C.A. was 0.95, indicating that the instrument and variables used in the research meet the criteria, therefore distributed the questionnaire to research sample found that the number of respondents is 442, Show that 239 people possessing a master degree, 119 people a bachelor degree, and the other 84 people a doctoral degree. Regarding workplaces, 256 people work in government agencies, 150 people work in private agencies, 27 people in state enterprises, and the last 9 people in other sectors. From the experience perspective, 159 people work in relation to public health agency, 155 people in environmental agency, 88 people in economic agency and 27 people in social development agency, and 13 people in smart city and city planning agency. Next, the process KMO & Bartlet’s Test (BT) was verified with the results showing the KMO of 0.94 and BT of 0.00, implying that all variables were highly appropriate for factor analysis. With the result of the confidence and suitability test, EFA was conducted with factor extraction under Principal Component Analysis (PCA). The number of factors was defined based on eigenvalue above 1 where factor rotation was performed under the Varimax method. The results presented the commonalities value and factor loading

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Table 2 The set of variables of the health sustainability model Dimension

Factor

Indicator

Unit

CODE

Health

Health Status: HS

Life expectancy

Year

VR01

Communicable Disease Control: CDC

Non-communicable Disease Control: NCDs

Health resource: HR

Environment

Social

Environment Risk Management: ERM

%

VR02

Number of deaths (rate)

1K

VR03

Infant mortality livebirth (rate)

1K

VR04

Suicide mortality (rate)

100K

VR05

HIV/AIDS mortality (rates)

100K

VR06

Tuberculosis: TB mortality (rates)

100K

VR07

Pneumonia mortality (rates)

100K

VR08

Diarrhea mortality (rates)

100K

VR09

Cancer mortality (rates)

100K

VR10

Stroke mortality (rate)

100K

VR11

Ischemic heart disease: IHD Mortality (rate)

100K

VR12

Diabetes mellitus mortality (rate)

100K

VR13

Chronic obstructive pulmonary disease: COPD mortality (rate)

100K

VR14

Chronic kidney disease: CKD mortality (rate)

100K

VR15

Physicians (rate)

100K

VR16

Hospital beds (rate)

100K

VR17

Nursing and midwifery personnel (rate)

100K

VR18

Psychiatric physicians (rate)

100K

VR19

Total Health worker (rate)

100K

VR20

Ambulance (rate)

100K

VR21

Electronic Medical Records

%

VR22

Environmental risk Management

%

VR23

Air pollution management: APM

Average of AQI Index

Index

VR24

Protected Natural Areas: PNA

Forest area rate

%

VR25

Water management: WM

Water Management Index: WMI

Index

VR26

Health Service Standard: HSS

Health resource management: HRM

%

VR27

Social Security: SS

Health Promotion: HP

Economic

Low-birth-weight newborns

Transparency in public health

%

VR28

Green & Clean hospital administration

%

VR29

Management of public health crises

%

VR30

Community hospital quality

%

VR31

Control of acute infectious diseases

%

VR32

Smoking mortality (rate)

100K

VR33

Alcohol drinking mortality (rate)

100K

VR34

Traffic accident mortality (rate)

100K

VR35

Crime mortality (rate)

%

VR36

Universal Health Coverage Service

%

VR37

Desirable health behaviors

%

VR38

Obesity (BMI > 30.0 kg/m2)

%

VR39

Management of Glycemic control

%

VR40

Management of Blood pressure control

%

VR41

City's employment: CEM

Unemployment rate

%

VR42

Poverty Reduction: PR

Population living in poverty

%

VR43

Household debt: HHD

Household debt per income ratio

%

VR44

Economic growth: ECG

Gross Provincial Product: growth rate

%

VR45

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic

67

Fig. 2 Conceptual framework. Source the author

of all variables above 0.50, demonstrating that all variables were appropriate for FA and corresponding with the variables derived from the opinion of 18 specialists as presented in Tables 2 and 3. The CFA result is presented in Table 4.

larger the sample size, the greater the v2 is. According to (Bollen & Long, 1993) guidance, when CMIN/DF was less than 3, CMIN/DF would be considered as a substitute v2 for the test of model fit.

4.3 Confirmatory Factor Analysis

4.4 Validity and Reliability in the SSCHM Analysis

The analysis in Table 4 presents all factors in CFA that were statistically significant at P***, in accordance with the grouping under EFA with the critical ratio (C.r.) equaled to or above 1. Because the value was greater than the expected minimum value, the factors were deemed appropriate to constitute dimensions. Subsequently, the researchers tested the model appropriateness with two statistical values as presented in Table 1. The first group of statistical values or absolute fit indices comprised of CMIN/DF = 1.78, demonstrating that the model fit with the empirical data, with RMSEA = 0.43, GFI = 0.95, AGFI = 0.93 and RMR = 0.06 showing that the tests were of satisfactory level. Regarding the second group, Incremental fit indices comprised of NFI = 0.94, CFI = 0.98, TLI = 0.97, and IFI = 0.98. As a result, all statistical values for the second group were also of the satisfactory level, except for NFI, which was of the passable level. In conclusion, the model fit with the empirical data regardless of the Chi-square (P) at 0.00 (not significant) because the v2 caused by the sample size. The

From Table 5 researchers conducted a study on the model structure by considering it found that all factors also dimensions of the SSCHM were confirmed to meet the validity and reliability criteria; hence the structural model is illustrated in Fig. 3.

4.5 Structural Model: SM The above structural model presents a structural relationship as required to test the hypothesis for the full structural model, as shown in Fig. 3. The following assumptions are drawn as a conclusion from the literature review on smart city driving factors, health sustainability model, consisting of an assumption as follows: H1: SSCHM structural model is consistent with empirical evidence (Accepted)

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N. Ritmak et al.

Table 3 The set of variables of the smart city core-driven model Dimension

Factor

Indicator

Unit

IQR

M.D

S.D

CODE

Technology

Smart technologies: STC

Sensor & monitoring system

km2

1

4

0.63

VR46

Digital networks: DNW

Institution

Governance: GVN Policy: PLC

Human

Social capital: SCT

Real-time public alert systems

%

1

4

0.63

VR47

Digital surveillance cameras

%

1

4

0.67

VR48

Electronic Health Records

%

0

4

0.47

VR49

Household Internet Access

%

1

4

0.50

VR50

Wireless Broadband Coverage

%

0

5

0.31

VR51

Availability of WIFI in Public Areas

%

1

4

0.67

VR52

Open data access

%

1

4

0.50

VR53

e-Government access

%

1

5

0.50

VR54

ICT Investment per GDP

%

0

5

0.00

VR55

R&D Expenditure per GDP

%

1

4

0.67

VR56

Cultural Expenditure per GDP

%

1

4

0.63

VR57

Student ICT access

%

1

4

0.50

VR58

Hight education degree

100K

1

4

0.50

VR59

School Enrollment

%

1

4

0.50

VR60

ICT sector employment

%

0.50

5

0.42

VR61

Education & Research sector employment

%

1

5

0.50

VR62

0.80

4.31

0.56

62

Summary

Note

Kendall's Coefficient of Concordance: KW

0.30

Level of significance

0.00

N: number

18

1 K = Per 1000 Population

H0: SSCHM structural model is not consistent with empirical evidence Figure 3 demonstrates that in SSCHM there are six dimensions, twenty factors, and sixty-two indicators. It was found that all aspects are consistent with specialists’ consensus, except social capital: SCT from human diving factors of smart city core driving factor. As it had a positive relationship with social driving factors of sustainability, it was categorized in the same dimension as social and human dimensions. Therefore, it can be appropriate to be the new model of smart city idea called ‘SSCHM’ which lead to Sustainable smart city after the pandemic. The SSCHM can be ranked from most significant to least significant as follows: (1) HEDv, the key factor is health resource (2) ECDv, the key factor is economic growth (3) INDv and TNDv are equally significant, and the key factor is policy and digital network (4) ENDv, the key factor is environment risk management (5) HSDv, the key factor is health service standard, respectively. Thus, H1 is accepted. The hypothesis testing can be summarized as a structural equation as shown in Fig. 3 as follows:

SSCHM ¼ 0:85 HEDvHe þ 0:84ECDvEC þ 0:75INDvIn þ 0:70 TEDvTe þ 0:67ENDvEn þ 0:66SODvSc HEDvHe ¼ 0:76vhe1 þ 0:73vhe2 þ 0:79vhe3 þ 0:78vhe4 þ ehe ehe ¼ ehe1 þ ehe2 þ ehe3 þ ehe4 ECDvEC ¼ 0:79vec1 þ 0:83vec2 þ 0:75vec3 þ 0:78vvec4 þ eec eec ¼ eec1 þ eec2 þ eec3 þ eec4

INDvIn ¼ 0:95vin1 þ 0:83vin2 þ ein ein ¼ ein1 þ ein2 TEDvTe ¼ 0:92vte1 þ 0:91vte2 þ eec eec ¼ ete1 þ ete2 ENDvEn ¼ 0:62ven1 þ 0:73ven2 þ 0:64ven3 þ 0:67ven4 þ een een ¼ een1 þ een2 þ een3 þ een4 SODvSo ¼ 0:81vso1 þ 0:64vso2 þ 0:77vso3 þ 0:61vso4 þ eso eso ¼ eso1 þ eso2 þ eso3 þ eso4

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic Table 4 SSCHM CFA report

69

The Standardized Factor Loading (Li ) HEDv

Hypothesis Testing

Factors

ECDv

TEDv

ENDv

SODv

INDv

Estimated

S.E

C.r

P

CEM

0.79

1.18

0.07

16.44

***

PR

0.78

1.08

0.07

16.22

***

ECG

0.83

1.21

0.07

17.33

***

HHD

0.75

1.00

0.05

16.44

***

HS

0.73

0.93

0.06

16.06

***

CDC

0.78

1.05

0.06

16.79

***

NCDs

0.76

0.99

0.06

16.24

***

HR

0.79

1.00

0.06

16.24

***

1.00

0.05

22.31

***

DNW

0.92

STC

0.91

0.99

0.04

22.31

***

ERM

0.64

1.01

0.10

9.92

***

WM

0.73

1.12

0.11

10.53

***

PNA

0.67

1.11

0.11

10.24

***

APM

0.62

1.00

0.09

10.24

***

HSS

0.81

1.27

0.11

11.36

***

SS

0.64

1.03

0.08

12.60

***

SCT

0.61

1.00

0.07

11.36

***

HP

0.77

1.27

0.11

11.36

***

PLC

0.95

1.11

0.06

19.68

***

GVN

0.83

1.00

0.05

19.68

***

Notes Standard Error (S.E.); Critical Ratio (C.r.); Unstandardized. p < 0.001 for all coefficients (***)

Table 6 shows that the P value of all tests is ***, interpreted as all dimensions being interrelated. Hence, all assumptions are accepted. Moreover, since MSV is less than AVE from Table 5 for all relations, we can conclude that the model is valid and reliable. The interrelations among the six dimensions and its illustration are shown in Fig. 4. Figure 4 presents interrelation among the six dimensions after testing an assumption on interrelation among each dimension. To verify the hypotheses, the researchers have set assumptions as follows. • • • • • • • • • • • • •

H:09 HEDv interrelates with HSDv (accepted) H:10 ECDv interrelates with HSDv (accepted) H:11 ENDvinterrelates with HSDv (accepted) H:12 ECDv interrelates with ENDv (accepted) H:13 HEDv interrelates with ENDv (accepted) H:14 ECDv interrelates with HEDv (accepted) H:15 HSDv interrelates with INDv (accepted) H:16 HSDv interrelates with TNDv(accepted) H:17 ECDv interrelates with INDv (accepted) H: 18 ECDv interrelates with TNDv (accepted) H: 19 HEDv interrelates with INDv (accepted) H: 20 HEDv interrelates with TNDv (accepted) H: 21 ENDv interrelates with INDv (accepted)

• H: 22 ENDv interrelates with TNDv (accepted) • H: 23 TNDv interrelates with INDv (accepted) The assumption testing shows that the six core driving factors of SSCHM as shown in Error! Reference source not found. demonstrated complete interrelation together. It can be explained that the health dimension has a positive relation with all aspects in order shown in case if the city’s health stated at good status. It can also affect other dimensions to be good status. In original the core driving of smart city was set of various smart technologies provided by authorities to the city with huge budgets, nevertheless hardly look back to realize the actual city’s demand or city’s critical problems. Furthermore, no one focuses on the result of technology after investing. The pandemic demonstrated that a city that just has a technology can’t be led to sustainability such as all smart cities in the world got effect of pandemic. Hence the new thinking for the urbanization design to the sustainable smart city should emphasize health sustainable core factors basis by using smart technology to support all of the core driving under health standards from official world organization. Thus, the health dimension has a direct impact on sustainability in all aspects, especially economics. can be

70 Table 5 SSCHM’s validity and reliability report

N. Ritmak et al. Dimensions/Factors SSCHM

ECDm

HEDv

TEDm ENDm

SODm

INDm

Li

L2i

ei

C.R.

AVE.

C.A.

0.88*

0.56*

0.95 *

0.87*

0.62*

0.78 *

0.85*

0.59*

0.77 *

0.91*

0.84*

0.75*

0.76*

0.52*

0.83 *

0.80*

0.51*

0.79 *

0.89*

0.80*

0.75*

–- >

INDm

0.75

0.56

0.44

–- >

TEDm

0.7

0.49

0.51

–- >

ENDm

0.67

0.45

0.55

–- >

HEDv

0.85

0.72

0.28

–- >

ECDm

0.84

0.71

0.29

–- >

SODm

0.66

0.44

0.56

–- >

CEM

0.79

0.62

0.38

–- >

PR

0.78

0.61

0.39

–- >

ECG

0.83

0.69

0.31

–- >

HHD

0.75

0.56

0.44

–- >

HS

0.73

0.53

0.47

–- >

CDC

0.78

0.61

0.39

–- >

NCDs

0.76

0.58

0.42

–- >

HR

0.79

0.62

0.38

–- >

DNW

0.92

0.85

0.15

–- >

STC

0.91

0.83

0.17

–- >

ERM

0.64

0.41

0.59

–- >

WM

0.73

0.53

0.47

–- >

PNA

0.67

0.45

0.55

–- >

APM

0.62

0.38

0.62

–- >

HSS

0.81

0.66

0.34

–- >

SS

0.64

0.41

0.59

–- >

SCT

0.61

0.37

0.63

–- >

HP

0.77

0.59

0.41

–- >

PLC

0.95

0.90

0.10

–- >

GVN

0.83

0.69

0.31

Note the standardized factor loading (Li ); variance (L2i ); the error variance 1 −L2i (ei ); Composite (construct) Reliability (C.R.); Average Variance Extracted (AVE.); Cronbach’s Alpha (C.A.); Passable (*)

Fig. 3 Structural model of SSCHM. Source The author

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic Table 6 The validity test of the interrelated six dimensions report

Relation between dimensions ECDm

SODm

71

Cor.

MSV.

Cov.

S.E.

C.R.

p.

0.28

0.08

0.14

0.03

4.49

***

HEDv

SODm

0.3

0.09

0.13

0.03

4.97

***

ENDm

SODm

0.49

0.24

0.15

0.02

6.25

***

SODm

INDm

0.22

0.05

0.09

0.02

3.49

***

TEDm

SODm

0.69

0.48

0.2

0.03

6.24

***

ECDm

HEDv

0.65

0.42

0.41

0.05

8.49

***

ECDm

ENDm

0.58

0.34

0.18

0.03

5.53

***

ECDm

INDm

0.65

0.42

0.44

0.05

9.06

***

ECDm

TEDm

0.64

0.41

0.48

0.05

9.27

***

HEDv

ENDm

0.19

0.04

0.09

0.03

3.45

***

HEDv

INDm

0.34

0.11

0.16

0.04

4.46

***

HEDv

TEDm

0.66

0.44

0.46

0.05

9.24

***

ENDm

INDm

0.06

0.00

0.52

0.05

9.7

***

TEDm

ENDm

0.36

0.13

0.07

0.02

3.58

***

TEDm

INDm

0.29

0.08

0.15

0.03

4.23

***

ECDm

SODm

0.51

0.26

0.42

0.05

8.34

***

Notes Correlations (Cor.); Covariances (Cov.); Maximum Shared Variance (MSV); Standard error (S.E); Critical ratio (C.R.); Unstandardized. p < 0.001 for all coefficients significant (***)

Fig. 4 The interrelation among the six dimensions. Source the author

considered as an important dimension that determines essential factors, such as survival probability, health condition, and quality of life. These factors are the centre of human happiness which influences work efficiency, social improvement, and the economy as a whole. If the income in

a society is well distributed, the citizens are likely to have better physical and mental health and a better quality of life as basic needs are satisfied, moreover when the economy circular is stable resulting in government receiving more tariffs that can be used to investment in smart technology for

72

N. Ritmak et al.

Fig. 5 Sustainable smart city with health driving diagram. Source the author

developing the city. In order to successfully put forward a new idea of smart city core driving, health and economics should be considered simultaneously by using technology as a means to attain sustainability in other dimensions.

5

Conclusion

Sustainable Smart City is a city that focuses on four sustainability dimensions as the basis of the Health Indicator Standards, by using technology to promote all aspects of stable city supply chain circulation to build maximum social benefit. Focus on six dimensions of developing a city for urban citizens to receive good health and quality of life. The (SSCHM) can suit for applying guidance ideas for smart city planning also improving after the pandemic, Furthermore, quantitative indicators for each factor. These can be applied to improve cities and locals while can be used to evaluate the city’s current situations which could be weaknesses or strengths when planning for developing a sustainable smart city together with improving health. This could result in accuracy indicating to city's critical problems effectively by priority urgency and be able to improve citizens’ quality of life also prevention for support and face the next pandemics.

6

Suggestion

There are three suggestions as follows: – Indicators’ weight can be used to rank each dimension and factor according to level of importance. The public sector can firstly consider the most important city. It is not necessary to implement every factor all at once. – Stakeholders may adjust these indicators to match their secondary data before adopting them. However, the indicators should be used according to the objectives. – At this time, Thailand has supported the smart city idea by allowing each city to submit its budget requests for technology investment to enhance the city’s intelligence. The local leaders frequently make decisions based on their emotions which can result in lacking enough data and hindering the ability to solve urgent issues. Thus, the budget is not spent effectively because of unnecessary investments. Author Contributions Conceptualization, V.V.; Methodology, V.V.; Formal analysis, N.R.; Investigation, N.R.; Writing—original draft, N. R.; Writing—review & editing, W.R.; Supervision, V.V. All authors have read and agreed to the published version of the manuscript. Funding This research received no external funding.

Urban Design for Health: Innovation for Sustainable Smart City After the Pandemic

73

Competing Interests The authors have no conflicts of interest to declare that are relevant to the content of this chapter.

References

Ethical Approval The study was conducted according to the guidelines of the Declaration of Helsinki and approved by the Human Research Ethics Committee of University of the Thai Chamber of Commerce (protocol code UTCCEC/Excemp057/2022 and date of approval 17 October 2022).

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Abbreviations The following abbreviations are used in this manuscript: EFA: CFA: SSc: SMCd: INDv: HMDv: TNDv: ECDv: HEDv: ENDv: HSDv: IOC: SSCHM: FA: KMO: KW: IQR: SD: MD: CMIN/DF RMSEA: GFI: AGFI: RMR: NFI: TLI: CFI: C.r.: C.R.:

Exploratory Factory Analysis Confirmatory Factor Analysis Smart sustainable city Smart city core driving factors Institution driving factors Human driving factors Technology driving factors Economic driving factors Health driving factors Environment driving factors Human & social driving factors Item-Objective Congruence The sustainable smart city with health driven model Factor analysis Kaiser–Meyer–Olkin test Kendall's W The Interquartile Range Standard Deviation Median Relative Chi-Square Root means square error of approximation Goodness of Fit index The adjusted goodness of fit index Root of mean square residuals Normed Fit Index Non-Normed-fit index (Tucker-Lewis) The comparative fit index Critical ratio Composite Reliability

74 Likert, R. (1932). A technique for the measurement of attitudes. Archives of psychology. Liu, J., Chen, N., Chen, Z., Xu, L., Du, W., Zhang, Y., & Wang, C. (2022, 2022/10/10/). Towards sustainable smart cities: Maturity assessment and development pattern recognition in China. Journal of Cleaner Production, 370, 133248. https://doi.org/10.1016/j. jclepro.2022.133248. Manville, C., Cochrane, G., Jonathan, C., Millard, J., Pederson, J. K., Thaarup, R. K., WiK Andrea, L., & WiK Matthias, W. (2014). Mapping smart cities in the EU. Ritmak, N., Rattanawong, W., & Vongmanee, V. (2023a). The Dynamic Evaluation Model of Health Sustainability under MCDM Benchmarking Health Indicator Standards. International Journal of Environmental Research and Public Health, 20(1), 259. https://doi. org/10.3390/ijerph20010259. Ritmak, N., Rattanawong, W., & Vongmanee, V. (2023b). A New Dimension of Health Sustainability Model after Pandemic Crisis Using Structural Equation Model. Sustainability, 15(2), 1616. https://doi.org/10.3390/su15021616. Rovinelli, R. J., & Hambleton, R. K. (1976). On the use of content specialists in the assessment of criterion-referenced test item validity. Schumacker, R. E., & Lomax, R. G. (2004). A beginner's guide to structural equation modeling. psychology press. Sourani, A., & Sohail, M. (2015). The Delphi method: Review and use in construction management research. International Journal of Construction Education Research, 11(1), 54–76. Tavakol, M., & Dennick, R. (2011). Making sense of Cronbach’s alpha. International Journal of Medical Education, 2, 53.

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Planning Towards Healthy City—Case of Hyderabad Shivangi Narayen Waghray, Divya Patil, and Salwa Khan

Abstract

1

Urbanization is increasing pressure on natural resources, urban infrastructure, and public health system, which in turn increases pressure on their capacities there is an utmost need to address this through technological innovation and participatory decision-making. Integration of public health in city planning is essential towards planning for healthy cities. This perspective is required for bringing attention towards parameters such as land use, air quality, and human circulation. These parameters are the main determinants of public health and the built environment affecting the micro/macro climate of cities. This research focuses on developing a better understanding of urban form that effects the health of city dwellers and how cities develop with respect to health, changing ways in which we manage, renew and build urban environments under the framework of land use patterns, transport, urban green spaces—green environmet. Hyderabad—a growing city contributes to diverse lifestyles and urban issues like, air quality, waste management, traffic, and pollution. These issues are critical for formation of framework for public health in urban areas. The recommendations will focus on solutions such as human activity and walkability. This will benefit the health of city dwellers and move a step forward towards a healthy city.

Background for the Study

This study intends to conduct a scientific evaluation of how the quality of life in relation to air quality and its impact on public health are addressed, as well as how these issues might be integrated with urban planning. With the aim of examining the fundamental components of a healthy city, urban planning as a determinant of public health, and methods to improve health while lowering air pollution. The study contributes to our understanding of the difficulties that urban areas face due to air pollution and related health problems. As we all know the modern lifestyle today in most cities across the globe is associated with stress, insufficient physical activity, and existing air quality. In this context this research paper highlights the need for urban green spaces like parks, playgrounds, and residential and commercial green spaces, to promote mental and physical health and increase air quality. The research questions for the study were framed to examine the factors affecting air quality, understand the health problems caused by air pollution, and attempt to address them from the perspective of urban planning by using landuse and land cover.

1.1 Research Methodology Keywords








Healthy city Society health Ecohabitat Air quality Human circulation




Land-use

S. N. Waghray (&)
S. Khan Department of Urban & Regional Planning, SPA, JNAFAU, Hyderabad, India e-mail: [email protected] D. Patil Department of Facilities & Services Planning, SPA, JNAFAU, Hyderabad, India e-mail: [email protected]




The research methodology adopted in this paper was defining the research problem and developing the research questions followed by quantitative analysis, which is indicated in Fig. 1. The study adopted mixed methods of enquiry both qualitative and quantitative. The qualitative methodologies of inquiry by collecting the air quality-related data from secondary sources and quantitative through public surveys and opinion surveys to capture the situation.

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_6

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1St Stage

• Exploratory, which is giving a picture to help in framing research questions.

2nd Stage • Framing questions and doing quantitative analysis

Fig. 1 The research design for the present study is done in two stages. Source The Author

2

Introduction and Need for the Study

According to the WHO and international organizations like UNICEF, UNDP, UNESCAP, and UNEP, healthy cities are defined as having a balance between the built and natural environments, efficient and effective waste and drainage management, community and public involvement in decision-making, political commitment to improving people's health and quality of life, and recognition of the health effects associated with environmental degradation. This provides information on how to conduct additional research on the quality of life in relation to air quality and its impact on public health, as well as how to integrate it with urban planning and solve it. Urbanization puts more strain on natural resources, urban infrastructure, and the public health system. To alleviate this pressure, technological innovation and participatory decision-making are urgently needed. Development for healthy cities requires integrating public health into urban planning. This viewpoint is necessary to draw attention to factors like land usage, air quality, and human circulation. These factors are the primary public health and built environment determinants that have an impact on the micro and macro climate of cities. The goal of this research is to better understand how urban form affects urban people's health and how cities develop in terms of health, changing how we manage, renew, and construct urban environments within the context of land use, urban design, patterns, transportation, and green areas in cities. “Health is created and lived by people within the settings of their everyday life; where they learn, work, play, and love” World Health Organization. The Ottawa Charter for Health Promotion. This statement is central to the Healthy Settings concept of a healthy city. A Framework for Healthy Cities in India helped in understanding the parameters of a healthy city (Pathak, 2020). Focusing on the recognition of the essential life support role of settlements: provision of shelter, access to food and clean water, and fresh air gives a clear understanding of the determinants of health and well-being in Indian cities (Barton & Grant, 2013).

In order to create a thorough framework and build planning guidelines to promote a sustainable and healthy environment for the city of Hyderabad, this research paper explores the key components of healthy cities and urban planning as a health determinant, such as: • Adapted to new public health thinking where the community rather than individual health is more important promotes a proactive approach to health supports the preventive and promotive view of health rather than an expensive curative approach (Tulchinsky & Varavikova, 2014). • Considers strong linkage between degraded environment and health (Shrinkhal, 2019). • Facilitates reduction of environmental health-related disease burden by creating a greener environment using community participation, and urban planning. Following a review of the literature on the qualities of a healthy city, the idea of how to create a healthy city, and the applicability of the healthy city concept in a growing nation like India. Considering several programmes to improve India's health and hygiene. We can draw the conclusion that a thorough analysis is required in order to assess the impact on the urban environment, which is clearly significant. It is clear from the literature analysis and an understanding of the notion of a healthy city that research on the applicability of a healthy city in a developing nation like India should concentrate on urban air quality and its effects on human health. In order to help Hyderabad achieve sustainable urban expansion, this study's main objectives are to examine urban air quality, the detrimental effects of air pollution on health, and viable solutions to the air pollution problem. This research study generally examined two primary research issues in light of the objectives and literature. • Does a city's unfavourable urban environment lead to a decline in public health? • What factors should be prioritized while examining a healthy city and what are the main factors affecting human health?

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3.1 Hyderabad Profile

Case Study—Study Area Identification

To address the research questions and looking at the air quality parameters in Hyderabad city with 9.7 million people living in the metropolitan area and 6.8 million living within the city limits, Hyderabad is India's sixth-most populous metropolitan area (Census of India, 2011). Hyderabad suffers greatly from air pollution, making it the second most polluted city in the world, behind Delhi. 78% of Hyderabad residents said they have been negatively impacted by the city's poor air quality in a survey done for a Bengaluru-based charity (GHMC, 2021–2022). Everyone agrees that poor air quality is the primary cause of 78% of all health issues (WHO Global Air Quality Guidelines 2021). This sets the context to conduct the study in this city to address the issues of air pollution and its impacts on the health of the citizens. To understand the health impacts due to air pollution it is important to study the evolution of air pollution regulations in India, as presented in Fig. 2.

Fig. 2 Air quality regulation in India. Source Urban Emissions-, National Clean Air Programme (NCAP) for Indian cities (2020)

Figure 3 provides an overview of the city profile of Hyderabad, helping to establish the context for the study or analysis. Figure 4 shows the map that provides a profile of Hyderabad city by showing the boundaries of the study area, including the outer ring road and urban development authority. Figure 5 displays the details of land use and land cover in Hyderabad. This information is crucial for understanding the land cover patterns, which play a significant role in the selection of Air Quality Assessment and Control (AQAC) stations for the study. Figure 6 depicts the land use within the Greater Hyderabad Municipal Corporation (GHMC) area. It serves as a tool to analyse the extent of green and blue cover. This analysis aids in identifying barren and vacant land areas that have the potential for increasing green cover in the future. Table 1 indicates land cover classification and area covered in GHMC. We can see from the LULC 2001–2021 comparative research that there has been significant degradation of green areas and that the GHMC has not undergone proper new development with the integration of green and blue infrastructure. Figure 7 illustrates the geographical positioning of six monitoring stations within Hyderabad, strategically placed to monitor and assess the air quality across the city. In the study, these monitoring stations were taken into account when analysing the local air quality scenario. Bollaram Station is taken into account because it affects the boundaries of the GHMC.

3.2 Potential Local Sources of Pollution • Although meteorology plays a significant role in regulating air quality, local emission sources, particularly home and traffic emissions, have a significant impact.

Hyderabad (GHMC area)

Fig. 3 Hyderabad profile

1,00,04,000 (GHMC)

2

650km

South West to North East

Circles: 30 Zones: 6

AMT – 26.6C, Summer- 40C, Winter- 10C

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• In order to know the potential local sources, the open street maps of the 2 km  2 km area surrounding the embassy/consulates (red circle) are shown to be influenced by traffic emission as it is close to a major road intersection. • Hyderabad is surrounded by residential areas where household emissions can be a potential source. In addition, Hyderabad is bordered by busy roadways on three sides.

3.3 Air Pollution Levels for LST & PM 2.5

Fig. 4 GHMC in HMDA map (ORR). Source GHMC (2021–2022)

Fig. 5 Land use land cover (LULC) 2021. Source LULC, GHMC, 2021

Table 2 provides a clear representation of the levels of air pollution and the corresponding health implications, as documented by the Ambient Air Quality Monitoring Stations (AAQMS) of the Central Pollution Control Board.

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Fig. 6 GHMC land use map 2001

3.5 Location Map of Study Area

Table 1 GHMC land cover classification S.No

Unsupervised classification

Percentage (%)

1

Water body

12

2

Built-up area

60

3

Open spaces

3

4

Green space

25

3.4 Air Quality Interpolation and Monitoring in GHMC Figure 8 displays the interpolation of air quality data within the Greater Hyderabad Municipal Corporation (GHMC) limits for different months of the year. This data is recorded by the Air Quality Assessment and Control (AQAC) stations. The figure is instrumental in the analysis of secondary data on air quality and its correlation with land use and land cover to gain insights into patterns and relationships. Table 3 lists the names of the monitoring stations and provides comprehensive details regarding the analysis conducted at each station. Additionally, it outlines the specific issues that were identified during the course of the study. This table serves as a valuable reference for understanding the study's findings in relation to each monitoring station.

Figure 9 illustrates the geographic locations of the regions selected for investigation within Hyderabad city. These selections are based on the positioning of Air Quality Assessment and Control (AQAC) sites and adherence to air quality criteria. This map provides a clear overview of the areas under investigation in the study. Table 4 presents a summarized view of the comparative analysis conducted for the selected study areas. This analysis was performed to identify and assess the various issues within these areas. The table offers a concise overview of the comparative findings, aiding in a better understanding of the study’s outcomes. Table 5, present a summary of the comparative analysis of health issues identified in the study areas. This table should help in understanding the patterns of health problems associated with air quality in the selected study areas.

3.6 Analysis In Table 6, provide a summary of the SWOT (Strengths, Weaknesses, Opportunities, and Threats) analysis conducted for the study areas with respect to air quality and related public health issues.

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Fig. 7 Map showing IQAC locations in Hyderabad. Source AAQMS Location Map (2021)

Table 2 Air pollution levels AQI 0 -50

Air Pollution Level Good

51–100

Moderate

101-150

151-200

Unhealthy Sensitive Groups Unhealthy

200-300

Very Healthy

Health warnings of emergency conditions. The entire population is more likely to be affected.

300+

Hazardous

Health alert: everyone may experience more serious health effects.

Source AAQMS. CPCB. 2021

for

Health Implications

Cautionary Statements (for PM2)

Air quality is considered satisfactory and air pollution poses little or no risk. Air quality is acceptable; however, for some pollutants there may be a moderate health concern for a very small number of people who are usually sensitive to air pollution. Members of sensitive groups may experience health effects. The general public is not likely to be affected. Everyone may begin to experience health effects; members of sensitive gropus may experience more serious health effects.

None Active children, adults and people with respiratory diseases, such as asthma, should limit prolonged outdoor exertion.

Active children, adults and people with respiratory diseases, such as asthma, should limit prolonged outdoor exertion. Active children, adults and people with respiratory diseases, such as asthma, should avoid prolonged outdoor exertion; everyone else, especially children, should limit prolonged outdoor exertion. Active children, adults and people with respiratory diseases, such as asthma, should avoid prolonged outdoor exertion; everyone else, especially children, should limit prolonged outdoor exertion. Everyone should avoid all outdoor exertion.

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Fig. 8 Air quality interpolation and monitoring month wise. Source AAQMS. Central Pollution Control Board (2021)

Table 3 Monitoring stations analysis and issues Bollaram Industrial Area, Hyderabad

Bollaram is made up of huge open spaces next to a highly populated industrial region, which is encircled by a highly populated informal residential neighbourhood with nothing in the way of vegetation or greenery Here, there is a lack of sufficient ventilation The urban setting contributes to increased pollution, which results in high temperatures that have an impact on the local population's health

• Due to the lack of vegetation, the large amount of open terrain, and the numerous polluting enterprises nearby, this area experiences high temperatures • Due to the high levels of PM 2.5, PM 10, SO2, and CO2 emissions in Bollaram, an industrial district with little to no greenery • The primary cause is a result of numerous industrial and construction operations that disturb the air quality by releasing dangerous compounds in various forms, such as CO2, PM 2.5, and PM 10 • There are substantial deposits of particulate matter in the area where people live, which can cause lung infections, coughing up blood, high blood pressure, and skin rashes. This is due to a lack of revitalizing recreational spaces

Central University, Hyderabad

.A sizable institutional area, Central University is flanked by somewhat dense residential neighbourhoods Due to the scattered green areas, the area has a moderately cold climate Because to its proximity to the Bollaram industrial region, the citizens’ health is affected

• Hyderabad Central University Residential development in the AQS area has been unplanned and disorderly. Resulting in a city heat island • This place is open, highly public, and semipublic. Urban heat island effect was caused by unplanned urbanization in fewer green spaces and wide open spaces are present in this region • The increase in PM2.5 levels in the winter is most obviously caused by the existing land use, which contains 65% of public and semipublic land use activities • Cold temperatures cause High PM2.5 concentrations to increase in the winter. This location emits fewer pollutants than other places, which is excellent, (continued)

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Table 3 (continued) ICRISAT Patancheru, Hyderabad

Large open fields, an industrial park, and a body of water make up ICRISAT, and the neighbourhood around it has a mix of medium-density housing and flora that helps to keep the temperature moderate

• ICRISAT AQS station close to BHEL • Residential clusters close to the industrial development zones of Bollaram and Pashamylaram are being contaminated • There is evidence of particulate particles settling everywhere close to this station • The excessive emission of PM 2.5, PM 10, and other pollutants puts industrial workers’ long-term health at risk • Major industries and open spaces in the ICRISAT area contribute to health problems like asthma, breathlessness, and dust allergy

Sanathnagar, Hyderabad

Sanathnagar is a sparsely populated neighbourhood with low-rise residential and tall institutional structures The area experiences lower temperatures and less pollution

• This region’s high temperatures are caused by the presence of heavy industries • The main contributors to the discharge of pollutants are industrial and vehicular pollutants, which contribute to the excessive emission of PM 2.5. The primary causes of such a large contribution to emission include several industrial processes like welding, as well as human decisions/behaviours towards the use of various items or appliances and activities from daily life • The use of different electrical equipment and transportation releases a lot of CO2, which has an impact on the quality of the air • Because Sanathnagar has a large population density and numerous companies, it is polluted, which leads to health problems like asthma, high blood pressure, allergies, and shortness of breath

Hyderabad US Consulate

Due to emissions and a lack of green buffers, this area, which is primarily made up of high-density informal residential pockets, contributes to high levels of pollution and temperature

• There are both homes and businesses here in high density. Due to uncontrolled development, this area has a greater urban heat island effect with less greenery and more reflective surfaces • Due to the area's high population, there are many household and vehicle emissions, which results in a significant concentration of PM2.5 pollution • People are exposed to particulate matter (pm), ozone (o3), nitrogen dioxide (no2), sulphur dioxide (so2), carbon monoxide (co), heavy metals, as well as benzene (c6h6) and benzopyrene as a result of motor vehicle emissions, which are especially significant at street canyon levels (bap) • Road traffic is either the primary or secondary source of all of these toxins (fossil fuel combustion) • Because of the high density of the land use, there are greater PM 2.5 emissions • The influence of the high-density residential regions on the environment is causing hazardous and unclean conditions • The vicinity of the US embassy in Hyderabad is highly industrialized, which contributes to pollution that worsens health conditions like asthma, high blood pressure, allergies, and shortness of breath

Zoo Park, Bahadurpura West, Hyderabad

It is noted that the area is highly dense with sufficient open spaces and water bodies contributing to a better living environment. Zoo Park is made up of urban high-density pockets with limited open spaces and grounds

• Due to excessive vehicular pollution, Hyderabad’s zoo park regions have higher PM 2.5 pollution levels than PM 10 levels. Vehicle pollution makes up the majority of effluent in 51% of cases, with home emissions coming in second. PM 2.5 and PM 10 emissions are particularly high as a result • With few open areas and a large population, the zoo park area pollutes the air and contributes to health problems like asthma, high blood pressure, allergies, and shortness of breath

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Fig. 9 Location map of study area. Source AAQMS. GHMC

Fig. 10 Plant trees Fig. 11 Public transport

4

Recommendations

Considering the larger context of urban air quality and related health issues, which is evident from the gathering and analysis of primary and secondary data from numerous AQAC stations throughout Hyderabad city. According to a main survey, the majority of respondents cited respiratory

illnesses, asthma, lung infections, skin rashes, dust allergies, lower respiratory tract infections, etc. as serious health problems. The need for healthy city planning is further highlighted by the relationship between the AQI value and the level of air pollution and health issues.

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4. 5. 6. 7. 8.

Fig. 12 Walk and cycle

The analysis makes it very evident that these challenges must be addressed through urban planning, including: • Converting underutilized spaces into green spaces and increasing the greenery by comparing land usage in the current research region to land records in order to find possible spaces that may be turned into green spaces. Additionally, rules for using those locations can be developed. • Encourage the usage of public transportation by raising awareness among the general public and devising communication tactics for the purpose. • A live, thematic map display system for air quality that educates residents about local air pollution. • Using localized technology, such as the installation of coconut husk shields and other air quality-improving equipment, at important road intersections to reduce air pollution. This background study emphasizes the need for additional research to comprehend how air pollution and related health problems might have a sustained influence on quality of life. This emphasizes the requirement for targeted actions in urban planning via analysis of land use and land cover. The recommendations can be roughly categorized into three categories: general recommendations, strategic recommendations, and site-specific recommendations based on the study carried out in the area. This division helps to further improve the study.

4.1 General Recommendations 1. Rejuvenation of Green Spaces. 2. Green Medians and footpaths (reduces Air and Light Pollution). 3. Mass outdoor air purifier (reduces Air Pollution) at Major junctions.

Vertical gardens at high dense areas. Creation of Wind path forest along lakes and rivers. Ambient Air quality live thematic maps display system. Provision of Pucca Road. Street art campaigns on public buildings by collaborating with Art students for awareness drives.

The above provides a summary of the general recommendations related to the rejuvenation of green spaces, the expansion of green cover, and the implementation of street art campaigns on public buildings. These recommendations aim to increase awareness about air quality and its improvement.

4.2 Strategy Recommendations 1. Corporate front spaces are transformed into as much green space as possible to promote walking to work 2. Making the most of shared leisure places in the public realm. Allowing visitors access to school grounds and play areas after school hours. 3. Grow and Take Care of Trees. Figure 10 Illustrates the Increase in People’s Happiness Following the Cultivation and Maintenance of Trees. a. Trees trap carbon dioxide and filter pollutants. Additionally, trees produce oxygen in the air, which helps to cool our dwellings. b. Contributes to lessening the detrimental effects of car pollution emissions as well as lowering the noise that the vehicles produce. 1. Use public transportation. Figure 11 presents an illustration that depicts the level of awareness among individuals regarding the utilization of public transportation and non-motorized modes of transport as strategies to reduce air pollution. a. Public buses, metro trains, and subways are not only more affordable than driving your own car, but they also help cut congestion and reduce air pollution. 2. At home a. Use low-watt bulbs or energy-saving lights. b. Limit the use of air conditioning units and keep the temperature a few degrees higher. c. Don’t burn garbage. d. Avoid using aerosols. e. Properly dispose of refrigerant, refrigeration equipment, and used coolant. 3. Walk and cycle more. Figure 12 presents an illustration that emphasizes how cycling and

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Table 4 Summary of comparative analysis of study areas STANDARDS (NATION AMBIENT 0-30 AIR QUALITY STANDARD)

Above the Quality Standard 0-50

0-40

0-50

0-1.0 Below the Quality

PM 2.5 PM10 NO2 SO2 CO (µG/M3) (µG/M3) (µG/M3 ) (µG/M3) (MG/M3 )

71

ICRISAT

92

BOLLARAM

85

SANATHNAGAR

UNIVERSITY HYDERABAD

ZOO PARK

US CONSULATE

Source Primary survey. 2022

OF

56

70

80

40

62

-

38

34

-

5

13

8

24

4

4

5

28

3

3

3

3

1.3

The majority of the ICRISAT site is made up of open lands and semi-public spaces. Due to the higher pm 2.5 levels that are observed, which are above the standard and pose serious health risks, as well as the fact that other pollutant levels are at lower levels in this situation, this location is considered to be in moderate condition when compared to the other locations in the study.

2.6

Due to its predominant industrial land use, Bollaram area has a high concentration of pollutants, which puts residents there at risk for both short-term and long-term illnesses. Comparatively to other research locations and higher values in accordance with the norms, this location and its vicinity are unhealthier due to very high levels of both pm2.5 and pm10 that are recorded, which are above the standards and result in major health issues.

5

People in this area are currently dealing with health difficulties like high blood pressure, asthma, and lung infections because this area has the highest pm 2.5 levels recorded due to the majority of the land being used for residential and industrial purposes. Sanathnagar has the second highest readings in terms of the severity of the ailment, following Bollaram, and these high levels are caused by welding activity and vehicle pollution.

3

The majority of the land is used for institutional and public/semi-public purposes; in these areas, PM2.5 emissions are high due to vehicle and appliance use and because there are open spaces nearby. The severity of the problem increases in winter due to photo- oxidation, high concentrations of nitric oxide and hydrocarbons are released into the atmosphere due to the cool temperature, and the pollutant concentration is getting higher, leading to many health issues like

6

Zoo park area is mostly a residential region with a high concentration of PM 2.5 and PM 10 pollutants. The main sources of pollution in this area are home and automotive emissions. Moderate air quality prevails throughout.

5

The US Consulate and the surrounding areas are very densely populated, with most of the land being used for residential purposes. The levels of PM 2.5 pollution in these areas are also higher than average, causing poor air quality (aqi) and having an adverse effect on people's health through high blood pressure, asthma, and lung infections.

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Table 5 Comparative analysis of health issues in study areas

Health complexity

Asthma

Breath lessness

Cough Sneeze

Dust Allergy

Lung Infecti on

Runny Nose

Eye Infecti on

High Serious Health Issues

Blood Skin Pressu Rashes re

ICRSAT

location

majorly occupied public open

is with

semipublic lands.

and

Due

to

vehicular pollution and ICRISAT

11%

20%

10%

7%

16%

7%

3%

3%

7%

16%

other

emission

households

from creating

creates a serious health concern

such

as

breathlessness,

dust

allergy etc.

The Bollaram area has high Bollaram

3%

22%

15%

6%

15%

11%

6%

4%

9%

9%

concentration

pollutants industrial

being hub

an which

makes people to face health use in both short term and long-term.

As major land use is covered with residential and industrial activities Sanathnagar

6%

10%

10%

13%

10%

8%

5%

1%

20%

18%

people in this location are currently facing health issues like High Blood Pressure,

Asthma

and

Lung infections.

The major land use is of institutional and public semipublic,

due

to

vehicular and appliance Central University

6%

10%

10%

8%

10%

5%

13%

1%

20%

18%

usage

and

due

to

availability of an opens paces

the

severity

is

rising, resulting in High Blood Pressure, Asthma, etc.

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The zoo park area has a coverage of residential Zoo Park

6%

10%

10%

13%

10%

8%

5%

1%

20%

18%

land use activity leading to

moderate

causing

high

emissions blood

pressure, skin rashes, etc.

US Consulate and its vicinity areas has very higher densities majorly covered with residential US Consulate

6%

10%

8%

13%

1%

5%

10%

10%

20%

18%

land

use,

resulted

to

impact of people's health with High Blood Pressure, Asthma

and

Lung

infections.

Source Primary survey. 2022

walking not only contribute to improved health but also promote the reduction of emissions to zero. a. Besides the fact that walking and cycling produce zero emissions, these actions are also good for your health, so you can get a workout out of travelling.

5. Bollaram Industrial Area, Hyderabad a. Xeriscaping is suggested in the Bollaram industrial area, which requires less water and maintenance. b. Use of remote sensing and AI to track the status of green cover changes in the study areas- CSR initiatives.

5 4.3 Study Area-Specific Recommendations— Based on Analysis and Issues Identified 1. Zoo Park, Bahadurpura West, Hyderabad a. Planning road networks with median and tree avenues helps the environment in the reduction of anthropogenic emissions. b. Proposing a green buffer between road and footpath will help reduce vehicular pollution and stop public from misusing the footpaths. c. Plants on the median and buffer zone help in absorbing the air pollutants and reduce the heat effects. 2. Central University, Hyderabad a. Improving green cover in the HCU premises. 3. ICRISAT Patancheru, Hyderabad and US Consulate a. These localities have a very high potential towards rooftop gardens. b. Green Building Initiatives. 4. Sanathnagar, Hyderabad a. The concept of Urban Medows is proposed to maintain the green space. b. CSR initiatives in improving & maintaining green spaces.

Conclusions

After reviewing the case studies, it is clear that Hyderabad's urban air quality is the main source of worry for the negative impacts that air pollution has on people's health. This was very clearly analysed using the information from the six AQAC stations and the primary survey on health issues that was carried out in the study areas and is included in this research article. The current study marks a significant empirical advance in thinking about health issues in relation to air pollution. The results of this study have consequences, including helping us understand the preferences and engagement of the community that will reside there. Second, the results may help us comprehend the importance of air quality-related health issues and how to address them through urban design. In response to the study’s research questions, the results of the analysis made it easier to accomplish its objectives, which included increasing the amount of greenery on open public lands, under flyovers, etc., as well as adopting and using simple technologies to absorb air pollution in public areas. From the standpoint of urban planning, these findings have a number of important implications for both evaluating and intervening for their use.

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Table 6 Analysis of the study locations Case study

Strengths

Weakness

Opportunities

Threats

ICRISAT

• 34% of this zone is open space. So, green buffers and lung spaces can be improved to improve air quality

• There is a high concentration of SO2 and NO2 emitted from diesel vehicles, industrial output • The region has open drains polluting the environment

• Research-based institutions (ICRISAT) • Adjacent areas are Industrial areas, and semi-Industrial areas (employment) • High Probability of Tax generation. (Govt. Revenue)

• High concentration of PM2.5 (70 µg/m3). Because, the area surrounded by the Industrial Zone • Breathlessness issue to the residents

Zoo park

• NGT notified area. (Pollution Control Board) • Green Space availability is 36% (as per calculations in GIS) • High Connectivity (proximity to Airport)

Being a residential unit, the infrastructure facilities are very poor

• Planning Road networks helps the environment in reduction of anthropogenic emissions • Tourism development (Revenue Generation)

• Sewer lines network and solid waste management are poor, attracting flies and causing major health issues • Untreated Sewage Water entering into Mir Alam Tank, NGT questioned Pollution Control Board

Central University

• Institutional Zone • Connectivity (in closer proximity to IT Hub & SEZ)

Rapid development led to informal settlement in Gopanpalle area which in turn difficult for the authority to provide infrastructure facilities Increase in Construction activities causing dust pollution. (As per TSPCB)

• The informal settlements can be relocated and provided with better infrastructure facilities to curb the issue • Improving green cover in the HCU premises

• Encroachments • Emissions due to change in land use (construction activities)

US consulate

• The residential unit contributing 78% • High Tax Collection Rate

The lack of green spaces and high-density residential areas are creating an impact on environment leading to unsafe and unhygienic condition

• Since the locality is high dense area there is a very high potential towards rooftops gardens • Green Building Initiatives

• PM2.5 (80 µg/m3) from Vehicular Emissions • Have major concern related to cleanliness, sewage and solid waste management

Sanathnagar

• 42% high dense residential zone, followed by 32% land share of industrial zone • Steal factory & allied companies

• Roadside dumping of waste is leading to unhygienic condition and effecting the environment and tends to air pollution • The road networks and the open spaces are encroached by the shops and small-scale industrial units in the region High traffic flow & jams (especially on the weekends due to the 2nd hand market) resulting in high level of emissions from vehicles

• The concept of urban meadows is proposed to maintain the green space • CSR initiatives in improving & maintaining green spaces

• Unregulated industrial units in Sanathnagar are a major cause of the increased pollution levels

Bollaram industrial area

• Being an industrial unit, it has ample amount of green space surrounding the industrial area

• Bollaram industrial area is a high dense informal residential area with very low green spaces and vegetation • Leap frog development (high costs for the urban local body to develop or improve infrastructure facilities in the region)

• Xeriscaping is suggested in the bollaram industrial area, which requires less water and maintenance

• Burning of industrial waste are major causes for emission of pollutants in the region • Dumping of waste along the road is affecting the area

Source Primary survey. 2022

Planning Towards Healthy City—Case of Hyderabad

The results of this study will undoubtedly have a substantial impact on how urban planners and implementing organizations interpret public health concerns related to air pollution as crucial criteria for healthy city planning. The results of this study could be used to develop policies as well as guidelines for planning and implementation. This study emphasized the value and necessity of public transportation connectivity as the main skeleton, which should be backed up by a pedestrian-friendly street network and a high percentage of greenery. Which means that future development should consider the needs of pedestrians and public transportation, allot enough wide roadways, maximize the use of public space in terms of sharing recreational spaces to increase green cover, and the necessity of improving medians and under-flyover vegetation for the benefits of reducing air pollution and enhancing health. The study contributes to our understanding of the difficulties urban areas face in addressing air pollution-related health problems. This study suggests that both societal and governmental policies need to be altered. The general recommendations made can be adopted by many cities to address the issue of air pollution based on the need. The strategic recommendations can be used as pilot projects on the basis in cities, which will further help in strengthening policy design. There is a further scope of study. • Social studies, • Government policy framing • Holistic approach towards planning for air quality improvement using various parameters and technology. As a result, we can draw the conclusion that the air quality parameter is an essential indicator for gauging and planning for healthy metropolitan regions and cities.

Appendix 1 Public Survey a. Stakeholder consultation survey i. Location ii. Age of the respondent iii. Housing type 1. MIG 2. LIG 3. HIG

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iv. Health Implications due to Pollution: 1

Asthma

2

Breathlessness

3

Cough

4

Sneeze

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Dust allergy

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Lung irritation

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Runny nose

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Eye infection

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High blood pressure

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Skin rashes

v. Opinion about degrading environment (why, how). 1. Why 2. How 3. Factors contributing 4. How to create a better environment 5. How do you contribute towards a better environment?

Appendix 2 Opinion Survey (Public health officials, Urban local body officials) i. Major factors effecting public health of the locality (tick multiple). 1. Pollution 2. High density housing 3. Low green spaces 4. Low physical activity of the dwellers 5. Deficiency in management of public health infrastructure 6. Awareness 7. Creating sense of belonging ii. How do you tackle degrading physical environment as an issue? 1. …………………………………………………… …………………… 2. …………………………………………………… …………………… 3. …………………………………………………… ……………………

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iii Challenges facing in policy implementation, administration, and governance. 1. …………………………………………………… …………………… 2. …………………………………………………… …………………… 3. …………………………………………………… …………………… iv. Potential areas that can be explored at these specific locations which could be the future of creating a better living environment. 1. …………………………………………………… …………………… 2. …………………………………………………… …………………… 3. …………………………………………………… ……………………

S. N. Waghray et al. Barton, H., & Grant, M. (2013). Urban planning for healthy cities. Journal of Urban Health. Springer. Census of India. (2011). Central Pollution Control Board. (n.d.). National ambient air quality standards. Retrieved from https://cpcb.nic.in/upload/NAAQS_2019. pdf Grater Hyderabad Municipal Corporation (GHMC). (2021–2022). Pathak, G. (2020). A framework for healthy cities in India: case of indore. Shrinkhal. (2019). Economics, technology, and environmental protection, phytomanagement of polluted sites (pp. 569–580). Tulchinsky, T. H., & Varavikova, E. A. (2014). Expanding the concept of public health (pp. 43–90). New Public Health. Urban Emissions (2020) National Clean Air Programme (NCAP) for Indian cities, 2020. Retrieved from https://urbanemissions.info/wpcontent/uploads/docs/2020-11-AE-NCAP-Review-wCEEW.pdf WHO Global Air Quality Guidelines. (2021). World Health Organization. Retrieved from https://apps.who.int/iris/ bitstream/handle/10665/136839/9789241507806_eng.pdf

Bibliography References Aggarwal, S. K. (2009). Delhi: Towards a healthy city to live. Manohar Publication. AAQMS. (2021). Central pollution control board

Lee, A., & Nakamura, K. (2021). Engaging diverse community groups to promote population health through healthy city approach: Analysis of successful cases in Western Pacific Region: Owariasahi City. Rostang, O., Gren, A., Feinberg, A., & Berghauser Pont, M. (2021). Promoting resilient and healthy cities for everyone in an urban planning context by assessing green area accessibility.

Public Open Space in the Pandemic Era: A Case Study Surabaya, Indonesia B. Soemardiono, D. Septanti, and S. F. Hutama

Abstract

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The public open space is open space outside the building that is used for various kinds of sustainable activities ranging from gathering, and socializing to religious activities as well as other economic activity functions. In the pandemic era, of course, crowds in outdoor spaces are very limited, but sometimes people don't understand it and still gather and concentrate on one of the city's most visited public spaces. The purpose of this study was to determine the phenomena that occurred in the pandemic era by examining the phenomenon of urban public spaces in the city of Surabaya and analyzing the city's public space system while proposing solutions for open space resilience. This study applies a qualitative method with a case study approach. Research on case studies is a method used to collect naturalistic facts (real-life contexts) and research tactics are carried out in the form of field observations, questionnaires, and semi-structured interviews. It explores observed pandemic shifts, and scrutinizes Surabaya's public space system through an urban resilience lens, aiming to address challenges and transform spaces for continuity, health, and sustainability. Keywords





Pandemic shifts Public space Urban phenomena City parks Sustainable city









Urban resilience COVID-19

B. Soemardiono (&)
D. Septanti
S. F. Hutama Department of Architecture, Institut Teknologi Sepuluh Nopember Surabaya, Kampus ITS, Surabaya, Indonesia e-mail: [email protected] D. Septanti e-mail: [email protected] S. F. Hutama e-mail: shintafi[email protected]

Introduction

The health crisis resulting from the COVID-19 virus has impacted all aspects of society, leading to a paradigm shift in how we interact, work, and conduct activities. Urban design and public spaces have been particularly affected. Following the global spread of the COVID-19 pandemic, public open spaces, once hubs of community activity, underwent significant transformation (Giustino et al., 2020; Lu et al., 2020). Many public spaces were closed to curtail virus transmission and ensure public health. As the virus spread, governments and people globally took unprecedented steps to reduce transmission, such as lockdowns, social distancing, and gathering restrictions. This resulted in a substantial shift in how public spaces are viewed, used, and managed. In the pandemic's early stages, public open spaces underwent drastic changes. Parks, plazas, and recreational areas experienced decreased visitors due to advisories on limiting direct physical contact, travel restrictions, and stay-at-home measures (Hairi, 2020). This lack of outdoor access led to the loss of affordable recreational spaces for communities and contributed to the “COVID stress syndrome” (Mubasyirin, 2020), causing anxiety and depression due to self-isolation pressures (Jurecka et al., 2021). The limitation on outdoor interactions prompted the development of virtual platforms. Public spaces transformed into virtual arenas for activities like teaching, work, and art exhibitions (Kurbakova et al., 2020; Purwanto et al., 2020; Widjono, 2020). However, the continuous reliance on virtual meetings heightened the appreciation for physical public spaces (Fahmi & Erfinanto, 2021). This shift also led to increased household electricity consumption due to activities transitioning indoors (Hutama et al., 2022a). The pandemic also disrupted economies and public health globally, including in Indonesia. Cities, as hubs of human interaction and intellect, experienced disruptions in their life cycles due to the pandemic. Urban areas must now recover by considering strategies to

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_7

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fulfill open space needs for city sustainability. Urban design should combine crisis response and long-term benefits for society and the environment (Muggah & Ermacora, 2020). Pandemic-influenced urban spaces depend on factors like transmission and infection duration (Novianto et al., 2021). Thus, urban public spaces must guide individual behavior to ensure safety against infections. As cities navigate this new era, urban resilience takes center stage in ensuring adaptability and community well-being. Pandemics reveal urban vulnerability and resilience expansively (Banai, 2020), offering lessons for future city-building (Sharifi & Khavarian-Garmsir, 2020). Urban planning shifts towards pandemic-responsive approaches (Ugolini et al., 2020), informed by global pandemic experiences to enhance urban community life (Kakderi et al., 2021). Based on the preceding explanation, the principal objective of this paper is to develop the concept of public open spaces during the pandemic era, grounded in urban resilience. This will be achieved by employing the Bungkul Park case study in Surabaya. The initial step involves elucidating the phenomena observed within public spaces during a pandemic, achieved through a thorough examination of changes and adaptations in the utilization of urban public spaces. Subsequently, researchers scrutinize Surabaya's existing public space system through the lens of urban resilience. This process aims to identify challenges presented by the pandemic and to devise optimal solutions that not only ensure the continuity of open spaces during challenging times but also foster the transformation of such spaces into healthier and more environmentally friendly environments. In a world where the significance of communal areas is accentuated due to the constraints imposed by the pandemic, comprehending the dynamics of public open spaces within the context of urban resilience becomes highly crucial. This paper, through the analysis of case studies in Surabaya, endeavors to provide valuable insights that can contribute input to urban planners, policymakers, and other stakeholders in their endeavors to craft adaptive and sustainable urban spaces.

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Materials and Methods

2.1 Urban Resilience and Public Spaces: Navigating Challenges and Adaptation Rooted in ecological principles, urban resilience assumes increasing significance as cities evolve into complex adaptive systems. Holling defines it as the capacity to withstand changes while maintaining functionality. According to the Rockefeller Foundation's “100 Resilient Cities,” urban resilience implies cities not only survive but also adapt and thrive despite stresses and shocks (Gavin, 2021). This emphasis on efficiency is grounded in the notion that

systems rapidly returning to their original state exhibit higher levels of resilience. Urban challenges, encompassing both natural and human-made disasters, necessitate adaptability. A key facet of understanding resilient cities lies in comprehending the City Resilience Index. Resilience involves a functional capacity for all inhabitants, especially the vulnerable, to endure pressures. The ongoing pandemic underscores the importance of participatory solutions that accommodate growth. Strengthening resilience entails both anticipating system failures and integrating crisis response with equitable, long-term benefits. The dimensions of the City Resilience Index by Da Silva—health, economy, environment, and strategy—equip urban systems to withstand threats (Hutama et al., 2022b). Enhancing the quality of public spaces falls within the purview of environmental and infrastructure dimensions. Notably, high-quality public spaces mitigate risks, as evidenced by Gehl's research, which is driven by the needs of the people. For instance, Singapore's response to the pandemic involves adapting urban design to align with usage patterns while considering distancing measures. Resilience strategies are context-specific, encompassing actions like decentralizing facilities, utilizing shared spaces, creating urban courtyards, and prioritizing physical and mental well-being. The importance of daily-use gardens lies in their accessibility, decentralization, flexible shared spaces, and supportive facilities. Guidelines such as the Design for Distancing Ideas Guidebook (2020) underscore the significance of comfort during pandemics. Urban resilience thrives through adaptation and survival amid challenges, with public spaces playing a substantial role in enhancing lives and supporting development. This approach underscores the pivotal role of public spaces, especially during crises. Urban resilience, assessed on an urban scale, is inherently intertwined with the quality of public spaces. Embracing resilience not only strengthens cities but also accommodates evolving needs. Simultaneously, the integration of smart technology is bolstering the development of resilient cities in conjunction with the advancement of existing urban landscapes and technology. This synergy underscores the dynamic relationship between technology-driven urban progress and a city's adaptive capacity (Firmansyah et al., 2019). By leveraging data analytics, real-time monitoring, and IoT systems, smart cities proactively anticipate, mitigate, and respond to a range of disruptions, from natural disasters to societal upheavals (Gavin, 2021). This integration serves to guide data-centric decision-making, inform urban planning, allocate resources effectively, and enable emergency responses. Moreover, a growing alignment is evident in the realm of sustainable infrastructure, where energy, waste, and transportation systems are optimized to enhance resilience during crises. The social facet of this integration is paramount, as community

Public Open Space in the Pandemic Era: A Case Study Surabaya, Indonesia

engagement and collaboration play a pivotal role in this amalgamation. Smart city technology goes beyond bridging communication gaps; it fosters support networks, nurturing social cohesion and community resilience during challenging times (Firmansyah et al., 2019). The fusion of smart and resilient city concepts epitomizes a holistic urban environment wherein innovative technologies fortify resilience, driving sustainable growth and promoting urban well-being. This integrated approach underscores cities’ potential to navigate challenges and flourish amidst adversity, thereby cultivating a more resilient and adaptable urban landscape.

2.2 Public Open Space and Its Impact on Quality of Life The concept of Quality of Life (QOL) is often linked to the overall quality of a city's environment. Within urban contexts, this theory is specifically refined as Quality of Urban Life (QOUL) (Petrikovičová et al., 2022). The scope of QOUL encompasses various dimensions of life including politics, physical conditions, social dynamics, economic aspects, environmental conditions, mobility, and community psychology (Zahra, 2021). This implies that the urban environment can significantly influence the overall quality of life experienced by its inhabitants. A well-designed city correlates with an enhanced quality of life for its residents. QOL emphasizes that a favorable environment indirectly impacts both physical and psychological health as well as individual well-being. Notably, the quality of specific urban elements like public open spaces plays a pivotal role in determining the overall quality of life in terms of contentment, health, and safety (Low et al., 2018). Drawing from a synthesis of existing research, the physical state of public open spaces during the pandemic can be evaluated through several criteria, which include pedestrian pathways, amenities to support activities, sanitation facilities, accessibility, and imposed activity limitations. These evaluation points are grounded in various studies that focus on designing public open spaces that are holistically integrated with health and safety considerations, particularly in relation to infections and the transmission of viruses.

2.3 Case Study The City of Surabaya, Indonesia's second-largest city known for its theme parks, faces challenges in adapting its public spaces to the COVID-19 pandemic. Despite functioning as relaxation spots, these spaces hadn't been designed with pandemic considerations, leading to closures during the second wave. This is a missed opportunity as such spaces could

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offer alternative travel options, aiding happiness, health, and well-being (Prasetia, 2021). This situation indicates a lack of pandemic-resilient design. To address this, an investigation into public open spaces is essential for urban structural expansion in response to future disruptions and to enhance urban residents’ quality of life (Uhrig & Maharika, 2020). The city's parks, besides serving as public spaces, have historically been hubs for recreation, education, and performances. Pandemic-induced closures have resulted in the loss of low-budget recreational spaces, contributing to mental health challenges (Fahmi & Erfinanto, 2021; Jurecka et al., 2021; Mubasyirin, 2020). Despite these challenges, some individuals continue to visit the parks, albeit for a brief respite (Santoso, 2020). The sporadic reopening of parks, such as in April 2021, underlines the need for pandemic-resistant design. Enhancing park quality and introducing a pandemic-resistant concept could allow people to interact, experience nature, and improve their overall quality of life (Ugolini et al., 2020). Amid Indonesia's high COVID-19 cases, particularly in Surabaya, the significance of resilient public spaces becomes apparent. With Indonesia ranking fourth globally in COVID-19 cases, and Surabaya being the second-largest city in Indonesia, the urgency to adapt public spaces is evident (Wordometer data, accessed July 13, 2021). The case study of Bungkul Park in Surabaya, the city's most popular park, sheds light on the need for pandemic-resilient designs that can enhance both urban expansion and residents’ quality of life. Addressing this issue has become more crucial than ever as cities worldwide grapple with creating adaptable public spaces during these challenging times.

2.4 Methods This study applies a qualitative method with a case study approach. Research on case studies is a method used to collect naturalistic facts (real-life contexts). This study focuses on phenomena that occur in public open spaces during the COVID-19 pandemic era. This explains how a public open space from the side of the government and society is dealing with the COVID-19 pandemic. In practice, research on case studies may not have control where there are only a few cases studied but they can be studied in depth. In this case, the primary data collection in this study was conducted through observational surveys, questionnaires, and interviews. Observations were carried out by field observations and direct recording of existing conditions. Additionally, an online questionnaire using Google Forms was utilized to expand the respondent pool due to social restrictions during a pandemic. The systematic random sampling technique was selected for sample selection in this research. This approach involves

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randomly choosing samples within fixed intervals, proportional to the population size. The sample size was determined using the Slovin formula with a 10% margin of error. With the park's total population on its busiest day being 1,014 people (CNN, 2021), the required minimum sample size was 91. Based on Roscoe's theory, which was further explained by Sugiyono, an appropriate sample size for most survey research ranges from 30 to 500 respondents (Nadirah et al., 2022). Sample collection occurred between March 4– 18, 2022, resulting in a total of 177 respondents. Furthermore, interviews were conducted with 9 respondents to gain deeper insights into stakeholders’ perceptions of public spaces during the pandemic. The gathered observational data was then subjected to analysis, focusing on the conditions and transformations within Bungkul Park amid the COVID-19 pandemic. The questionnaire responses and interview outcomes were analyzed to ascertain how the Taman Bungkul system functioned as a public space during the pandemic.

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Result and Discussion

3.1 Phenomenon in Public Open Space Surabaya During Pandemic Bungkul Park is an urban park in Surabaya which has an area of around 14.517 m2. It is located in the heart of Surabaya City. Because of the strategic location, this urban park Fig. 1 Street situation surrounding Bungkul Park. Source The Author

is so easy to reach by the community, not only those who live in Surabaya but also outside of Surabaya City. The facilities in this park consist of a plaza, playground, water fountain, skateboard area, etc. Before the COVID-19 pandemic happened, this park was very crowded due to the Car Free Day (CFD) event that was held in Bungkul Park every Sunday morning. Since the park was closed due to the spread of the COVID-19 pandemic, the park has become empty of visitors. In April 2021, the opening of several parks in the city of Surabaya was carried out with the implementation of health protocols. During its three days of operation, there was a significant surge in visitors reaching 1,014 people on Sunday. Due to the second wave of increasing pandemic cases, the parks were closed again (CNN, 2021). The social isolation policy that was carried out for approximately 2 years caused saturation in the community, so they tried to visit this park even though it was still closed. According to observations, the closure of the park caused a shift in the crowd around the park. Everyone gathered on the sidewalks and paths around the park. (see Figs. 1 and 2). Especially on Sundays, the street around Bungkul Park which was originally used for transportation such as motorcycles or cars—has turned into a public space with various activities in it. These activities include parking for motorized vehicles, selling activities, places to eat, places to gather, and places to play. The accumulation of activity around Bungkul Park is contrary to the purpose of implementing a public space’s closing policy to reduce crowds that have the potential to be a place of virus transmission.

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Fig. 2 Pedestrian way outside Bungkul Park. Source The Author

Activity restrictions in public spaces are no longer being ignored. This is one of the efforts to increase security during the COVID-19 pandemic. The security officers in the park's area only discipline visitors who try to enter the Bungkul Park area (see Figs. 3 & 4). In general, looking at the phenomenon that occurs when lockdown indicates that the presence of public open space is very important. Limited access to urban parks makes people need more open public spaces, so they can be able to interact

Fig. 3 Bungkul Park access is closed. Source The Autho

face-to-face and release their boredom of social isolation. For children, having access to outdoor spaces is a place for them to play, learn, and have social interaction to develop their intelligence, so accessibility to outdoor spaces and nature will reduce the emotions of boredom experienced during the COVID-19 pandemic. Therefore, a solution is needed in public open spaces to overcome the problems that are happening to improve the community's quality of life.

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Fig. 4 Controlling visitors who enter the park. Source The Author

3.2 Public Open Space System in Surabaya These days, urban planning challenges are not only transportation congestion and climate change but also the public health pandemic crisis. The issue of the COVID-19 pandemic is becoming more important because it requires an effective solution by paying attention to social distancing. However, has the planning of public open spaces in Surabaya been good in responding to the pandemic? Based on interviews, most of the respondents said that most urban parks in Surabaya were still not adapting to the pandemic. One of them is to close urban parks to reduce crowds. It makes people lose space to gather, interact with other people, and play with their children. The school's shift to virtual spaces is causing many children and teens to be more bored and worried than they were in the pre-pandemic period. Simultaneously, many of them feel calmer and more relaxed (Jevtic et al., 2022). According to previously developed research, reports nearly half of children and adolescents experience emotional ups and downs. It could contribute to a decline in their well-being. And a factor to prevent that happen is to adjust their access to their friends, doing outdoor playgrounds and sports, and other healthy movement behaviors during the pandemic (Mitra et al., 2021). Then to achieve this, public open spaces must be accessible and safe to do their activities during the COVID-19 pandemic. According to the Health Protocols for the Public in Public Places and Facilities in the Prevention and Control of Corona Virus Disease 2019 (COVID-19), a safe

pedestrian path during a pandemic must be wide enough to accommodate people with a minimum distance of 1 m from other people. The community thinks that the pedestrian path in Bungkul Park is considered good, but it is still not enough to implement a one-way circulation arrangement for a path that can only be passed by 1 person at a safe distance. As long as the entry ban to the park is still applied, the facilities in the park cannot be used. Although the provision is sufficient for activities, visitors cannot access it during the pandemic. The facilities in the park such as a playground, bench/chair, and sports equipment have not yet been arranged to be activity space during the pandemic that is integrated with health during the pandemic. In addition, the distribution of trash bins in this park is evenly distributed throughout the park area, which are placed in every activity area and pedestrian path at a distance of every ±10 m. Cleanliness in Bungkul Park is also very well maintained by the staff. However, the distribution of facilities related to health protocol during a pandemic (soap, hand sanitizer, and disinfection) is still minimal. The following is the public's perception of urban parks in Surabaya: …because the park was closed, we became confused while looking for a place to sit and gather with people, the children also had no place to play, furthermore, the place to wash our hands in the park was still lacking too. Even though it's important, especially during this pandemic, so that we can always maintain health protocol during the pandemic, we can easily find a sink to wash our hands after we touch something... Anyway, when the park is opened and COVID-19 has disappeared, we hope it's still like before, we are still reminded to keep our distance, and keep clean, when we enter the park we have to wash our hands first.

Public Open Space in the Pandemic Era: A Case Study Surabaya, Indonesia What's important during a pandemic is protocol, like a sink to wash the hands. The place for washing hands in this park seems to be lacking, I don't know any more if the staff feels afraid that the children will make fun of it.... Also social distancing, the staff should still be given time setting to enter the park because it's still a pandemic. Yaa, it would be good if a playground were more added for children. Facilities such as a sink were also added so that visitors don’t need to go a little bit too far to wash their hands… Actually, there are problems with this road too, Ms. Some parks in Surabaya still lack access. Another side, the protocol is also the same, but still, needs to improve. Yaa, it is still ordered to wear masks and keep a minimum distance of 1.5 m from other people. Yaa... This park also doesn't have a barcode or smart system, or any kind of device that can show the number of visitors coming in real-time. From a safety point of view, I think.

Based on the statement above, shows that parks in Surabaya not only lack access but also lack in providing hygiene facilities such as places to wash hands, implement physical distancing, and other security layers during pandemics. In this regard, overall, hand washing facilities are still poorly distributed. A sink for washing hands is not placed in an easy-to-see location, making it difficult for park users to find them. During the COVID-19 pandemic, maintaining physical distance is one of the efforts to minimize the possibility of being infected by the virus. Judging from public complaints related to physical distance, Surabaya city park requires a solution that can direct the behavior of its visitors. People as park users in Surabaya report that public open spaces during the pandemic need to prioritize comfort, provide green space, and be accessible. With regard to comfort, Gehl in Castillo et al. (2022) reports that a comfortable public space should be able to reduce the potential and risk to safety, physical injury, unpleasant odors or sensory influences, and side effects of disasters. Comfort in public open spaces during the pandemic has changed due to health issues. Studies investigating human behavior and attitudes towards public open spaces show that behavioral changes may occur because of the restrictions that are applied, compared to the period before the restrictions. Changes in behavior and habits that occurred during the pandemic caused a shift in meaning in public open spaces. Jane Jacobs, an icon of the contemporary urban movement, previously suggested that a crowded public open space would be a safe space, while a quiet public open space would tend to be unsafe (Jasiński, 2020). Conversely, during a pandemic, public open spaces that are quiet or not crowded will be safe places, at least from exposure to the virus. In addition, green spaces in parks also have an impact on people's health and well-being through sports, socializing, or enjoying moments of peaceful relaxation in the area. The biggest challenge in responding to the COVID-19 pandemic is how to provide the necessary safe spaces for walking and cycling while implementing social distancing,

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as well as finding ways to avoid crowds in public places (Law et al., 2021). Public open spaces that can meet the needs of the community will indirectly improve the quality of life of its people in terms of health and happiness. To improve the quality of life during a pandemic, public open spaces must be easily accessible and inclusive. Bungkul Park itself is a park with a high level of crowd in Surabaya because of its popularity. People choose to keep visiting Bungkul Park during the pandemic because they see activity in the park or street food stalls on Sunday mornings or because the city parks near their lives are closed. As a result, existing activities can trigger crowds and the spread of viral infections. Thus, to make city parks more accessible, visitors who come to large parks must be limited and divided into smaller parks. Another appropriate word is the decentralization of public open space. For decentralization, it is important to keep all sources of green infrastructure open to support prosperity. There are several important factors for green infrastructure in improving welfare, including financing, equal access, and distribution of green infrastructure in urban areas. This factor is important to highlight to find solutions in urban planning that can reflect a positive effect on public health.

3.3 Concept of Public Open Space in the Pandemic Era By presenting the case study of Taman Bungkul in Surabaya, this research also aims to provide solutions to the proposed design concept for public open spaces that are resilient to pandemics. Pandemic-resilient public open spaces mean that those public open spaces are created to be able to adapt to a pandemic. This public open space will still be accessible during the pandemic era and inclusive of all circles of society. Thus, if a pandemic occurs and causes a decrease in people's quality of life, the existence of the park itself will be able to become a buffer. People will be able to visit open spaces for relaxation, recreation, and interaction, and it can even be used as a means of healing after being infected with COVID-19. Just like explained before, during a pandemic, it is important to avoid crowds and maintain health protocols. The dynamic park circulation arrangement and wide pedestrian paths are very influential for the individual's comfort in public open spaces. Figure 5 shows how the flow is arranged in such a way by applying one way to avoid running into other people. On the floor then signage is added to be able to direct the circulation of visitors while walking (see Fig. 5). In terms of the cleanliness of visitors themselves and the park, it is necessary to add disinfection gates at the entrance and exit area, so that visitors can disinfect themselves before and after their activities at Bungkul Park. In addition to the

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Fig. 5 Park’s circulation in Pandemic Era. Source The Author

disinfection gate, increasing the number of hand washing stations is also very important. Previous research explained that the placement of elements or facilities in public open spaces can affect a person's behavior in complying with health protocols during COVID-19 (Winarna et al., 2021). Therefore, matters relating to facilities that support hygiene and health can be placed at critical points that cause crowds, and are easy to reach and see. Some of them can be placed at intersection points, playground areas, sitting areas, etc.

Fig. 6 Disinfection Gate and Sink to wash a hand. Source The Author

(Fig. 6). To reduce touch, it is better to design a sink using an automatic or touchless system. Decentralization, in addition, needs to be applied in the urban context, and can also be applied to all facilities in parks. Facilities can be spread throughout the park to avoid crowds. With an emphasis on zoning, design, and other improvements (Ahsan, 2020). In this case, the facilities in the park are arranged more individually than before, namely by providing a minimum distance between facilities of 3 m,

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Fig. 7 Zoning in the Park during Pandemic. Source The Author

and a maximum space density level of 4 m2. Based on the Design of Distancing Guidelines, to encourage people to adhere to protocols during a pandemic, the design in the park can be designed with a variety of colors in contrast to form a personal zone for activity (Corporation, 2020). Figure 7 shows how various colors can be applied to the floors of the gathering place to emphasize the zoning of people's space and direct visitors to socially interact with others. For example, we can create a grid safe or marked public spacing circles. The color used can also serve as a marker of where people can sit or not. During a pandemic, the use of signage in public spaces is very important because it can help users understand how to navigate interventions safely (see Fig. 7).

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Discussion

The findings and recommendations of this study can have a global impact by offering guidelines and ideas for crafting pandemic-resilient open spaces that prioritize community well-being and safety. Several contributions can be applied worldwide, including: 1. Adaptive Design for Pandemic Resilience: The study underscores the importance of designing open spaces with pandemic adaptability. Implementing dynamic circulation, one-way paths, and spacious pedestrian areas can ensure physical distancing and minimize crowding.

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Such design principles can be employed in various public spaces to enhance resilience during health crises. Decentralization and Zoning: The research suggests decentralizing park facilities and designing personalized spaces with ample distancing. Zoning strategies, involving color-coded markers, can guide social distancing during activities. These adaptable concepts can be embraced globally, ensuring safe and organized urban environments. Inclusivity and Accessibility: The research highlights the importance of inclusive open spaces resilient to pandemics. Designing spaces that accommodate diverse populations fosters community well-being. Creating features catering to various needs can lead to equitable and resilient public spaces on a global scale. Promoting Mental and Physical Well-being: Especially vital during crises like pandemics, public open spaces contribute to mental and physical well-being. By designing spaces for relaxation, recreation, and healing, communities experience improved quality of life and overall resilience. Flexibility for Future Preparedness: The study advocates for adaptable public spaces beyond the current pandemic, catering to future crises. Integrating flexible design and strategies ensures continued functionality during unforeseen challenges, enhancing community resilience.

By integrating these contributions into urban planning and design practices, public open spaces can become universally resilient, adaptable, and user-friendly. Ultimately,

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this approach promotes community well-being and safety during pandemics and beyond on a global scale. In addition, there are recommendations for future research that can be carried out to enhance the findings. Specifically, the focus is on how pandemic-resilient public open spaces can be synergized with climate resilience. The study explores how strategies aimed at tackling the health crisis and climate challenges can be integrated.

5

Conclusion

The COVID-19 pandemic itself has caused changes in all aspects of life, from the economic aspect to the use of public open spaces as recreational spaces. Several phenomena that occurred in public open spaces in Surabaya during the pandemic were that city parks had to be closed to reduce the spread of the virus. As a result, during the peak period of the pandemic and the first lockdown, it greatly affected recreational and relaxation activities in the park. People become unable to access urban parks because outdoor activities are very limited and as much as possible they must stay at home. In contrast to when entering the second period of the COVID-19 pandemic, it seems that people feel bored due to social isolation, and not a few of them visit parks to unwind and see nature. This resulted in the crowd that initially tended to be in the park area shifting to the area around the park. Restrictions on activities in public spaces are almost ignored. This is a shape of security during the COVID-19 pandemic. In addition, the accumulation of activities around the park area is contrary to the purpose of implementing a policy of closing public spaces to reduce crowds. The existence of these phenomena indicates that the availability of public open spaces is very important during the COVID-19 pandemic. The results of the analysis of the public open space system show that parks in Surabaya are still not sufficiently adaptable to the pandemic. The elements in it, such as safe pedestrian paths, complete facilities that support cleanliness, facilities for activities, and access during the pandemic are still not open to users. People regret that the park in Surabaya, which is already good, cannot be accessed, thus making them lose their place for relaxation, recreation, social interaction, etc. Public open spaces during a pandemic need to prioritize comfort, provide green, accessible, and inclusive spaces. One solution that can be suggested is to decentralize the park and break up visits to the park. To create public open spaces that are resilient to the COVID-19 pandemic, several solutions have been proposed. An important factor in creating a pandemic-resilient public open space is avoiding crowds as much as possible and maintaining health protocols. Therefore, public open space

must have a dynamic circulation arrangement, have sufficient lane width to maintain distance from other people, provide clear zoning for people to be able to move, the facilities must be created more individualistically with a minimum density of 4 m2, and have a cleaning and healthy support facilities that distributed throughout the public space area. Acknowledgments This paper is part of research entitled “Public Open Space Resilient to the Covid-19 Pandemic: A Case Study Urban Parks in Surabaya” funded by BRIN-DIKTI 2022. The authors gratefully acknowledge this financial and technical support.

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Nadirah, S. P., Pramana, A. D. R., & Zari, N. (2022). Metodologi penelitian kualitatif, kuantitatif, mix method (mengelola Penelitian Dengan Mendeley dan Nvivo): CV. Azka Pustaka. Novianto, D., Nuffida, N. E., & Gao, W. (2021). A Review of Architecture Response to the Pandemic towards New Normal Behavior. JAILCD Retrieved from https://cir.nii.ac.jp/crid/ 1520573331208118400, 13–18. Retrieved from https://cir.nii.ac. jp/crid/1520573331208118400. Petrikovičová, L., Kurilenko, V., Akimjak, A., Akimjaková, B., Majda, P., Ďatelinka, A., Biryukova, Y., Hlad, Ľ, Kondrla, P., & Maryanovich, D. (2022). Is the size of the city important for the quality of urban life? Comparison of a small and a large city. Sustainability, 14(23), 15589. Prasetia, A. (2021). Pentingnya Ruang Publik Jadi Pelepas Penat Kala Pandemi. Retrieved from https://news.detik.com/foto-news/d5585340/pentingnya-ruang-publik-jadi-pelepas-penat-kalapandemi/4. Purwanto, A., Asbari, M., Fahlevi, M., Mufid, A., Agistiawati, E., Cahyono, Y., & Suryani, P. (2020). Impact of work from home (WFH) on Indonesian teachers performance during the Covid-19 pandemic: An exploratory study. International Journal of Advanced Science and Technology, 29(5), 6235–6244. Santoso, A. S. (2020). Pengunjung Beberkan Alasannya Mengunjungi Taman Bungkul Surabaya di Tengah Pandemi Virus Corona. Tribun News. Retrieved from https://www.tribunnews.com/travel/ 2020/03/21/pengunjung-beberkan-alasannya-mengunjungi-tamanbungkul-surabaya-di-tengah-pandemi-virus-corona. Sharifi, A., & Khavarian-Garmsir, A. R. (2020). The COVID-19 pandemic: Impacts on cities and major lessons for urban planning, design, and management. Science of the Total Environment, 749, 142391. Ugolini, F., Massetti, L., Calaza-Martínez, P., Cariñanos, P., Dobbs, C., Ostoić, S. K., Marin, A. M., Pearlmutter, D., Saaroni, H., & Šaulienė, I. (2020). Effects of the COVID-19 pandemic on the use and perceptions of urban green space: An international exploratory study. Urban Forestry & Urban Greening, 56, 126888. Uhrig, N., & Maharika, I. F. (2020). Menata Ulang Ruang Publik Yang Tahan Pandemi. Retrieved from https://www.uii.ac.id/menataulang-ruang-publik-yang-tahan-pandemi/. Widjono, R. A. (2020). Analysis of user experience in virtual art exhibition during pandemic. Paper presented at the International Conference of Innovation in Media and Visual Design (IMDES 2020). Winarna, W., Bawole, P., & Hadilinatih, B. (2021). Redefinisi ruang publik di masa pandemi COVID-19 studi kasus di kota Yogyakarta. Vitruvian: Jurnal Arsitektur Bangunan dan Lingkungan, 237–256. Zahra, H. A. (2021). Green Open Space to Improve Quality of Life Pasca Pandemic. Paper presented at the Ruang Berbagi 4: Post Pandemic Public Space, Indonesia.

Digital Transformation and Interaction Strategies

Digital Progress in the Regeneration of Obsolete Neighbourhoods of the 1960s: Opportunities and Risk Rafael Herrera-Limones, Miguel Hernández-Valencia, Jorge Roa-Fernández, and Álvaro López-Escamilla

of obsolete Andalusian neighborhoods”, funded by the Local Government of the Junta de Andalucía (Spain). The Aura Strategy proposes, in a gradual way, the requalification of the social, material and energetic identity, seeking an improvement in the comfort and health of the inhabitants, resulting in an increase in their quality of life. The current Digital Technological Development must be integrated into urban regeneration projects, from the territory analysis phase, relying on the use of GIS systems and UAV technology, with the aim of solving problems such as energy poverty, communications, transport, health care or levels of public safety. However, the high average age and the low level of education of the population in this type of neighbourhoods can lead to situations of social exclusion and that digital progress becomes an obstacle in people's lives.

Abstract

Neighbourhoods built in the 1950s and 1960s in Europe in response to the massive migration of workers to the cities need to be rehabilitated because they are currently showing high rates of obsolescence. Such action cannot be approached in terms of demolition or new construction but in terms of comprehensive urban regeneration. The intervention strategy in these obsolete neighbourhoods must be based on methodologies that allow the rehabilitation of buildings, based on the conservation and reuse of the existing urban fabric, as opposed to other approaches based on demolition and new construction, explicitly reducing the carbon footprint of the process. This intervention methodology is the one proposed by the AURA Strategy, developed by a group of researchers from the University of Seville, tested in different editions of the international Solar Decathlon competition, and currently being applied to the Polígono San Pablo neighbourhood (Seville, Spain) as part of the Research Project “Direct application of “Aura Strategy” of the SOLAR DECATHLON-U.S. TEAM, in the rehabilitation R. Herrera-Limones
M. Hernández-Valencia
J. Roa-Fernández
Á. López-Escamilla (&) University Institute of Architecture and Building Sciences, School of Architecture, University of Seville, Avda. Reina Mercedes 2, 41012 Seville, Spain e-mail: [email protected] R. Herrera-Limones e-mail: [email protected] M. Hernández-Valencia e-mail: [email protected] J. Roa-Fernández e-mail: [email protected] R. Herrera-Limones
M. Hernández-Valencia
Á. López-Escamilla Research Group HUM-965, University of Seville, Seville, Spain J. Roa-Fernández Research Group TEP-206, University of Seville, Seville, Spain

Keywords











Urban regeneration Retrofitting housing Comfort Neighbourhood Real estate Elderly population

1




Introduction

The Smart Cities concept is conceived together with the improvement of citizen's quality of life (Macke et al., 2018) based on strategies linked to sustainability, digitalisation and artificial intelligence (Kumar et al., 2018), offering local governments detailed (Sari & Rachmawati, 2021) and updated information to help in the management of the basic services of urban centres, such as cleaning, security, mobility, water management, etc., (Ho & So, 2017). The term “Smart City” is relatively new and therefore is still in a stage of evolution (Allam & Newman, 2018), it has been analysed from the Web Of Sciences database, the scientific publications up to the present time (10/08/2022), and specifically the scientific articles, related to the term “Smart

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_8

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Fig. 1 Evolution of the number of publications on “Smart Cities” by year (2014–2023)

Cities” or “Smart City”, with the aim of analysing since when this term has been used in the scientific field and to find out what is understood with the concept “Smart City” and to which areas it has been related to a greater extent. In this sense, it has been found that it is a terminology that only began to be used a decade ago, with a growing interest in recent years, as the number of scientific articles published related to this term has been increasing (Fig. 1). It seems obvious that the term “Smart City” is related in time with the explosion of ICTs, digitalisation and the development of tools that allow the management of huge databases (Fernández Rodriguez et al., 2017), the so-called Big Datas (Chacón et al., 2018). All these tools are useful and applicable to many different areas related to industry, health or marketing, just as they can help to manage the development of urban centres made up of individuals who are increasingly digitally interconnected. However, the term “Smart City” may have a certain similarity with the term “Sustainability” in that it is too broad, ambiguous and sometimes linked more to commercial strategies than to an effective way of making a city. In other words, it is necessary to specify what is a “Smart City” or what is a “sustainable city”. In this line, therefore, as with the concept of “Sustainability” where various research has focused on determining sustainable indicators to help develop methodologies for evaluating sustainable cities or buildings (Laslett & Urmee, 2020; Mori & Christodoulou, 2012; Rueda Palenzuela, 2011), for the concept of “Smart City” research is also being developed to assess what indicators could be taken into account to evaluate a Smart City (Nunes et al., 2021), with indicators such as: Services; Planning and Environment; People; Transport and Mobility; Infrastructure and Materials; and Technology (Castanho et al., 2021).

However, the “Smart City” concept also has negative aspects (Grossi & Pianezzi, 2017) and evaluation methodologies such as those described above can contribute to frivolously differentiating between good and bad cities (Vanolo, 2014), and, on the other hand, excessive “technologisation” of cities can lead to the exclusion of certain social strata (by age, education, etc.) (Lytras and Visvizi, 2018). On the other hand, the development of Big Data requires the capture of a huge amount of information (Caragliu & Del Bo, 2019), which leads multinationals and governments to exert excessive control over the individuals of a population, limiting their privacy (Eckhoff & Wagner, 2018). However, there is research aimed at developing tools to ensure the privacy of individuals (Sengan et al., 2020). Due to the varied approaches from which the scope of Smart Cities has been investigated, an extensive review of the existing literature has been carried out in the last decade (Table 1), classifying them according to one of the Smart Cities evaluation methodologies developed by other members of the scientific community (Castanho et al., 2021). In the literature reviewed, the regenerative nature of the “Smart City” concept has been confirmed, i.e. a large part of the technology under analysis is focused on improving the quality of life of the inhabitants of existing cities or urban fabrics. Although there are cases of cities created from the outset focused on the development of smart technology. In terms of urban planning, the Smart City concept does not usually take into account, for design, criteria related to passive solar architecture or the comfort of public spaces. Instead, it focuses on traffic optimisation, public transport development, water management, energy generation, and the promotion of investment by private companies.

Digital Progress in the Regeneration of Obsolete Neighbourhoods of the 1960s: Opportunities and Risk

107

Table 1 Classification of the literature reviewed References

Smart Cities Indicators (Castanho et al., 2021) Services

(Li et al., 2022; Tiwari et al., 2022) (Sari & Rachmawati, 2021)

Urban planning and Environment

Persons

Transport and Mobility

X

Infrastructure and materials

Tecnology

X

X

X

X

(Jiang et al., 2021; Kashef et al., 2021)

X

(Calvillo Arbizu et al., 2021; Yigitcanlar et al., 2021)

X

X

(Aurigi & Odendaal, 2021; Kitchin & Moore-Cherry, 2021; McGuirk et al., 2021; Ullah et al., 2021; Wang et al., 2021)

X

(Bjorner, 2021; Ji et al., 2021; Nunes et al., 2021; Obringer & Nateghi, 2021)

X

(Hornillo Mellado et al., 2020; Sengan et al., 2020)

X

(Ooms et al., 2020; Wathne & Haarstad, 2020)

X

X

X

X

X X

(Sharma et al., 2020) X

X

X

X

X

X

X

X

(Naranjo et al., 2019)(Salmerón García et al., 2019)

X

(Caragliu and Del Bo, 2019; Coletta et al., 2019; Giourka et al., 2019; Trencher and Karvonen, 2019)

X

X

(Habibzadeh et al., 2019) (Trencher, 2019)

X X

(Ferraris et al., 2019; Qi & Shen, 2019) (Desdemoustier et al., 2019; Ferraris et al., 2020; Kummitha & Crutzen, 2019; Nilssen, 2019)

X

(Kumar et al., 2018)

X

(Pérez Chacón et al., 2018; Gómez Expósito et al., 2018)

X

X

X X

X

X

X

X X

X

X

X X

(Huang & Kuo, 2018)

X

(Ferraris et al., 2018)(Macke et al., 2018)

X

(Axelsson & Granath, 2018; Palomo-Navarro & Navío-Marco, 2018)

X

X

X

X X

(Memos et al., 2018; Santana et al., 2018)

X

(Castro Nuño et al., 2018) (Allam & Newman, 2018)

X X

(Picardal et al., 2020) (Sancino & Hudson, 2020)

X X

X

X

X

X

X

(Eckhoff & Wagner, 2018; Lytras & Visvizi, 2018) (Petrolo et al., 2017; Taylor Buck & While, 2017; Viale Pereira et al., 2017; Zhuhadar et al., 2017) (Fernández Rodriguez et al., 2017)

Critical analysis

X X

X

X

X

X (continued)

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R. Herrera-Limones et al.

Table 1 (continued) References

Smart Cities Indicators (Castanho et al., 2021) Services

Urban planning and Environment

Persons

Transport and Mobility

Infrastructure and materials

Tecnology

(Grossi & Pianezzi, 2017)(Haarstad, 2017)(Kummitha & Crutzen, 2017) (Ma Li, 2017; Trindade et al., 2017)

X X

X

X

(Ferrer et al., 2016)

X

X

X

X

(Scuotto et al., 2016) (Ahlgren et al., 2016)

Critical analysis

X

(Bulkeley et al., 2016; Snow et al., 2016)

X

(Meijer et al., 2016)

X

X

X

X

X

X

(Olmedo Moreno & López Delgado, 2015)

X X

X

X

X

X

X X

(Datta, 2015)

X

(Vanolo, 2014)

X

X is used to indicate the use of this indicator in the referenced article

In this sense, this research focuses on the analysis of the term Smart City as an urban planning criterion, trying to understand the characteristics that the scientific community has associated with it. In addition, it is considered important to evaluate whether obsolete cities and urban areas that were not designed under the Smart City criteria are adapting to the characteristics that are presupposed by this concept. For this purpose, the Polígono de San Pablo neighbourhood (Seville, Spain) will be used as a case study, where an evaluation will be carried out as a representative residential complex of a socially and urbanistically obsolete neighbourhood, built in the 1960s. The primary goal of this study, situated within the framework of the AURA Project's development, is to assess the Polígono de San Pablo neighbourhood in Seville. This neighbourhood serves as a representative instance of a European working-class community constructed in the 1960s, which presently grapples with pronounced levels of vulnerability and both social and urban antiquation. The evaluation aligns with the criteria extrapolated from pertinent literature and the requisite attributes for Smart City classification. This outlined objective also endeavours to address a deficiency identified within the reviewed literature. Notably, technology tailored to Smart Cities fails to account for the needs of the most marginalised demographics (Wang et al., 2021), encompassing individuals with disabilities or the elderly, for whom technology employment can pose challenges in their daily routines.

Hence, the primary intention of this investigation revolves around exploring solutions concentrated on revitalising outmoded neighbourhoods characterised by a substantial proportion of residents aged 65 and above.

2

The Smart City Concept for Urban Regeneration

The origin of Proyecto AURA lies in the need for the regeneration of the neighbourhoods that were built in the 50s and 60s in Europe in response to the massive migration of workers to the cities. However, these interventions cannot be approached in terms of demolition and/or new construction, but as a global regeneration of the urban fabric. The intervention strategy in these obsolete neighbourhoods must be based on methodologies that allow for the rehabilitation and transformation of buildings, based on the conservation and reuse of the existing urban fabric, as opposed to other approaches based on demolition and the generation of new constructions. This intervention methodology is the one proposed by the AURA Strategy, which has been developed by a group of researchers from the University of Seville, and tested in different editions of the Solar Decathlon competition (Herrera-Limones et al., 2019), (Herrera-Limones et al., 2021) and which is currently being applied to the Polígono San Pablo neighbourhood as part of the Research Project “Direct application of the “Aura Strategy” of the SOLAR

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109

Fig. 2 Aerial view from 1956. Source Seville City Council

DECATHLON-U.S. TEAM in the rehabilitation of obsolete Andalusian neighbourhoods”, financed by the Junta de Andalucía (Spain). The Aura Strategy is an “urban acupuncture strategy” which, in a gradual way, proposes the requalification of the social identity, material and energetic, seeking an effective improvement in the comfort and health of the inhabitants, resulting in an increase in their quality of life. In this sense, the AURA Strategy proposes to focus urban regeneration interventions based on four lines of action that encompass the sense of action. These lines are: – – – –

Comfort and Health Materiality Cultural Identity and Accessibility Conditioning and Energy

2.1 Polígono De San Pablo Neighbourhood (Seville, Spain) The AURA Project should be explained as an intervention methodology, i.e. it is not a closed project but a set of strategies applicable to different social and urban contexts. In this case, it has selected as a case study the neighbourhood of San Pablo, located in Seville (Spain), because this neighbourhood is considered representative of many others that were built in Europe at the same time, with the same purpose, and that today present the same deficiencies and shortcomings.

This neighbourhood, which at the time of its construction was located outside the city centre (Fig. 2), is today completely integrated into the urban fabric of the city, being located next to the train station and close to the historic centre. Its construction was carried out in 5 phases and this has led to the fact that today the neighbourhood is administratively divided into 5 zones, which have different housing typologies (Fig. 3). Regarding the social morphology of the neighbourhood, it is worth noting the high percentage of the population over 64 years old (Table 2), as can be read in the “Local Health Plan of Seville 2019–2023” with data extracted from the National Institute of Statistics (INE-Spain). Furthermore, San Pablo is identified as one of the city's neighbourhoods with the lowest average income per dwelling, according to data from 2014 this income did not exceed 18.500 €. In this sense, San Pablo is considered one of the vulnerable neighbourhoods in Spain, according to the Atlas de Vulnerabilidad Urbana de España (Hernández Aja et al., 2015), elaborated by the Ministry of Public Works of the Government of Spain following the Urban Vulnerability Indicators (IBVU) among which are the percentage of the unemployed population, population without studies and housing characteristics (Aja et al., 2018). In summary, the main characteristics of the neighbourhood to be taken into account in a process of urban regeneration and smart technology implementation could be listed: – High percentage of older population. – Low income. – High percentage of unemployed population.

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Fig. 3 Location map of the District of San Pablo in relation to the city of Seville. Source Home and Architecture, No. 66, 1966, p. 6

Table 2 Percentage of population over 64

Zones

Percentage (%)

San Pablo A y B

7507

25

San Pablo C

3834

28

San Pablo D y E

7338

25

– Buildings more than 60 years old. – Area integrated urbanistically into the city. These characteristics are common to many other neighbourhoods in Europe, so the reflections and conclusions drawn from this study could be applicable to other urban contexts.

3

Total population. Census 2016

Sevilla: Smart Cities Network

The city of Seville and its local government has shown for several years a certain sensitivity for the Smart City as a strategy to modernise and improve the city, so much so that Seville is part of the Spanish Network of Smart Cities (RECI), while it has a “Seville SmartCity Innovation Master Plan”, and several projects developed with funds from the European Union: – Sevilla Smart Accessibility Tourist and Event (2017). – Horizon Smart Seville In addition, the Seville SmartCity Spatial Data Platform is active, whose objective is to offer the population updated

information about the city, as well as a platform for citizen participation. The objectives detailed in the Master Plan are: – To promote a comprehensive vision Improve knowledge of the city from an integral and shared vision through the measurement and monitoring of data on the execution of urban services. Monitoring that generates sufficient information to detect undesired behaviour, the optimisation of services and decision-making on new or current services. – Intelligent Management of Urban Services Application of technologies in the different areas of city management, with the aim of offering more intelligent services that achieve improvements in efficiency and increase citizen satisfaction. – Dynamisation of the digital society. Promote digital literacy in all areas of citizenship, both economic and cultural, tourist, environmental, social, etc., encouraging the revitalisation of the business fabric and strategic sectors of the city, through the use of new

Digital Progress in the Regeneration of Obsolete Neighbourhoods of the 1960s: Opportunities and Risk

technologies and facilitating the creation of innovation ecosystems. – Intensify Citizen Services and Manage the Social Services To carry out the management, control and monitoring of the different mechanisms of citizen assistance offered by the Community Social Services through the implementation of new technologies that cover the management needs In view of the objectives described in this Master Plan and the 2 projects framed in the context of a Smart City, there is a clear lack of social sensitivity in them, i.e. in the case of the Master Plan they are very ambiguous objectives, where no attention is paid to the vulnerable population nor is priority given to the urban regeneration of the most depressed areas of the city. On the other hand, tourism and business development are very much on the agenda. It is worth mentioning the efforts made by the Local Administration in the SmartCity of Seville Spatial Data Platform (https://idesevilla.maps.arcgis.com/), where, through the use of GIS technology, it makes available to citizens an important database in open format (Fig. 4).

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This web portal contains classified information on roads, neighbourhood planning, citizen information points, information on each plant species and trees in the city (Fig. 5), as well as cultural data, heritage and demographic information. In addition to this, all the procedures between the citizen and the administration have been digitalised, where through the City Council's web portal it is possible to carry out administrative procedures both with the City Council and with its service companies: EMASESA (water management), EMVISESA (housing), TUSSAM (public transport), etc. In addition, all the Health Centres are connected to the Andalusian Health Service Portal (ClicSalud + ), so it is possible to carry out online procedures with the public health service.

4

Analysis

Urban planning in the neighbourhood of San Pablo (Seville) was not originally focused on digitalisation, nor was it designed under the parameters that identify a Smart City, as analysed in the literature review.

Fig. 4 Map of the cycle lane network extracted from the Spatial Data Platform. The location of San Pablo is highlighted. Source Seville City Council

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Fig. 5 Vegetation plan of San Pablo A and B. Source Seville City Council

However, an analysis has been carried out at neighbourhood level, to detect deficiencies and potentialities of this neighbourhood when it comes to being able to “transform” itself into a Smart City, using the criteria used in the literature review: Services; Planning and Environment; People; Transport and Mobility; Infrastructures and Materials; and Technology; crossing them with the lines on which the AURA Strategy is based: Comfort and Health, Materiality, Cultural Identity and Accessibility, Conditioning and Energy.

Comfort and health Although it is a neighbourhood with a high level of neighbourhood interaction, not all older people have the help of a younger family member who can help them with digital procedures Transport and Mobility

The city of Seville has alternatives to the use of private transport such as urban buses, bike lanes, scooter and electric motorbike services On the positive side, air pollution in the city is reduced, however, all these services (except the city bus service) work only through mobile applications, making it impossible for a significant part of the population to use them It should be noted that there is a mobile application to control the arrival time of the urban buses, but the use of this transport is done with a physical voucher, so anyone can buy it and use the urban bus

Infrastructure and materials

There are no air quality meters or digital information screens in the neighbourhood. There are public thermometers

Tecnology

All the Health Centres in Seville are interconnected through the ClicSalud + APP, from which users can carry out procedures such as obtaining appointments or administrative procedures

Comfort and health Services

The digitalisation of patients’ health data is the responsibility of the administration of the Junta de Andalucía. In this sense, for several years now, the records of all patients in Andalusia have been computerised and are accessible in all health care facilities in the region

Urban planning and Environment

La digitalización del Sistema de Salud Público da a la Administración datos suficientes para poder optimizar su uso y ofrecer el mejor servicio posible a los ciudadanos

Persons

Given that almost 30% of the population living in the San Pablo neighbourhood is over 64 years old, the digitisation of procedures with the Health Centres is making it difficult for people who do not know how to use this technology (continued)

Digital Progress in the Regeneration of Obsolete Neighbourhoods of the 1960s: Opportunities and Risk Materiality

Cultural identity and accessibility

Services

In neighbourhoods where, due to their age, it is necessary to develop specific plans for the rehabilitation and repair of building pathologies, it is important to provide the neighbours with ways for them to be the ones to demand and alert them to the needs that are appearing in the neighbourhood

Urban planning and Environment

We have seen in the previous section how, through GIS technology, the Seville Data Platform collects all the city's plant species

Persons

Citizen participation in dynamic neighbourhoods such as San Pablo is necessary, however, citizen participation actions are channelled through the City Council's digital channels, which means that older people, who know the neighbourhood best and are also the most dynamic and committed, are unable to contribute their vision

Transport and Mobility

In addition to the network of cycle lanes and sustainable transport that exists in Seville and from which this neighbourhood benefits, it is important to provide more pedestrian routes using signage for people with visual impairments, hearing impairments or reduced mobility

Infrastructure and materials

The modernisation and digitalisation of the neighbourhood's infrastructure should be a regeneration strategy, providing the latest technology for schools, shops and sports facilities

Tecnology

In this neighbourhood, the case study, which has a high unemployment rate, it is necessary for institutions to use training using technology as a tool to equip young people in the neighbourhood with skills and abilities to find employment and avoid situations of social exclusion

the population with reduced mobility and this must be taken into account when dealing with the regeneration of the neighbourhood The traffic lights are not adapted for blind people Infrastructure and materials

One of the major shortcomings of the San Pablo neighbourhood is the absence of lifts in most of the buildings up to 5 storeys high. This makes it impossible for part of the population to access the street It is necessary to take measures in this sense or, at least, while this is being resolved, to take measures and offer tools so that people with disabilities can get basic services to their homes without depending on relatives or neighbours: food, medicines, etc

Tecnology

Existing technology is not accessible to the older population

Conditioning and energy Services

Air conditioning is one of the main problems for many residents of San Pablo, who do not have the option of heating their homes in winter or cooling them in summer because they cannot afford to pay the price of energy It is important to put technology at the service of these social problems, currently, there is no measure focused in this direction

Persons

San Pablo is one of Spain's vulnerable neighbourhoods and therefore there is a problem of energy poverty, using technology for energy self-management would improve the quality of life of the residents

Transport and Mobility

Different alternatives to private transport are offered

Infrastructure and materials

San Pablo, located in Seville and therefore in the south of Spain, is in one of the areas with the most hours of sunshine per year. This should be taken advantage of so that residents do not suffer from energy poverty, for example through the installation of solar panels

Technology

There is no self-management energy technology and the electrical installations in the buildings are obsolete

Cultural identity and accessibility Services

Urban planning and Environment

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Although the San Pablo neighbourhood has architectural value and even has heritage buildings, it is not on the city's “tourist circuit”. Including it in the tourist APPs would be good for the social and economic revitalisation of the area It is necessary to develop plans that encourage vegetation and the re-greening of neighbourhoods, where citizen participation in these processes of naturalisation of the city is essential to strengthen the link between neighbours and their community

Persons

Thanks to various surveys carried out in the neighbourhood, it has been possible to confirm the strong personal and sentimental attachment of the residents

Transport and Mobility

The San Pablo neighbourhood needs to make progress in terms of accessibility criteria, there is a significant percentage of (continued)

5

Conclusions

After delving deeply into the theoretical concept of the “Smart City” and its application through a case study of a dilapidated social settlement in Europe, several significant conclusions arise: The notion of the “Smart City” focuses on improving existing urban centres, but the literature review highlights the absence of social sensitivity and the neglect of revitalising the most disadvantaged areas within cities.

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Furthermore, the challenges faced by the elderly population in adopting certain digital tools are overlooked, resulting in their social exclusion. Nonetheless, the profit motive underlying the promotion of specific technologies is evident, and both governmental entities and private companies show a marked interest in collecting data and information about population behaviour. Urban planning from the Smart City perspective primarily centres on harnessing data for urban design, disregarding considerations such as passive solar architecture, comfort, and social aspects. Instead, objective metrics like traffic management and urban service administration are prioritised. This inadvertently places an emphasis on private investment in areas related to essential societal needs. Within the context of Seville's San Pablo neighbourhood, the district assumes a passive role in the initiatives undertaken by the municipal administration. It benefits from city-wide initiatives, yet is not the primary target or central focus of any of the undertaken projects thus far. Addressing the necessity for digital literacy extends beyond merely the elderly demographic, as even the less educated youth are at risk of exclusion from the contemporary digital landscape. Such individuals find themselves vulnerable in a society reliant on resources for which they lack preparation. The San Pablo neighbourhood grapples with two primary challenges: the absence of elevators (resulting in adverse consequences for the elderly) and energy poverty. Curiously, neither the scientific community's literature, the initiatives executed by the Seville City Council, nor the endeavours propelled by the Smart Cities Network have explored these issues in-depth. In summation, there exists a looming risk of diminishing the significance of the “Smart City” concept, transforming it into a mere marketing commodity, should governments restrict its use to the development of commercial products. The focus should instead be on harnessing technology and digitisation to elevate the quality of life for citizens, rather than treating them as customers in a transactional landscape. Funding Research Project: “Direct application of the Aura Strategy by the SD-US Team for the regeneration of outdated Andalusian housing estates”, as well as a methodological approach for the estate of San Pablo, Seville (as a case study for the extrapolation of results to similar environments, through the implementation of sustainable regeneration in the working-class residential area). The project was granted in the resolution of July 28th, 2021 by the Ministry of Development, Infrastructure and Territorial Planning (Local Andalusian Government), within the 2020 call for grants for carrying out research projects in the areas of housing, rehabilitation and architecture. Competing Interests The authors have no conflicts of interest to declare that are relevant to the content of this chapter.

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7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities Abdulmajeed S. Mangarah and Max Ryerson

platform stacks. This in turn will ensure better leverage of technology and connect the technology investment to the experience benefits for stakeholders, whilst also considering the transformation of the city’s operational team.

Abstract

The smart city concept represents an extraordinary opportunity to leverage technology in the service of the city and its inhabitants. However, the track record is varied, with numerous efforts that missed the objective. This paper will articulate how the City of Madinah, via MDA, took a human-centric approach and addresses its benefits (realized and expected). The approach undertaken needed to build the connecting fabric between strategy, vision, and execution, to design a way that drives value-orientated innovation and breaks down the silos between functional and technology factions. Therefore, the approach focuses on utilizing human-centric user journeys to drive the definition of digital services, associated places, and key enablers, all in the service of delivering a best-in-class experience to the city’s users (i.e. citizens). In other words, the value lies with the experience rendered, not the technology deployed. Additionally, by using this human-centric user-journey approach, a city will achieve the concept of adaptive strategy and have a dynamic method to measure the city’s value as well as a lens to capture a city as a whole system. To realize the benefits of this approach, there was a need to focus on people, place & purpose, and to drive out a transformation paradigm that could be understood over time, across all phases of the city’s transformation. The approach also needed to focus on the evolution of a “City Operating System”, where digital services are accessed in a “as-a-Service” model. This Digital Services Mesh is envisioned to evolve in function and sophistication, driving real requirements into the technology and A. S. Mangarah Smart City Program Director at Madinah Region Development Authority MDA, Madinah, Saudi Arabia e-mail: [email protected] M. Ryerson (&) CEO at Stratforce Group and Smart City Author, London, UK e-mail: [email protected]

Keywords















Smart city User-centric Digital service Transformation Experience People Place Economics Disruption


1

Purpose

Introduction

Madinah is called Al-Madinah Al-Munawwarah in Arabic, which literally means “The Enlightened City”. It is also called “the City of the Messenger of God” and ancient Yathrib. It is located in the Hejaz region of Western Saudi Arabia, about 150 km inland from the Red Sea, and about 440 km from Makkah by road. With its rich history and as a major Islamic pilgrimage site, Madinah is the second holiest city in Islam after Makkah. Madinah city is home to 1.39 million residents, 64% of them being Saudi nationals. In addition to that, the Enlightened city has a 9 million floating population per year for Hajj and Umrah visitors, which makes it one of the most populated governorates in the region. Al Madinah Region Development Authority (MDA) is a Saudi Arabian governmental agency that has an aspiration to expand Madinah city as a major city for tourists, residents, and organizations by creating an innovative environment using data and communication technology that will positively impact the public and inspire private investments. As MDA explored different approaches for the city of Madinah to flourish, Madinah Smart City Program (MSCP) was introduced in early 2017. In the beginning, MSCP took a supply-driven approach, which was applied by many cities

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_9

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in the world at that time, and was managed by the IT Department within MDA. By 2020, MSCP was transferred to a newly established sector called Data and Innovation at MDA. This restructuring was associated with a shift of paradigm from a supply-driven to a demand-driven approach. Consequently, the new vision of the Madinah Smart City Program focuses on human centricity and a demand-driven approach. MDA’s initial supply-driven strategy was common among many cities worldwide. However, MDA’s realization that a technology-feature-focused strategy alone was not going to deliver the complete vision of MDA is commendable. MDA was smart to realize that it would also be required to equally consider the needs of the city’s citizens, residents, and visitors (altogether, the demand side) if it was to develop a successful smart city for Madinah. Al Madinah’s new approach to delivering its smart city program is transferrable to any city in the world. The systemic thinking and principles followed ensure that this is feasible not just here but in any city in the world, adapting it for local relevance. In our opinion, and the reason why we have chosen to focus on Al Madinah is that, Al Madinah is emerging as one of the leaders in its approach to implementing a smart city program—and one that all cities can learn from. It’s undeniable that the future of cities is their evolution to smart cities. Effectively, the digital transformation of a city has many advantages allowing for healthier environments, increased efficiencies, lower energy consumption, cost reductions, improved citizen happiness, delivering convenient and relevant experiences to the city’s residents and visitors—just to name a few of the possible outcomes. It is predicted that the market for the digital transformation of cities (Smart Cities Market) will grow from US$457.0 Billion in 2021 to US$873.7 Billion by 2026, representing a compounded annual growth rate of 13.8% (Market & Markets, 2021). From Smart Citizen Services, to Smart Utilities and Buildings, to Smart Transportation, an overhaul—and in some cases, a continuation—of a city’s transformation is expected to blossom into the improved environments envisioned by city leaders and desired by citizens. The key to success will be on the approach a city takes, the solutions it implements, and how it manages this complexity now and into the future. But like corporations, cities are not devoid of transformational failure. We have seen leading companies fail as we have seen known cities fail at implementing smart city transformations. It is important to pause and reflect on some of these in order to identify why. Referring to The Global Competitiveness Report, Special Edition 2020 (Schwab & Zahidi, 2020), the continuously changing world we live in is a greater influence on the success of cities than it has ever been before.

A. S. Mangarah and M. Ryerson

This paper therefore aims to (1) highlight how technology and new approaches to cities in the past have had major implications for their future and that of neighbouring cities; (2) the past pitfalls of technology-led smart city efforts; (3) put forward a model for smart city development and management; (4) share how this model is being successfully implemented by Madinah. Our research has been predominantly qualitative as our paper is a significant contribution to smart cities in that it is at the forefront of new thinking about the development, management, and disruption-risk mitigation of smart cities. We have held in-depth interviews with the MDA smart city program stakeholders as well as the smart city thinkers at Stratforce Consulting, Sunio One, and CohnReznick. We have structured the paper to follow its aims: 1. Highlight past and failed smart city projects to put our thinking and research into context; 2. Review what drives a city and why this is important to future cities; 3. Put forward a method to manage disruption at a city level as a way to ensure continued competitiveness to avoid decline or failure—especially in light of the information put forward in the previous sections of the paper; 4. In light of the preceding sections, why would cities become smart and why becoming smart is key to a city’s future; 5. What our experience has taught us about smart cities and how we can identify seven principles all smart cities need to follow; 6. How the city of Al Madinah Al-Munawwarah is following the seven principles, implementing a new approach to smart cities that could be the model for all future cities globally, including how to measure success and using globally recognized standards such as ISO.

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Pitfalls of Past Smart City Projects

In the last 30 years, there has been a spike in market interest for Smart Cities. Unfortunately, a significant portion of this energy was focused solely on technological possibilities and has not been fully integrated into an overarching plan for success. This has been the reason why we see isolated islands of digital cleverness, with no true connection to value realization for the intended cities. When it comes to the collapse of Smart Cities, many have one thing in common, which is the lack of balance across the key pillars of Geography, Culture, Economics, Logistics, and Technology. There is a demonstrable lack of system and digital transformation thinking.

7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities

In Lavasa, Prune, India—also known as the Portofino of India—the city lacked detail in the cultural and economic viewpoint. Other than technological benefits like WIFI, there was no beneficial reason why individuals would choose the area. The remoteness of the location, access to economic activity, and the mismatch of costs with the capacity of local economies, made the city an unattractive choice. In addition, the city did not truly engage with the cultural predilection for multi-generational living in communities, putting it at odds with the needs of the target citizens. Therefore, “the main goal of creating an advanced Smart City was not reached” (Gomez, 2022). The city was built from scratch without the proper research undertaken—nor the initial development authority to do so. The cost was disproportionate to the supply capability—“no person of the working class in India could even dream of living here, nor would they want to” (Gomez, 2022). Lavasa was more of a vanity project than a smart city. Comparetively to a smart city, Lavasa did not think of the human element at its core. The “citizen first” or human-centric thinking required was clearly not there. “Welcome to Lavasa. A truly independent city with more intelligence per sq.ft. than any other city. In the form of smart infrastructure, location, residential options, connectivity, support facilities, social infrastructure, and more. All on par with the best in the world. Lavasa offers the kind of delightful live-work-learn-play opportunities other cities aspire to. All spread across an undulating landscape of rolling hills, embracing a pristine lake” (Lavasa Corporation Limited, 2014), taken directly from its website, it unfortunately has failed to attract citizens with only 10,000 inhabitants as of 2018 compared to its 250,000 inhabitant capacity (Gomez, 2022). Due to its remotness it has had accessibility and connectivity issues. By 2019, the planned city was struggling. Crime was on the rise. Garbage collection was nowhere to be found. Vacancies littered the streets. Repairs no longer took place (Martinez Euklidiadas, 2019). Lavasa is a prime example of focusing on infrastructure and technology without considering the other fundamental elements of a city—and a reminder that smart cities are not about simply improving infrastructure and introducing technology. The Ordos, China—also known as the “Ghost City”— was a progressive area built from scratch to accommodate 1 m + residents. Built-in a desert, with a cost of occupancy beyond that which could be borne by the local population, it had a vision modelled on the twentieth Century post-1950s “City of Malls” US cities. Unfortunately, the lack of consistency and over development led to most malls never being opened or operated (Martínez Euklidiadas, 2019). Again it is an example that smart cities most consider all key drivers of cities and not simply deliver on 1 or 2 elements. In 2016, the city had only achieved population of 100,000 (Chung, 2016). Today, afer 23 years it counts 774,000 inhabitants (Macrotrends, 2022). The city had grand ambitions,

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including “giant cultural venues like MAD's completed Ordos Museum, and landmark projects such as Herzog & de Meuron and Ai Wei Wei's Ordos 100 villas” (Howarth, 2016) which are now mostly vacant or abandoned. The Chinese government poured $1Billion into the development of the city in the early 2000s. New Ordos as it is known was purpose-built a few kilometres south of the existing city. From bare desert land appeared a gigantic city (350sq kilometres) with residential and commercial buildings, empty awaiting people to move in and life to thrive in the incredibly fascinating cultural venues. With such huge investments came huge price tags for everything—making New Ordos the second most expensive city in China after Shanghai. This was a major barrier for many people and as a result few people saw any point of moving there. Poor planning and the lack of a real purpose for New Ordos clearly played a role in its lack of success as a vibrant, “a flamboyant futuristic capital featuring state-of-the-art architecture and acting as a new cultural, political and economical centre for the region”. Both Shepard in “An Update On China's Largest Ghost City—What Ordos Kang-bashi Is Like Today” (Shepard, 2016) and Robinson in “Surreal photos of China's failed ‘city of the future'” (Robinson, 2017) highlight this profoundly in their findings and documentation of the city in recent years. Santander, Spain, also known as “The city of sensors”, was hailed in 2009 as the city with the most sensors in the world. However, the ongoing maintenance of sensors and their leverage to enable new services were not established. In time, they fell into disrepair and lost the confidence of the residents (Martínez Euklidiadas, 2019). 12,500 sensors were installed to collect data on everything from parking spaces, to crowds, to waste management. With this implementation came a number of concerns around privacy and the need for so many sensors and the data they collected. Once the data was then used to benefit the citizens, the reliance on this valuable data was expected to continue without issue. Energy consumption consideration had been unknown and not tested on a large outdoor city scale, neither had wireless transmission for sensors. Combined with outdoor enclosure issues and the reliance on vendor dependencies (Stores et al., 2017), led to sensor failures, garbled data, and then downward spiral of trust erosion with the town’s citizens. Newcombe in “Santander: The Smartest Smart City” (Newcombe, 2014.) clearly outlines the city’s ambition. It is fair to say that these examples may still evolve into successful Smart Cities. However, such experiences do highlight key gaps in the approach of these early adopters. We have observed this type of reversal in cities such as Shanghai, China—a city that was established in 1074 and evolved into a bustling trade port city by 1857. It then declined and dwindled into a far less significant city from 1949 until China reformed its economic measures and

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introduced its “Five-Year Plans” in 1978. Eventually the city experienced a rapid re-growth post the 1990s, as it positioned itself as the most important manufacturing and logistics hub, as well as the leading business centre, for mainland China (Boxer, 1999). But to grasp why these initiatives failed on a city scale, we need to reacquaint ourselves with the fundamentals of what drives a successful city over time.

3

What Drives Cities

To truly understand success in a Smart City transformation, it is essential to look at the fundamentals of a city. Historically, we can observe several core interdependent pillars that can be seen in most successful cities (represented in Fig. 1). These can be defined as.

3.1 The 6 Key Drivers of a City Cultural Economics Technology Transport/Logistics Geography Resources To put this into context, let us consider the cities of Liverpool and Manchester in the nineteenth Century. Geography & Logistics gave Liverpool a core pillar of economic purpose, as it was the primary port of entry for goods from the Americas, whilst Manchester had the Technology pillar by means of factories and mills that could process those materials arriving from the Americas. Additionally, Manchester had an advantageous geographic access to resources such as coal.

Fig. 1 Core pillars of city viability (Source The author)

However, the creation of the Manchester Ship Canal in the late nineteenth Century—an innovative and technological feat for the day—reduced the dependency on the Liverpool docks and enabled goods to be transported from the Americas straight to wharfs in Manchester. This addition of a “logistics” pillar to Manchester, and the removal of the unique value of geography for Liverpool, switched the economic power from Liverpool to Manchester. The new Port of Manchester quickly became the 3rd busiest port in the UK at the time. We are reminded about this incredible feat in both the BBC’s Tale of Two Rivals (2010) and Wikipedia’s entry titled Liverpool-Manchester rivalry. Manchester’s City Evolution as a result of expanding its key drivers based on innovation and technology in the late nineteenth Century is explained in Fig. 2 (Johnson, 2017). Looking back on the rich history of the world's most flourishing cities will indicate similar stories. For instance, in 1905 Duluth, Minnesota, then the busiest port in the U.S., had the highest number of millionaires per capita. This was driven by the Resources, Geography, and Logistics pillars of the city, as the inland port had access to resources like grain, ore, and many more essential materials from the Great Plains. Similarly, Detroit in the 1920s was driven by Technology (automotive), Geography, and Logistic pillars. At the time, Detroit was regarded as one of the wealthiest cities in the world. In both these cases, the advantages diminished over time, and the cities were superseded by others which evolved and leveraged their pillars in a manner more fit to the marketplace and the norms of the time. The main lesson drawn from these observations is that a city’s advancement and long-term success are dependent on a continuous unity between the core pillars. Sustained success and growth are not only driven by one pillar, but are driven by constant and innovative evolution, with a balance and cooperation across all pillars and the city working as a system not as separated elements in silos. A notable example to reflect on is the evolution of Dublin’s Docklands, which now stands as one of the major

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Fig. 2 The change in Manchester’s viability core pillars post implementation of the Manchester shipping canal (Source the author)

digital hubs in Europe. This was achieved through the collaboration of government policy, municipal planning, and the ability to attract multinational commerce. The attraction for multinationals was tax incentives, levels of education in the workforce, and wide availability of high-tech infrastructure. Another example is the evolution of London's Docklands, which now is one of the major financial districts. Without innovation across the city’s driving pillars, across the system, in the thinking, and in their management, the city’s growth and consistency will decrease, leading to negative outcomes. In parallel, when one thinks of companies who have adapted to change by rethinking a) their relationship with customers and their competition, (b) how they innovate, (c) how they use data, and (d) the value they deliver, it is clear these have been those who demonstrated continuity and higher chances of sustained success. According to McKinsey, the gulf between companies embracing change and those falling behind is growing. In “Navigating a World of Disruption” (Bughin & Woetzel, 2019), those embracing change are creating significant economic value. They have 20 times more sales and 4 times more profit than those that don’t. Much like those cities mentioned in the “Pitfalls of past Smart City Projects” section, companies who have not

adapted to change have diminished in every way or have disappeared—Blockbuster, Borders Books, Tower Records, Palm, Altavista, and Vertu are prime examples. Jay Forrester’s study of urban dynamics (1969) is still pertinent to observing, evaluating, and planning urban spaces like smart cities. Forrester’s observations applied system thinking to the urban environment. Doing so, one can consider possible leverage points that could have a tremendous impact on the city’s success or failure, as Meadows highlights in her “Leverage Points: Places to Intervene in a System” (Meadows, 2022.)—although these may be too rare or even considered impossible when found, it does push the management of such systems like cities to question the possible point and its impact. Forrester also pointed out that too much change that is introduced too rapidly, as well as complex systems, were counterintuitive leading to further system failures. He also mentioned that focusing on the policies that had the most impact was far more beneficial to the city. “I believe that a very high percentage, say 98%, of the policies in a system have very little leverage to create change. They do not matter. However, most of the heated debates in communities, companies, and governments are about policies that are not influential. Such debates are a

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waste of time and energy. Debates about low-leverage policies divert attention from the few policies that could lead to improvement.”—J.W. Forrester. Examples of this can be found in Budapest and Athens, amongst others. A simple decision on road system layout can have tremendous knock-on effects. Such was the case in Hungary when the road system layout forced all traffic travelling from one side of the country to the other to pass through central Budapest. This had significant consequences on air pollution in the city and commuting delays. These resulting problems cannot easily be fixed by pollution control devices or traffic lights or speed limits. In “‘Did Athens’ ‘Great Walk’ Stumble?” (Papadimitriou, 2020), Papadimitriou identifies that in Athens, a decision to only allow cars into the city centre based on number plates in order to reduce congestion failed to consider the resourcefulness of its citizens: buy more than one set of number plates. Less is more—is this really necessary? What impact will it have? Simplifying complexity in urban planning and questioning the quantity of implementation as well as the reason for the change is critical to successful evolution. Implementing feedback loops at every stage of planning, developing, and continued management of a city is vital to evolve with minimal waste and unnecessary cost. Forrester’s work can be referenced here as the same rethinking that cities have to undertake to succeed, much like the rethinking that companies have done to transform digitally for continued growth and success. Cities have to embrace the same principles of rethinking customers, competition, data usage, innovation, and value delivery that companies have had to undertake. Constant management and assessment of the 6 key pillars is vital— and anything that may affect those. The concept of a Smart City is therefore the city version of corporate digital transformation. By taking best practices from the corporate world, Cities can manage disruption with equal success. To do this, cities need to embrace management disruption frameworks and tools.

pilgrims, businesses, investors, other cities, country, and the world) and the Value Network (people, partners, processes, assets, technology, resources, infrastructure, geography, and culture that enables the city to create, deliver, and earn value from the Value Proposition). In the model theory of disruption, there are two differentials: A difference in the value proposition that greatly changes the value previously delivered by the city (For example, political change, culture change, pandemic, and technological change) or greatly changes the value provided by another city. A difference in value network that creates a barrier to imitation by another city (For example, significant infrastructure, unique innovation, and favourable legislation such as tax exemption). Disruption only happens when both of those conditions are met. To manage disruption based on the model theory, we need to understand its three key variables: citizen (people, businesses, industries) trajectory, disruptive scope, and number of cities affected. Citizen Trajectory: Are people, businesses, and industries migrating away from the city? Is tourism or pilgrimage dropping? Are new emerging industries preferring other cities? and if so which one(s)? Are other cities directly luring away current citizens through targeted programs and advertising? Disruptive Scope: How much of the city will be affected by the disruption? In most cases, the city will not vanish and be entirely replaced by another city of choice. Understanding the scope of disruption is important, whether that disruption is from natural crisis situations (earthquakes, fires, pandemics) or industry/economical attractiveness to particular citizens—is a competing city more attractive to aviation, lawyers, or retail and why? How much of the city would be impacted if all of those citizens left or didn’t come back? Number of Cities Affected: Is the disruption affecting just your city or multiple cities at the same time? Understanding this and how, is key to managing disruption.

4.2 Disruption Management Tools

4

Managing Future Disruption

4.1 Disruption Analysis They are a number of definitions for “disruption” and a number of disruption theories. However, one that we can draw parallels from for Cities is the business model theory of disruption. By looking at the city model as a business model we can identify two sides of the model: The Value Proposition (the value offered by the city to its citizens, tourists,

By adopting and consistently applying the key strategic principles of People, Place, Purpose to everything it does, a city will mitigate the risk of obsolescence or irrelevance. Combining technology, data, and analytical resources, a Smart City can adopt two more tools to monitoring and managing disruption as represented in Fig. 3. This strategy mapping tool will help cities assess if another city poses a disruptive threat to its future. In evaluating this possibility, the mapping tool will be instrumental

7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities

Fig. 3 The Disruption model map (Source The Digital Transformation Playbook. David Rogers. Columbia Business School Publishing, 2016)

in questioning why and uncovering broader macro factors, such as migration, technology, and regional innovation that are driving change. Step 1—The Challenger is the other city. During this step you want to describe the challenger by answering questions to determine its key offering: What are the other cities unique characteristics for culture, economy, transportation, technology, geography, and access to resources? What changes is it making that are new to the region, the country, and/or the world? Step 2—Your city—and other cities. As with the Challenger, you want to identify your city’s unique characteristics for culture, economy, transportation, technology, geography, and access to resources. If you believe that other cities may also be affected, you should do a separate map for each of those cities. You will then be able to analyze comparisons between cities. Step 3—Citizens—who are the target citizens? Is it people (particular subsets), businesses, or industries that the other city is targeting to attract? Who specifically does the other city want to attract? Step 4—Value Proposition—what value is the other city offering to your citizens? What benefits do your citizens stand to gain by moving? Step 5—The Value Proposition Differential—during this step you want to identify those elements of the other city’s value proposition that are unique and different—How does the other city’s value proposition differ from our city’s value proposition?

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Step 6—Value Network—what are the elements that enable the other city to create, deliver, and earn value from its offering to your citizens? Step 7—The Value Network Differential—how does the other city’s value network (people, partners, processes, assets, technology, resources, infrastructure, geography, and culture) differ from our city’s value network? Step 8—The Two-Part Test—this is the part of the tool that helps you identify if the other city is truly a disruptive force or if it’s simply a competitor. The test answers the question: Does the other city pose a disruptive threat to our city? The first test is to analyze how significant the difference in value is to your citizens. Is the other city’s value proposition only slightly better than our city’s? Or does it radically displace our city’s value for our citizens? If the answer is no, then the other city does not pose a disruptive threat. If the answer is yes, then you can move on to the second test. In the second test, you need to analyze the differences between the other city’s value network and your city’s value network. Are there major differences between the two cities’ value networks? The question that you need to answer then for this test is: Do any of the differences in value networks create a barrier that will prevent our city from imitating the other city? If the answer is no, then the other city does not pose a disruptive threat. However, if the answer is yes, then the other city has passed both tests of model disruption. The value the other city offers to citizens will greatly overtake or threaten the value your city delivers to its citizens.

4.3 The Disruptive Response Planner This tool complements the Disruption Model Map results. A Smart City can use this tool to plan its response to another city that has been identified as a disruptive threat. Using the information gathered to determine Citizen Trajectory, Disruptive Scope, and Number of Cities Affected, a Smart City can use these insights to choose from six possible responses. Using the Disruptive Response Planner. Step 1—Citizen Trajectory—which citizens (sub groups) are prone to move to the other city and how will this impact the other city’s growth? Is the other city targeting citizens in other cities and therefore are you next? Are citizens from other cities, regions, and countries moving to this disruptive city? If this is happening, you can classify the disrupter’s approach as Outside-in. Is the disruptive city specifically appealing to a segment of your citizens? And are they attracted to the value proposition of the disruptive city? As a result, are you seeing a migration pattern in those citizens away from your city? If

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this is happening, you would classify the disrupting city as having an Inside-out impact on your citizens’ trajectory. Which citizens will be first to go? Once you have established the possible approach that the disruptive city will take, you will want to identify which citizen group/subset will be the first to move. If you have identified that the approach will be Inside-out, you should ask these questions: Which citizen subset will be the most attracted to the other city? Are there any difficulties or challenges for these citizens to make the move to the other city? Would these difficulties or challenges be an issue for all citizens or would some not find them challenging? If the approach is Outside-in, you should be asking these questions: Are there any barriers or challenges to migration to your city? Is it financial (economics)? Is it location (geography)? Which of these challenges is the greatest barrier to citizens who want to migrate to your city? Which challenge is least difficult for citizens considering migrating to the disruptive city? How does the disruptive city make this (these) challenge(s) less of a barrier than your city? Which citizens will be next and what will be the deciding factor for them? Once you have identified the citizen group/subset that is most likely to migrate to the disruptive city, you need to identify the next most likely group that want to move. You will need to think about what factor(s) will be the most attractive for them to make the move. Is it because the first set of citizens has moved? Has the disruptive city made any of the 6 pillars more influencing to your citizens? And if so, which ones? Step 2—Scope of Disruption—in this next step, one needs to determine the scope of the disruptive impact. Will only a segment of citizens (for example, married couples with no children or citizens working in technology industries) leave your city as a result of the disruptive city? Or will all your citizens leave? City management can predict the disruptive scope by looking at the following key factors: use cases (in what situations would your city be more competitive than another or less competitive), citizen segments (divide your citizens based on their shared needs), and network effects (at what point will the disruptive city reach critical mass to be truly disruptive? What services would become more valuable to citizens the more citizens used them, both in the disruptive city and yours?). For each use case, consider where the disruptive city is preferrable versus those situations where your city has an advantage. For each citizen segment, consider whether the disruptive city is extremely attractive in comparison to your city. Make a list of network effects that would be more powerful to attract citizen to the disruptive city and to your city.

A. S. Mangarah and M. Ryerson

Based on the work undertaken during step 2, an informed perspective will take shape. The disruptive city is either a niche case (attractive to only a very specific portion of citizens), or it looks like your city and the disruptive city will be equally attractive to citizens, or the disruptive city will clearly be more attractive to all citizens and represents a significant future disruption to your city. Step 3—Responding to disruption—with the information gathered in the previous steps you will have an informed picture of what is and could cause disruption to your city’s future and to what extent. Using this information, you will have a number of options to counter this disruption: (a) be more like the disruptive city; (b) create a core pillar advantage; or (c) do more for your defensible citizens. Be more like the disruptive city—considering what is most attractive to citizen and is currently driving your citizens to the disruptive city, is this something you could offer? Create a core pillar advantage—is the disruptive city catering to a new industry? Does it have some natural advantages due to its geography or resources? Could you create or improve a core pillar for your city such as a new logistics offering (like the Manchester Ship Canal)? Maybe attract new industry by creating industry-specific zones with clear advantages (access to specific education / skilled labour; tax advantage zones)? Do more for your defensible citizens—make life better for those citizen segments who are less likely to move to the disruptive city to ensure they remain. No matter what strategy you adopt, making your city smart and using data to support these decisions is key to assessing the future success of your city. Unfortunately, many cities that have chosen to transform have fallen into the trap of focusing only on the technology and not its purpose, usage (current & future), nor the needs of their citizens. For Al-Madinah, the city has some un-replicable advantages: its history and its importance as a pilgrimage destination. This gives it some buffer to disruption. Other cities need to more proactively use the tools described above to assess their future through a disruption lens as part of their transformational efforts to becoming smart cities.

5

So Why Smart Cities?

Transforming a city into a smart city allows it to decrease obsolescence and assured decline by putting in place the tools to create environments fit to foster innovation, productivity, appropriate governance, financial accountability, and transparency to remain competitive and relevant locally, regionally, nationally, and globally.

7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities

Combining these tools & resources allows smart cities to be agile, especially when faced with changing environments. By fostering these environments with the right thinking, tools, and resources, a smart city can expand its economic base, diversifying its purpose, value propositions, and leveraging strong network structures, allowing it to counter sharp changes in culture, economics, technology, and geopolitics. Those cities that have nurtured and continue to foster strong network structures—people, capital, information, and infrastructure, combined with physical geography advantages, strong transport routes, and industry clusters—have remained competitive and evolved into “Innovation-Driven” economies. According to the World Economic Forum, this evolution is imperative to foster future growth and continue to remain relevant globally.

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The 7 Principles of a Smart City

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sophisticated, as it required the convergence of human-centric, economic, urban design, and digital capability lenses. The program followed two key pathways: First, similarly to other Smart City endeavours, establishing core technology and digital foundations has been key. Interweaving these major capital projects into the roadmaps for the city and relevant municipal authorities has also been imperative. In this manner, MDA acts as an orchestrator and digital master planner, while working with all key stakeholder authorities. Secondly, MDA is focused on defining and evolving the awareness of the city’s viability today and capacity to evolve towards its future vision. This involves a multi-faceted approach, Human-centric, Economic, Place/Urban design, and the overarching city vision. To do this, approaches like System Thinking, System Context Optimisation, and variants of Open Innovation Ecosystems have been leveraged. As a result of these two pathways, MDA has realized a set of overarching principles for a smart city.

For a Smart City to be successful, several core tenets need to be observed:

8 1. Technology itself is not of value, it should be an enabling service to a value. 2. Intended capabilities should be of service to the economics of a city. 3. Intended capabilities should be of service to the citizens of a city. 4. Intended capabilities should be congruent and considerate of the culture of the city. 5. Smart City Master Planning should extend beyond the design and delivery of the capabilities. It should include the operation and evolution of such capabilities. 6. Smart City Master Planning should be focused on a journey of trust and partnership with citizens and economic stakeholders, whilst delivering key values in a timely and tangible manner. 7. Smart City Master Planning should be agile enough to evolve smoothly as newer challenges present themselves and improved solutions become apparent.

7

The Approach Taken by Al Madinah Region Development Authority

Having observed and learned from reference cases globally, and in collaboration with trusted advisory partners, MDA decided to take a more pragmatic and innovative approach. MDA elected to drive the vision from a socioeconomic point of view, and to progress the vision in harmony with urban design and urban planning. This approach needed to be

The Overarching Strategic Principles of a Smart City

People: Know the people, demographics, predilections, needs and aspirations. Purpose: Know the business, the economics, and the key objectives of the city. Why are people there? What do they expect? What are their ambitions and needs? Place: Know the place, physical constraints, beneficial features, and significant sites. This involves building human-centric, economic-centric, and time-centric viewpoints that help articulate the desired value. Bringing together these viewpoints with the city’s viability pillars represents the highlighted approach blocks that Al Madinah has embraced (represented in Fig. 4). To achieve these viewpoints, the first 4 programs of work were: 1. 2. 3. 4.

Know the People. Know the Purpose. Know the Place. User Journey definition. Followed by a more detailed breakdown of.

5. Envisioning the Future. (Future Thinking & Scenario Planning) 6. Mapping the system (System Thinking) 7. JTBD—(Jobs to Be Done. Tony Ulwick)

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Fig. 4 Bringing together people, purpose, place, and the core viability pillars (Source the author)

Taking the concept of know the people, know the purpose, know the place—and the research undertaken in those phase—and evolving it into tangible outcomes around experience design for cities allows for a systemized way of bringing human centricity into the city planning. This is represented in Fig. 5 above. Once the User Journeys are established, it is ideal to build a great visual map for each journey. This includes the

minimum competency needed, the expected evolution, and the growth of competency over some time. It is important to see the journey, not just in today’s lens of the actual, but also in tomorrow's lens of the probable—using Future Thinking, looking through the lens of the possible. Referring to the following figure (Fig. 6.), consider a typical user journey that takes a traveller from the Airport or Train Station to their Hotel. It would typically include a set

Fig. 5 Represents the path from data to experience outcome (Source the author)

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Fig. 6 Taking experience design and prioritizing solutions to deliver these across the city (Source the author)

of journey services such as: a) know-the-trip, b) know-the-Traveller, c) know-the-availability, and d) reserve-for-Traveller. In a “current world” lens, it might suffice to enable the traveller to book the ticket via web service on their phone or computer. In a “tomorrow world” lens, it may be probable to reduce friction in this process by the use of QR codes to quickly share and move data (Scenario Planning). In a “future world” lens, it might be possible to negate or automate the process of the journey service by auto booking through knowing the flight and hotel booking details, with an ability to adjust booking if flights are delayed (Future Thinking). It is essential to draw out these lenses because there may be technical or digital investment happening today that will be required to support the needs of the “possible”, i.e., “Future world” lens. Beyond these programs, there is a focus on building a competency to form and govern the definition of a digital services network. This will match the demand side (User

Journey) with the supply side via (Infrastructure, Operational Technology, Data). Consider the “current world” lens of a selection of user journeys. Like [Transfer from Airport], [Find Nourishment], [Attend Event]. See Fig. 7. This drives out a Digital Mesh (Sophistication Level 1), which actually addresses the needs of today. Now consider the same approach, but with a view to the probably, “tomorrow's world” lens. This will drive out a Digital Mesh (Sophistication Level 2), which probably addresses the needs of tomorrow (represented in Fig. 8 below). Finally, extend to the view of “possible” to the “beyond world” lens. This will drive out a Digital Mesh (Sophistication Level 3), which addresses the needs of the now and possibly future (as represented in Fig. 9). (Source: the author). The key reason for this is to accommodate possible changes in the demand side, i.e., the User Journey and the longevity of the supply side, e.g., Infrastructure like fibre networks. It may be necessary to implement supply-side

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Fig. 7 Focusing on the current short-term plausibility (Source the author)

Fig. 8 What is possible tomorrow (the medium-term solutions)

Fig. 9 The beyond timeframe—or “over the horizon” solutions level of prioritization (Source the author)

elements that are capable of supporting level 3 sophistication because the element has a long lifespan. When we decompose the Digital Mesh, we will see that there is a convergence of significant investment elements, e.g., Infrastructure, Data Services, and Technology Platforms. We can then evaluate and categorize solutions per sophistication level and minimum viability level to guide the city’s investments and deployments (represented in Fig. 10). The power of System Thinking, and System Context Optimisation becomes evident in this endeavour. It is never enough to drive a linear connection from a Human side requirement to a technical side function. This will result in an explosion of point solutions that become impossible to manage. Instead, there is a need to iterate, leverage adjacent aspects, and using Context Optimisation, derive the pathway that solves the maximum requirements, while aligning to constraints like budget, time, existing platforms, and extendibility. In its essence, this approach is akin to the

entropy equilibrium between chaos and order. All problems are evolved to a more orderly state, but can be thrown back into chaos if the equilibrium is changed. There are two risk patterns that could occur if the outlined approach is not followed. Firstly, there is a risk of having a platform-centric bias. In other words, the solution in place dictates the problems that can be solved, rather than the problems that need to be solved. The investment consequence is that you are unlikely to truly realize the benefit or value of the platform investment, and you will certainly miss opportunities to deliver value. Secondly, there is a risk of a separate solution for each problem. This will cause an unsustainable explosion in systems, render integration nearly impossible, and make maintenance and evolution untenable. The investment consequence here is the almost certain fact that cost and complexity will become unsustainable.

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Fig. 10 Sophistication and minimum viability level solutions categorization (Source the author)

This can result in infrastructural investment that does not meet its mission or leaves gaps in the investment plans where the Demand-side User Journeys needs are left unattended. In this situation, an infrastructure or technology element is implemented to serve the “today” demand (Sophistication Level 1, marked red in the figures). If these elements are implemented with long capital recovery or long expected lifecycle, then they run the risk of being redundant in a very short period if they are not fit for purpose, as the sophistication needs to evolve (marked orange and green in diagrams). The key takeaway therefore is: where it's possible, implement with a view to future demands, not just todays. In MDA’s case, its establishment of LoraWAN is a perfect example of thinking about future demands while serving today’s needs. This was accomplished in partnership with Tata Communication with an initial use case: powering smart lighting throughout the city. When an infrastructure or technology element is implemented to serve the “beyond” or future demand (Sophistication Level 3, marked green in diagrams) without taking into consideration the User Journey Service’s nature it will also fail to meet its mission or leave gaps in servicing the citizens’ needs. For example, if the Journey Service driving the demand is volatile in nature and likely to be subject to a significant change in the near future, there is a risk that demand will disappear, and return on investment is decreased. A good example of this situation would be elements implemented during the Pandemic time, from 2019– 2021. These served a short-term requirement, without a mature view of the long-term need. Any long-term investment in this domain is at risk.

The key takeaway here: where demand side requirements are volatile, take a minimal approach to the investment, and leverage skunkworks or innovative solutions to address the immature requirement. Beyond these patterns of risk, challenges manifest. In most cases, a significant platform or infrastructure is driven by multiple needs from many journey services. For example, “all journeys will use digital services that depend on WIFI or 5G networks”. While this will share the burden of the investment, it may also cause delays to near-term projects (delivering Journey Services) that need a medium-term capability now, for example, wayfinding. Returning to the System Thinking and Context Optimization approach mentioned prior; time and investment becomes factors in this equilibrium also. It is not just about focusing on optimal fulfilment on Demand side requirements, with optimal platform assembly and utilization, it also involves the outcomes being available in the right time. This might necessitate a tactical “bridging” solution to enable investment outcomes while underlying investment are still being implemented. E.g., constraining media quality to HD on Mobile app until 5G is full rolled out. With this thinking in place, MDA has already engaged solution designs for several key infrastructural elements on the supply side, as a result of demand-side expectations. When bringing this all together, MDA was able to identify existing and required strategic capabilities technology solutions to deliver its citizen and visitors experiences and represent them in the table shown in Fig. 11. These will be key to driving future success for the city. To further strengthen its system-thinking approach, Madinah has developed a city development continuum.

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Fig. 11 Identification of strategic technology capabilities for the city (Source the author)

9.1 Urban Planning Cycle The first phase in the city development continuum is the Urban Planning Cycle, acting as the bedrock for urban development. It harnesses demographic, economic, and environmental insights to generate comprehensive land use plans, zoning laws, and policy guidelines. This cycle necessitates cohesive design ideas, incorporation of public spaces, and evaluations of user experiences from Urban Design and City Experience cycles, ensuring that every strategic approach aligns with practical designs and user preferences.

9.2 Urban Design Cycle

Fig. 12 Urban planning continuum designed and implemented in Madinah (Source the author)

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The Madinah Development Continuum

Madinah Development Continuum (Fig. 12 above), is a nuanced, interconnected process that revolves around three core developmental cycles: Urban Planning, Urban Design, and City Experience. These systems operate in a continuum, dynamically influencing one another to create adaptive, user-centric, and sustainable urban environments. Below is a detailed illustration of this developmental continuum and its implications.

The Urban Design Cycle is integral for shaping spatial configurations and formulating designs for public areas. It draws upon land use plans and the needs of various stakeholders to produce designs that are user-oriented and in compliance with policies. This cycle depends on clear infrastructure strategies and policy guidance from the Urban Planning Cycle and insights into user interactions and service layouts from the City Experience Cycle.

9.3 City Experience Cycle This cycle concentrates on the needs, behaviours, and experiences of the users, creating interaction interfaces and experience designs. It constructs experiences that align with urban structures and comply with urban policies, by leveraging spatial layouts and detailed designs from the Urban

7 Principles Al Madinah Has Followed to Design Human-Centric Smart Cities

Design Cycle and infrastructure strategies and policy directives from the Urban Planning Cycle.

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implementing its smart city initiatives. Using the ISO standards as a framework for measuring success and implementing governance around this important aspect is part of MDA’s approach to smart city transformation.

9.4 Integrative Framework 10.1 ISO Standards 1. Symbiotic Development & Evolutionary Adaptation Each cycle in this continuum exerts a collaborative influence, enabling the other cycles to advance and adapt, cultivating urban spaces that are responsive and user-centric. A perpetual feedback system among the cycles guarantees adaptability to novel needs and obstacles. 2. User-focused Evolution & Sustainable Harmony The holistic progress of urban areas within this framework is underscored by a user-centric and sustainable approach. The integration of sustainability and resilience in every developmental phase ensures the enduring adaptability and sustainability of urban landscapes. 3. Unified Data & Interdisciplinary Cooperation The framework suggests a unified platform for integrating and analyzing data from all developmental cycles, promoting interdisciplinary cooperation and holistic problem-solving. This cooperative approach, aided by professionals from each developmental cycle, enhances overall urban livability and user contentment. In conclusion, the continuum of Urban Planning, Urban Design, and City Experience cycles represents a systemic, interconnected approach to city development. This integrated methodology aims to ensure that every developmental phase is coherent, adaptive, user-centric, sustainable, and harmoniously interconnected, fostering the creation of cities that are livable, resilient, and conducive to the well-being of their inhabitants.

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Measuring Success to Ensure Ongoing Relevance

Part of the approach to transforming a city digitally is to ensure that the efforts undertaken remain relevant to its citizens and visitors. To measure this success, cities need to be able to track and measure what they are doing against the adoption and reaction to this transformation by the city’s users—its citizens and visitors. To support cities, ISO has created several standards for smart cities. These can be used as frameworks to efficiently measure how a city is doing in

With the continued upward trend in city living, The International Organization for Standardization (ISO), like others, identified how imperative it is for cities to measure success and be able to manage future disruption before and when it occurs. City living is predicted to reach 6.7 billion people by 2050, up by 751 million people in 1950. That is an 8.9  growth in the space of 100 years. For that reason, cities need to become smart to cope. Measuring smart city success is therefore crucial. ISO has put forward a series of standards (ISO 37100 range of standards) to help cities adopt strategies to become more sustainable and resilient. These standards provide cities with a set of indicators for measuring their performance across a number of sectors. It can be seen that the MDA approach is quite congruent with the standards by means of the citizen-centric approach and the focus on a top-down approach. In addition, the focus on User Journey Outcomes, and the Experience being delivered, aligns strongly with the Benefit Realization Strategy outlined in Figs. 13 and 14 (PAS 181:2014).

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The Journey so Far… Key Success Factors and Lessons Learned

One of the key lessons learned so far is the value of System Thinking, in other words, seeing the full picture. This is enabled by articulating a human-centric definition of the ecosystem, which ties the People, Place, and Purpose drivers through to the requirements and deliverables. Another key lesson is the value of acting as an orchestrator, not a controller. There are always numerous silo organizations within the remit of any city. It’s critical to be able to build consensus and articulate a common purpose and vision. Again, the human-centric ecosystem is a key enabler in this. Finally, it is critical to accept that there will be a need to work with a variety of systems of various sophistication and complexity. Frameworks and governance help to bring common purpose and control to this reality. It is rarely viable to take out everything and replace it with the latest and

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Fig. 13 PAS 181:2014 Smart city framework (Source BIS. 28 Feb 2014)

greatest. As long as the core values are being articulated and achieved, and such values address the tangible needs of people or purpose, then the outcome is positive. MDA’s role is to have the right governance in place to ensure success: to generate strategies for the future of the city, to plan their implementation, to coordinate all the different city services, and effectively orchestrate the delivery of the city’s future. This is not because it is simply a good idea, but because the governance it puts in place allows for cost reductions, cohesion, and information flow across the whole city management. By its existence and mandate, MDA oversees all budget approvals and has the ability to balance all the factors that contribute to the digital

transformation of the city into a successful smart city. To enable the successful coordination of all city departments, initiatives, and the link between these and the city’s citizens, MDA is deploying an orchestration platform that will underpin and drive all aspects of the city’s smartness. Is the answer, therefore, to successful Smart Cities the ability to have a highly agile and empowered City Orchestrator capability to manage existing city constraints, city evolution, crisis management, long-term disruption management, demand-side pressure, supply-side resources, combined with the right thinking, strategies, and technology? The measure of a Smart City should be viewed in the value delivered, not simply the technology applied.

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Fig. 14 Smart city framework integration operating model. PAS 181:2014 smart city framework (Source BIS. 28 Feb 2014)

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Conclusion

For Cities to evolve into Smart Cities they imperatively need to consider people, place, and purpose. They cannot simply rely on technology. They need to embrace a human-centred approach to their evolution and, beyond this, they need to manage and orchestrate each of the 6 pillars that drive city success: culture, economics, technology, transport & logistics, geographical advantages, and access to resources. Cities need to adhere to the 7 principles that are essential to being a Smart City. As Michelle Glastris (2016) reminds us in her article “Creating and sustaining Smart Cities” (Glastris, 2016), cities’ ability to create, nurture, and grow strong network structures is only possible by embracing digital & system thinking, also modifying and maintaining good governance (low barriers to innovation, investment, business growth combined with reduced administrative hurdles), and creating interconnected environments where innovation, technological development, transport routes, industry clusters, and stakeholder interactions can occur seamlessly, devoid of silos and barriers.

For cities to achieve this, the approach Al Madinah Region Development Authority (MDA) is taking, as well as the frameworks and orchestration capabilities it is developing, and the technology that can support & action the ever-changing relationship between city demands and supply resources, are all necessary.

References A Tale of Two Rival Cities. (2010). BBC Boxer, B. (1999). History of Shanghai. Britanica BSI. (2014). PAS 181:2014—smart city framework. Guide to establishing strategies for smart cities and communities. British Standards Institution Publishing. Bughin, J. & Woetzel, J. (2019). Navigating a world of disruption. McKinsey. Chung, S. (2016). Abandoned architectural marvels in China’s largest ghost town. CNN. Forrester, J. (1969). Urban dynamics. Productivity Press. Glastris, M. (2016). Creating and sustaining smart cities. Australia and New Zealand Property Journal. Gomez, F. (2022). Lavasa: A look at the smart city that never was. Zpryme. Howarth, D. (2016). Ordos: A failed Utopia photographed by Raphael Olivier. Dezeen.

134 Johnson, B. (2017). The Manchester ship canal. Historic UK Lavasa Corporation Limited. (2014). Retrieved from http://www. lavasa.com/ Macrotrends, O. (2022). China metro area population 1950–2023. Retrieved from https://www.macrotrends.net/cities/205656/ordoss/ population#:*:text=Chart%20and%20table%20of%20population,a %202.79%25%20increase%20from%202022 Markets & Markets. (2021). Smart Cities Market by Focus Area, Smart Transportation, Smart Buildings, Smart Utilities, Smart Citizen Services (Public Safety, Smart Healthcare, Smart Education, Smart Street Lighting, and E-Governance), and Region (2022—2026). Martínez Euklidiadas, M. (2019). Smart cities that failed along the way. Tomorrow City. Meadows, D. H. (2022). Leverage points: Places to intervene in a system. The Academy for Systems Change.

A. S. Mangarah and M. Ryerson Newcombe, T. (2014). Santander: The smartest smart city. Governing. Papadimitriou, Y. O. (2020). Did Athens’ ‘Great Walk’ Stumble? Bloomberg. Robinson, M. (2017). Surreal photos of China's failed ‘city of the future’. Business Insider. Rogers, D. (2016). The digital transformation playbook. Columbia Business School Publishing. Schwab, K. & Zahidi, S. (2020). The global competitiveness report, special edition 2020. World Economic Forum. Shepard, W. (2016). An update on china's largest ghost city—what Ordos Kangbashi is like today. Forbes. Stores, P., Ramón Santana, J., Sánchez, L., Lanza, J., & Muñoz, L. (2017). Practical lessons from the deployment and management of a smart city internet-of-things infrastructure: The smartsantander testbed case. IEEE Xplore.

Integration of Tangible and Intangible Aspects in City Information Modeling Majd Al Jurdi and Rania Wehbe

Abstract

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City Information Modeling (CIM) is used to build an interactive 3D model of large-scale urban environments. CIM practices are still limited to collecting, integrating, and visualizing tangible data. To date, intangible data (the qualitative and quantitative city aspects) has not been managed yet in CIM. This paper forms a road map toward the comprehensive integration of tangible and intangible data in CIM. The proposed methodology comprises (1) the build-up of the social indicators framework and (2) the clarification of the needed methods to create the comprehensive CIM platform. The objectives of this research are to (1) provide a thorough indicator framework for intangible-related data and (2) list the fundamental processes in the development of the CIM environment. The selected area in CIM to be visualized and studied is Iris Lille Center 4 in France. As a result, this research provides a preliminary prototype that portrays the capabilities of (1) visualizing different indicators, and (2) making decisions that will provide insight to improve citizens’ comfort and Quality Of Life (QOL). Also, it could assist academics interested in this sector in finding a refined approach and open the door to future studies on CIM visualization techniques, especially the social dimension yet to be explored. Keywords








City information modeling Intangible data data Social aspect ArcGIS




Tangible

M. Al Jurdi (&) Univ. Lille, Institut Mines-Télécom, Univ. Artois, Junia, Laboratoire de Génie Civil et géo-Environnement, ULR 4515, LGCgE, F-59000 Lille, France e-mail: [email protected]; [email protected] M. Al Jurdi
R. Wehbe JUNIA—HEI, Buildings & Urbain Environment Department, 13 Rue de Toul, 59000 Lille, France e-mail: [email protected]

Introduction

1.1 Overview Many stakeholders and organizations have prioritized digitalization to provide new opportunities since technology could eventually do wonders in the urban environment (Ignat, 2017). Digital applications have addressed various scientific and humanitarian concerns but still lack a unified set of indicators to display the consequences observed in communities and cities. Numerous cities have been using smart technologies to enhance key QOL indicators (Al-Qawasmi, 2021; Bosch et al., 2017; Wang & Tian, 2021). However, the performance of indicator frameworks spatially differs from one city to another. For each city, plenty of data is obtained from recent digital technologies, but little attention is given to the analysis of intangible data. This intangible data has not been visualized and research remains limited on managing and contextualizing intangible data. Following the digitalization era, with more and more data being collected, data information modeling has become mandatory. CIM originates as a 3D city model based on a multidisciplinary collaborative framework for various city data. CIM has been constantly updated and improved since its introduction in the early 2000s where a common interface for information modeling is created to visualize targeted aspects of cities. However, techniques of CIM applications are still in the earliest phases, and research around CIM is focused mainly on collecting, integrating, and visualizing tangible data (Xu et al., 2021). In addition, a fully established CIM prototype does not yet exist (Souza & Bueno, 2022). So, the research gap is how to create the CIM based on intangible data and integrate the social aspects in the CIM environment. This paper aims to (1) define a comprehensive indicator framework for the intangible-related data and (2) identify the key steps toward the realization of the CIM prototype. Such

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_10

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a prototype visualizes different indicators based on intangible data and exposes new insight around the city. Thus, this paper could help reshape existing rigid city modeling, aid other researchers in the field looking for a structured methodology, and support the decision-makers in enhancing the QOL across the city.

1.2 Literature Review First, to understand the parameters needed to create a well-defined framework, research around QOL and well-being indicator frameworks is done. Second, to comprehend the data structure and composition of a CIM prototype, research around the CIM is done. Third, to join the framework with the CIM platform, research around data visualization is done. So, this section presents state-of-the-art (1) indicator frameworks related to citizen well-being and QOL, (2) CIM, and (3) data visualization attempts.

1.2.1 Indicator Frameworks Al-Qawasmi (2021) selected a contextualized set of 91 urban QOL indicators as a result of a Delphi consensus procedure which was broken down into three indicator groups (1) environment-related indicators, (2) social-related indicators, and (3) economic-related indicators (Al-Qawasmi, 2021). Al-Qawasmi (2021) demonstrated that social indicators are more critical than the two other core dimensions of urban QOL: economic and environmental indicators (Al-Qawasmi, 2021). The QOL framework uses a range of indicators to assess the impact and efficacy of interventions and applied urban policies on the quality of urban life (Al-Qawasmi, 2021). Even though social-related indicators of the urban QOL tackle social ties, participation, and inclusion, it does not consider a more inclusive understanding of the social dimension. In addition, Bosch et al. (2017) have devised an evaluation framework for “smart cities” entitled CITYKeys to strategize their plans and activities and follow up on their progress to address social issues and enhance efficiency and sustainability (Bosch et al., 2017). Considering what citizens require as smart city projects, the CITYKeys Indicators framework is arranged in an extended triple-bottom-line sustainability framework. According to Bosch et al. (2017), what makes a smart city project efficient for the citizens is more competent services and better QOL and environment, which in turn, improve social and economic standards and create jobs and space for innovation (Bosch et al., 2017). This evaluation framework for smart cities becomes a “facilitator” to strategize their plans and activities and follow up on their progress (Bosch et al., 2017). The CITYkeys framework was based on 43 indicator frameworks where related indicators to the

M. Al Jurdi and R. Wehbe

CITYkeys’ pre-selected subthemes were selected (Kutty et al., 2022). This framework includes various indicators categorized under People, Planet, Prosperity, Governance, and Propagation. Upon comparing the different projects, “People” are the core of each study and it is still required to go into further detail about what users need and build up the social aspect of this report accordingly. Another research developed by the Organisation for Economic Co-operation and Development (OECD) aimed at creating a web tool called “the Better Life Index”. This tool is based on (1) materialistic components such as income, jobs, and earnings and (2) non-materialistic (i.e. QOL) components such as social connections, civic engagement, and governance (Balestra et al., 2018).

1.2.2 City Information Modeling (CIM) To make life easier for their residents and visitors, smart cities rely on useful techniques and update their technologies to target different constraints in cities (Ho & So, 2017) and follow up with the digitalization trend. Smart cities rely on intelligent technology systems and crowdsourcing, where companies inevitably rush to provide all the required services designed for the people of these cities and to improve people’s comfort (Paroutis et al., 2014). One crucial business growth factor is “Innovative Technology” which has been of central importance to innovation firms (Ignat, 2017). Using technology for decision-making and information analysis has developed over time (Ignat, 2017). Initially, different information modeling techniques began to emerge, including Building Information Modeling (BIM). It was established by the construction sector as a digital tool for planning, constructing, assessing, maintaining, and deconstructing diverse types of structures (Schaufler & Schwimmer, 2020). Currently, the implementation of BIM in construction and engineering projects keeps growing due to the evolving digitalization of the workplace (Leśniak et al., 2021). In parallel to BIM, CIM emerged, referring to various environments and urban elements systems represented in 2D and 3D symbols (Stojanovski, 2013). As BIM technology improved, this technology expanded the information modeling from a building to a city level, thus accepting CIM as a form of BIM technology (Xu et al., 2021). CIM is envisioned as an advancement of geographic information systems (GIS), from physical to relational geography and from distinct objects listed in an attribute table to distinct related objects (Stojanovski, 2013). GIS is widely used and incorporated by most metropolises into their information infrastructure (Turek & Stępniak, 2021). GIS technology is also constantly evolving to include other city aspects and untackled concepts, such as city heritage using 5D GIS virtual heritage which proposes new insight to historians, sociologists, urban planners, etc. (Li, 2017). This technology

Integration of Tangible and Intangible Aspects in City Information Modeling

has been a main component for the adaptation and creation of CIM. CIM creates a base for smart city projects by integrating both the micro and macro technologies and static and dynamic information of the city (Wang & Tian, 2021). Around 1650 papers related to CIM were retrieved from the core database of the Web of Science (from 1985 to 2020), with research topics mainly focused on (1) data collection, (2) integration, and (3) visualization (Xu et al., 2021). Despite that, comprehensive research on the nature of the CIM technique (by implying the social dimension of cities) is still needed (Xu et al., 2021).

1.2.3 Data Visualization Attempts Other literature was reviewed to understand how to visualize data and map results in 3D, and a CIM environment. For instance, Pánek (2018) presented a case study using emotional mapping for the 12th district of Prague to explore issues such as the perception of safety (Pánek, 2018). Emotional mapping is a method that initiates a map-based dialogue between two parties (1) municipalities and (2) citizens. Such mapping is carried out considering the citizen’s experiences. The visualization of collected data consists of hexagons, heat maps, filtering options, and simple features with an optional swipe function (Pánek, 2018). Another method used is “Bio Mapping”, where related parties stage emotions as a relationship with geographic location. Emotions are visualized by overlaying the buildings and cities (Nold, 2018). Bio mapping is still a delicate process which means if applied correctly, it can highlight previously hidden or neglected aspects of the city; otherwise, bad practices can invalidate alternative accounts (Nold, 2018). Also, Abdalla and Weiser (2011) explained the idea of integrating emotional layers into city planning and acquiring new data (Abdalla & Weiser, 2011). According to Szołtysek and Twaróg (2013), creating emotion maps based on citizen perception shapes and uncovers new values about the city, such as developing and transforming urban spaces (Szołtysek & Twaróg, 2013). Previous studies highlighted the visual potential of the CIM environment and the gap in integrating the social aspects in CIM, therefore this study will create an inclusive social indicator framework and develop a strategy to integrate those indicators into the CIM environment.

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Methodology

This section comprises the comprehensive methodology (See Fig. 1) followed to (1) create the indicator framework and (2) form a CIM prototype. To do so, key activities have to be followed including (a) intangible indicators framework

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build-up, (b) data collection of tangible and intangible layers, (c) data analysis to explore the collected data and create primary findings, and (d) platform build-up including an interactive model creation in GIS software. This methodology was applied to iris Lille Center 4 in France.

2.1 Social Indicator Framework The 2030 Sustainable Development Agenda stated that the sustainability elements (economic growth, social inclusion, and environmental protection) remain interconnected for the well-being of societies (Sow, 2016). This conveys that sustainability would be reached when the “Social” aspect which refers to the “People” also explores other common targets linked to Prosperity and Planet. This implies that the “Social” dimension follows a more inclusive harmonic understanding (See Fig. 2 (b)) compared to what was originally assumed as Social inclusion only (See Fig. 2). Also, among the goals of the Sustainable Development Agenda 2030, there exists a need for participation, sustainability, and inclusivity to improve citizen QOL (Berisha et al., 2022). For instance, according to Goal 11 of the 2030 agenda, cities should be inclusive, safe, resilient, and sustainable, whereas Goal 11.3, in particular, stresses improving civil society participation in planning and management (Berisha et al., 2022). Also, Goal 16 ensures responsive, inclusive, participatory, and representative decision-making at all levels (Whaites, 2016). Researchers have taken initiatives, and set different indicators that target cities and neighborhoods such as the (1) CITYKeys project (Bosch et al., 2017) and (2) OECD Better Life Initiative (Balestra et al., 2018). Concerning the CITYKeys, major theme headings are arranged, each with corresponding policy goals in the following manner (See Fig. 3) (Bosch et al., 2017). The CITYKeys framework provides a system to evaluate and score smart city projects, where it relies on objective quantitative measurability which is limited for the majority of indicators in the People, Governance, and Propagation themes. So, qualitative information is dealt with in a semi-quantitative way (Bosch et al., 2017). Finally, the resulting indicators cover citizen priorities and reflect sustainable development goals by focusing on impact indicators. This finding has aided the formation of the social indicators framework. The OECD well-being tool creates a well-being composite index based on city users’ choices, assigns a weight to each of the 11 dimensions of the framework, and collects data on the weights to share back with the OECD (See Fig. 4) (Kato & Lamhauge, 2021). So, collecting citizen well-being yields subjective data required to assign weights

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Fig. 1 Research methodology. Source Author

Fig. 2 Explaining the Social Dimension Source a (Sow, 2016), b (Alvany et al., 2018)

for the key dimensions. This tool has inspired the collection of qualitative citizen responses to base the foundation of the social indicator framework in our study. These initiatives have made cities more livable for their citizens and have fallen in line with the 2030 Sustainable Development Agenda. Consequently, the social framework is formed and distributed into the different main elements that influence the citizens including Health, People,

Environment, Education, Economy, Safety/Security, Mobility, and Connectivity. In this framework, the focus is on the users and what they need. Since every city is different and needs are directly related to the citizens and city conditions, a general paradigm of the city challenges is to be studied. To be the most inclusive for all citizens, one has to keep in mind the city challenges at the heart of the framework. Some city

Integration of Tangible and Intangible Aspects in City Information Modeling

Fig. 3 CITYKeys Indicators (Bosch et al., 2017)

Fig. 4 The OECD Well-being Framework (Kato & Lamhauge, 2021)

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Fig. 5 City Challenges

Fig. 6 Preliminary Social Framework with KeyPoints. Source Author

challenges include pollution, traffic congestion, housing, health education, demand for life quality and comfort, etc. as shown in Fig. 5. So, the core of the existing framework is updated to include the main key points related to the user (Fig. 6). After carefully considering all the 91 potential indicators defined by Al-Qawasmi (2021), the most relevant ones for

this research are selected and highlighted as a reference for the final social indicator framework build-up as shown in Fig. 7 (Al-Qawasmi, 2021). It is important to note that social-related indicators of this QOL framework are just a part of the inclusive “Social” dimensions implied in this paper. Finally, the social indicator framework is built including 10 categories: mobility, safety/security, education,

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Fig. 7 Selected Indicators from the (Al-Qawasmi, 2021)

health, environment, economy, social participation, civic participation, housing, and services. For each category, we presented the main data to be collected as shown in Fig. 8.

2.2 CIM Prototype Build-Up This section is divided into three parts: (1) Data Collection, (2) Data Analysis, and (3) Platform Build-Up.

2.2.1 Data Collection The core of any CIM prototype is efficient data. In this research, data from two interrelated layers (tangible and intangible) are used. The tangible layer comprises the tangible data “physical data” that make up the city elements including, but not limited to, the map, roads, lighting posts, buildings, etc. The tangible layer includes all the existing attributes and characteristics of every city element like code number, name, length, width, etc. This layer creates the base of the CIM prototype to visualize the model. The intangible layer does not include displayable physical attributes. This layer is an overlay layer on the tangible layer where information is superimposed on the city elements to

help visualize soft skills and interpret uncovered aspects of the city. The intangible layer is collected from questionnaires, surveys, and interviews done in the study area, and obtained data is to be filtered, organized, and prepared to be integrated into the data format of the corresponding tangible data. For this paper, upon site observation and analysis of the Lille Center Area, various iris distributions with different building uses stand out. An iris, Lille Center 4, is chosen due to (1) proximity to the main parks of the Lille Area (Parc de La Citadelle de Lille and Parc Vauban), (2) direct connections to the contour of the main road all around the Iris Lille Center 4, (3) bus stops and bike lanes all around and (4) several construction sites close to the residential iris (See Fig. 10). Here, tangible data comprises two Sects. (1) city irises, roads, bus stops, and buildings collected from available open data on the Métropole Européenne de Lille (MEL) website provided by different contributors like city councils, organizations, and others, and (2) personally selected survey points as points of interest (POI). The POI have been selected based on the major and minor roads included in the iris to display the characteristics and comments around the area of interest (AOI) which in this case is “Lille Center 4” (See Fig. 9).

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Fig. 8 Social Indicator Framework

Fig. 9 Lille Center 4—Area of Interest (AOI) with Points of Interest (POI). Source Author

M. Al Jurdi and R. Wehbe

Integration of Tangible and Intangible Aspects in City Information Modeling

2.2.2 Data Analysis At this level, there is a mix of both qualitative and quantitative data that require analysis. The data analysis is mainly of two parts (1) data preprocessing and (2) comment analysis. Data preprocessing involves a primary analysis of the collected tangible data to get the best choice for the used case. The obtained qualitative data is filtered, classified into different fields, and then analyzed. The intangible layer is overlayed and fitted into the tangible layer. This phase is the first step to expose the first level of comments and notes around AOI. Comment analysis involves a detailed analysis of the intangible layer. The qualitative data analysis exposes various common notions and comments to be further analyzed in depth when visualized in the 3D space of the CIM. 2.2.3 Platform Build-Up The CIM is a 3D digital information model of different urban environments, made up of various data layers. Until now, there is no standard model to incorporate all the different smart city initiatives in the same fully functional space. Depending on the required data to be visualized,

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stakeholders and researchers have created a model fit for their indicators. After the data is processed and analyzed, the data is integrated into a Geographic Information System (GIS) software to create the CIM Prototype. Due to the advancement of the ArcGIS Platform which is connected to the ArcGIS Cloud, it is easy to access data directly from ArcGIS Online and use a wide range of applications.

3

Results

For this study, as displayed in Fig. 10, a preliminary CIM prototype is built for an AOI “Lille Center 304”, including the first layer of tangible data composed of the city irises, buildings, bus stops, construction sites, and roads. Then, the second layer of tangible data is introduced into the model to understand the composition of the AOI Iris Lille Center 304 (See Fig. 10). Once AOI is highlighted (See Fig. 10), the buildings are classified into three categories commercial, annex, and residential. The classification facilitates the addition of a Level of Detail (LOD) to residential buildings for better understanding and visualization purposes (See Fig. 11).

Fig. 10 ArcGIS 3D map including the first layer of tangible data. Source Author

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Fig. 11 Preliminary CIM Prototype upon including all data

Figure 11 shows that the Iris is made up of many residential housings. To convey a correct representation of the iris, a study is needed to acknowledge whether this area is mostly influenced by the residents or by Lille visitors and inhabitants working, studying, or commuting through this area. For this reason, and as explained in the methodology, POIs have been selected on each road of the AOI, which could be used as an inquiry point. This means that POI could include advantages, disadvantages, and improvements related to certain city elements and conditions. This kind of information is to be gathered using interviews, questionnaires, and surveys. As a first observation, this neighborhood could be considered residential, but further analysis and reviews are needed. Upon gathering the intangible data which demonstrates the real human perspective, this classification can not only correctly classify the iris, but also expose further keynotes crucial for the area including safety/security, participation, and even mobility status. On the other hand, a first demonstration of the citizens' feelings is attempted. Figure 11 also portrays a possibility to highlight the indicators of the social framework by integrating feeling with certain elements. Inspired by the Bio mapping technique, various curves could be integrated to represent people’s feelings, colored red being the lowest and green being the highest, with different labels and marks. For example on POI (5), taking the road Solférino on the map, one can visualize different peak values to display the feeling

of mobility or traffic comfort. As the first outcome of these readings was done after 17:00 on a weekday, a peak of discomfort is observed at the middle, intersection with the “Palais Ramea” road, POI (7). This is probably due to the interference of the various traffic lights at this intersection with Collège Saint Paul, resulting in high pedestrian mobility in that zone. Also, this traffic discomfort is triggered by the existing parking spots on both roads Solférino and Palais Rameau next to the intersection. Upon overlapping the different results from the visualization of tangible and intangible layers into a CIM prototype, some new aspects are uncovered, which reveals a glimpse of the plausibility of this methodology and integration of the Social indicator framework.

4

Discussion

Although significant reputable work exists on city assessment frameworks, very few target urban smartness, improving future resilience and livability (Kutty et al., 2022). As Neumann et al. (2016) argue the analyzed frameworks done to establish the CITYKeys framework were saturated with available key performance indicators (KPIs) (Neumann et al., 2016), even though some indicators remain untackled. This limitation has been considered when interpreting the indicator frameworks. One apparent

Integration of Tangible and Intangible Aspects in City Information Modeling

similarity between the CITYKeys and this research framework is the structuring around sustainability elements. The main difference observed between the two frameworks is that this research framework considers the bottom-up approach, where the users’ needs and challenges are set as the core of the study, then the different sectors are examined for related indicators. This concept is inspired by the OECD Well-being project based on city users’ choices, but it moves a step further and attempts to visualize some takeaways from a multi-collaborative city model, the CIM prototype. Two of the main limitations concerning the adopted methodology are the quality and complexity of the data collection and data interoperability. First, the data collection process is very tiresome and time-consuming and demands quality and objectivity. In this project, the collected data is minimal since the data is statically accumulated and updated. Second, data interoperability remains a complex research topic, especially in the CIM field. With new technologies, data servers, and big data networks, data types differ in complexity, abundance, and formats. All this complicates the interoperability and structure of the CIM itself. One potential challenge is the data storage issue, especially when more computational power is needed to expose several indicators simultaneously or to compare different time periods. Another challenge could be the accessibility of the CIM Prototype to the general public. The question remains whether the CIM will be an online server accessible by any device, including phones, or an online application accessible through phones. In the future, this methodology could be more refined, and many processes like data collection, input, and analysis could be automated and dynamized to improve the framework and the outcomes of the CIM. Also, the CIM prototype could expand to integrate all the various indicators of the social indicator framework. Lastly, the research would continue on the CIM structure and composition to achieve a practical tool and enhance its decision-making features.

5

Conclusion

This paper introduced an inclusive Social Indicator Framework built around the citizens’ needs. Upon exploring a selected group of indicators, the intangible layer is collected, filtered, and then overlaid with the tangible data layers. Consequently, the proposed methodology is to be applied to a real case study to validate the feasibility and viability of this work. The contribution of this paper is building a preliminary CIM Prototype on all the collected data to visualize new correlations that expose unaddressed aspects of the city. From a practical perspective, this comprehensive CIM prototype could support the decision-makers, like the municipalities, urban planners, governments, etc. in improving the

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QOL in cities through new insight from unaddressed aspects of the city. From a research perspective, this paper could assist researchers interested in this field and looking for a refined methodology. Also, the methodology itself could be adopted on other frameworks to incorporate them into the CIM environment. This opens doors to the possibility of further research around CIM visualization techniques of the social aspect, which is still not covered. So, the future findings are to create an interactive collaborative platform to integrate this proposed methodology and to handle the entire social indicator framework.

References Abdalla, A., & Weiser, P. (2011, September). Towards emotional and opinion-based layers in city GIS. https://www.corp.at/archive/ CORP2011_78.pdf Al-Qawasmi, J. (2021). Selecting a contextualized set of urban quality of life indicators: Results of a delphi consensus procedure. Sustainability, 13(9), 4945. https://doi.org/10.3390/su13094945 dos Alvany, M., Pamela, K. R., & José, C. S. (2018). Corporate Social Responsibility: An approach to peace? African Journal of Business Management, 12(23), 692–701. https://doi.org/10.5897/ajbm2018. 8613 Balestra, C., Boarini, R., & Tosetto, E. (2018). What matters the most to people? Evidence from the OECD Better Life Index users’ responses. OECD Statistics Working Papers. https://doi.org/10. 1787/edf9a89a-en Berisha, E., Caprioli, C., & Cotella, G. (2022). Unpacking SDG target 11.a: What is it about and how to measure its progress? City and Environment Interactions, 14. https://doi.org/10.1016/j.cacint.2022. 100080 Bosch, P., Jongeneel, S., Rovers, V., Neumann, H.-M., Airaksinen, M., & Huovila, A. (2017). CITYkeys indicators for smart city projects and smart cities. https://doi.org/10.13140/RG.2.2.17148.23686 Ho, K. K. W., & So, S. (2017). Towards a smart city through household recycling and waste management: A study on the factors affecting environmental friendliness lifestyle of guamanian. International Journal of Sustainable Real Estate and Construction Economics, 1 (1), 89. https://doi.org/10.1504/ijsrece.2017.084385 Ignat, V. (2017). Digitalization and the global technology trends. IOP Conference Series: Materials Science and Engineering, 227(1), 12062. https://doi.org/10.1088/1757-899X/227/1/012062 Kato, T., & Lamhauge, N. (2021). Strengthening Climate Resilience: Guidance for Governments and Development Co-Operation. https:// doi.org/10.1787/4b08b7be-en Kutty, A. A., Wakjira, T. G., Kucukvar, M., Abdella, G. M., & Onat, N. C. (2022). Urban resilience and livability performance of European smart cities: A novel machine learning approach. Journal of Cleaner Production, 378. https://doi.org/10.1016/j.jclepro.2022. 134203 Leśniak, A., Górka, M., & Skrzypczak, I. (2021). Barriers to BIM implementation in architecture, construction, and engineering projects—the Polish study. Energies, 14(8), 2090. https://doi.org/ 10.3390/en14082090 Li, R. Y. (2017). 5D GIS Virtual Heritage. Procedia Computer Science, 111, 294–300. https://doi.org/10.1016/j.procs.2017.06.066 Neumann, H.-M., Iglár, B., Huovila, A., & Airaksinen, M. (2016). Recommendations for a smart city index Spatio-Temporal Energy Systems Analysis View project. https://doi.org/10.13140/RG.2.2. 20190.74562

146 Nold, C. (2018). Bio Mapping: How can we use emotion to articulate cities. Livingmaps Review, 4, 1–16. Pánek, J. (2018). Emotional maps: Participatory crowdsourcing of Citizens´ perceptions of their urban environment. Cartographic Perspectives, (91). https://doi.org/10.14714/cp91.1419 Paroutis, S., Bennett, M., & Heracleous, L. (2014). A strategic view on Smart City Technology: The case of IBM Smarter Cities during a recession. Technological Forecasting and Social Change, 89, 262– 272. https://doi.org/10.1016/j.techfore.2013.08.041 Schaufler, C., & Schwimmer, E. (2020). City information modeling An expedient tool for developing sustainable, responsive and resilient cities? IOP Conference Series: Earth and Environmental Science, 588(3). https://doi.org/10.1088/1755-1315/588/3/032005 Souza, L., & Bueno, C. (2022). City Information Modelling as a support decision tool for planning and management of cities: A systematic literature review and bibliometric analysis. Building and Environment, 207. https://doi.org/10.1016/j.buildenv.2021.108403 Sow, S. C. (2016). Sustainable Development - What is there to know and why should we care? United Nations System Staff College (UNSSC). https://www.unssc.org/news-and-insights/blog/ sustainable-development-what-there-know-and-why-should-wecare

M. Al Jurdi and R. Wehbe Stojanovski, T. (2013). City Information Modeling (CIM) and Urbanism: Blocks, Connections, Territories, People and Situations. Proceedings of the Symposium on Simulation for Architecture & Urban Design Szołtysek, J., & Twaróg, S. (2013). Bio-mapping as a tool for urban logistics projects. Journal of Economics and Management, 11 Turek, T., & Stępniak, C. (2021). Areas of integration of GIS technology and smart city tools. Research Findings. Procedia Computer Science, 192, 4681–4690. https://doi.org/10.1016/j.procs. 2021.09.246 Wang, B., & Tian, Y. (2021). Research on key technologies of city information modeling. IOP Conference Series: Earth and Environmental Science, 693(1), 012129. https://doi.org/10.1088/1755-1315/ 693/1/012129 Whaites, A. (2016). Achieving the impossible: Can we be SDG 16 believers? OECD Publishing. https://www.oecd.org/dac/ accountable-effective-institutions/Achieving%20the%20Impossible %20can%20we%20be%20SDG16%20believers.pdf Xu, Z., Qi, M., Wu, Y., Hao, X., & Yang, Y. (2021). City information modeling: State of the art. In Applied Sciences (Switzerland) (Vol. 11, Issue 19). MDPI. https://doi.org/10.3390/app11199333

Internet of Things, Big Data Analysis and Cloud Computing

Dynamic Temperature, Humidity, and Lighting System for Smart Home Based on Fuzzy Logic Muataz Salam Al-Daweri, Wu Fengda, and Hamid Tahaei

are introduced, e.g., if a stranger approaches the house door, a light or camera can be activated, and a text warning is presented on a light-emitting diode device.

Abstract

Smart home has always been a hot topic, and a good smart home system is not common. It is clear that ordinary houses and apartments can be transformed to become smart homes by adding smart products and applying artificial intelligence (AI). Besides, using smart phones and personal computers to remotely control the smart home system or some parts of it has always been one of the main users’ requirements, especially to those living with disabilities. In addition, among all the household devices, the air conditioner is one of the most power-consuming products. Because of that, a special attention should be given to finding a smart home system that can use the air conditioner efficiently. An AI approach, called fuzzy logic, may be used for such task. In this study, a simple, light-weight, and low-cost smart home system is designed and tested to perform several tasks to improve the human life. The system uses fuzzy logic to turn on the air conditioner when needed as well as change its modes to better meet the human needs. It can also control a few other household products, such as the lighting devices. Additionally, some security measures

M. S. Al-Daweri Department of Information Systems, College of Economics, Management & Information Systems, University of Nizwa, Nizwa, Oman e-mail: [email protected] W. Fengda Department of Information and Communication Technology, Xiamen University Malaysia, Sepang, Malaysia e-mail: [email protected] H. Tahaei (&) Institute of Artificial Intelligence, School of Mechanical and Electrical Engineering, Shaoxing University, Shaoxing, China e-mail: [email protected] Faculty of Computer Science and Information Technology, University of Malaya, Kuala Lumpur, Malaysia

Keywords

Smart home

1




Fuzzy logic



IoT

Security




Arduino

Introduction

People are moving toward a world where everyone and everything can be intelligently connected, and around improving the quality of life, the smart home ecosystem is striving to combine safety, comfort, and low energy consumption. For example, air conditioners can be automatically adjusted to make residents feel comfortable according to the indoor temperature; the entrance to the house can work with the help of cameras, and household lights can be automatically switched on and off according to the movement of people. Since we live in a technologically advanced day, many of the technology we use can be readily witnessed and controlled from a distance, particularly by smart phones and tablets. Prices for these items are reducing quickly as more businesses produce microcontrollers with embedded systems (Taştan & Gökozan, 2018). Internet of Things (IoT) will transform the cities we live in into smart cities that keep up with the more organized way of living. We will have a lot of opportunities thanks to this transition that will improve human lives. Thanks to the IoT, our surrounds, businesses, and homes are rapidly changing nowadays. Studies in this area will further improve our lives (Taştan & Gökozan, 2018). In (Taştan & Gökozan, 2018), the NodeMCU chip microcontroller, Arduino Pro Mini, and Blynk with the iOS/Android interface developer were utilized to construct a smart home system that includes temperature and light controls. In their study, they recommended to collect

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_11

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data from the devices, including power, voltage, current, humidity, and temperature, which can be stored in the cloud, thus allowing for the retrieval of the devices’ operational properties. These data can be used to lower a household's energy use utilizing a variety of techniques. Due to the gradual maturity of sensor technology, the possibility and accuracy of environmental interaction have become simpler, which greatly reduces the cost of smart home automation. For example, if we want to obtain the temperature and humidity of the real-time environment, we only need a temperature and humidity sensor DHT11, which can detect the temperature of the environment in real time. If we use the technology of IoT, we can easily obtain the value of temperature and humidity on the computer. Obviously, air conditioners, light bulbs, monitors are very important parts of the home. Among these devices, air conditioner is the most power-consuming one, so in order to save electricity, we need to control it smartly. As an experiment result showed that undergraduates performed better at 40% relative humidity and 24 °C. Learning performance variations were consistent with environmental comfort, but relative humidity impacted learning performances more than indoor air temperature. Low humidity environments decreased the overall learning performance; rooms maintained at 40% relative humidity lowered the degree of fatigue, reading speed, and the degree of distraction by 23.3, 12.2, and 61.1%, respectively, as compared to a room at 20% relative humidity. Therefore, relative humidity should be emphasized when designing learning spaces (Liu et al., 2021). It is apparent that our home is an important place for study and work. To coordinate the best temperature and humidity, here comes an artificial intelligence (AI) approach, called fuzzy logic. Fuzzy logic can process information generated by computational perception and cognition, that is, information that is uncertain, imprecise, ambiguous, partially correct, or without clear boundaries. Fuzzy logic allows fuzzy human evaluation to be included in computational problems. The fuzzy logic is commonly used in smart homes (Krishna et al., 2018). In (Krishna et al., 2018), this approach was used for an energy management system to reduce the energy consumption from batteries in smart homes. In addition, the majority of smart home appliances are not made with persons with mobility issues and disabilities in mind. Of course, older individuals and those with physical limitations may benefit greatly from being able to handle household appliances with smart technology (Mtshali & Khubisa, 2019; Stefanov et al., 2004; Sunehra & Tejaswi, 2016; Vamshi et al., 2017). In (Mtshali & Khubisa, 2019), a method for capturing voice commands from people with impairments, spoken in a much more conversational way, to control common home electrical devices so they can be turned on or off using the least amount of effort. The method

M. S. Al-Daweri et al.

uses smart sockets, intelligent cameras, wireless power strips, and digital personal assistants like Amazon Alexa, Apple Siri, or Microsoft's Cortana. Besides, some of us may often forget to turn off the lights or air conditioners after we leave the rooms, and sometimes we want the lights on when we enter the rooms in a comfortable way. Our system will meet these requirements. As for the use of hardware, Arduino uno and ESP8266 NodeMCU are our main development boards, LEDs are used to simulate light bulbs, touch sensor is used to work as a switch to turn on/off lights, a DHT11 sensor, which is used in our system for retrieving temperature and humidity dynamically purpose, an IR receiver is used to capture the message of remote. IR transmitter is used to send message to the air conditioner, according to the fuzzy logic rules as we set, or we can also control AC remotely using Blynk, PIR (Pyroelectric InfraRed Sensor) sensor is used to detect if there are strangers in front of the door, and a warning message appears on LCD screen if a stranger closes to the door. The use of smart home technology aims to improve security, comfort, and energy efficiency. Because of the high cost and logistical challenges in obtaining a home automation system, it is still uncommonly used in several countries like Indonesia. The aim of this article is to provide a small intelligent household system that has been developed and constructed using a wireless connection based on an Arduino device. The system has the capacity of tracking and handling home equipment including alarms, lighting, and temperature. A device linked to a network that supports Web can carry out proper supervision and monitoring functions, according to test results for the system (Chandramohan et al., 2017; Li, 2013; Piyare, 2013). In this work, the suggested system hardware and software is put into effect. The anticipated effort advances the creation of ubiquitous home networks. The smart home system in this study can carry out a number of functions is designed and evaluated. The technology uses fuzzy logic to regulate the air conditioner's modes and switch it on when necessary in order to better serve the needs of humans. Other home appliances like lightbulbs and cameras are also under its control. A surveillance system is activated and a text warning is displayed on a light-emitting diode device if a stranger approaches the house door, which adds additional security measures. The outcomes of the above shall contribute to the research of the smart homes.

2

Methodology

Fuzzy control (see Fig. 1) is a rule-based intelligent control, which is closer to human thinking and language analysis than traditional logic systems. Based on the principle of

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Fig. 1 Principles of the fuzzy logic control (Kozlowska, 2012)

fuzzy implicit concepts and complex reasoning rules, it is often used in some complex systems, especially in the case of qualitative and uncertain information (Kozlowska, 2012). The fuzzy logic is still in active use by researchers as it helps to solve many problems in many areas, such as in waste management (Zhumadillayeva et al., 2020). In the middle of the twentieth century, American Zade put forward a control technology that uses fuzzy controller and fuzzy set theory for overall consideration. The core part of the fuzzy control system is the core reasoning. The whole system reasoning program imitates the experience, thinking, and decision-making of the operator. There is no need to establish a mathematical model of the controlled object. The robustness of the system is strong, and it is especially suitable for the control of nonlinear and time-varying lag systems. It is easy to establish language variable control rules, but it is difficult to establish mathematical equations, and in the field of rich control experience, fuzzy control can play an unparalleled advantage (Merino-Arteaga et al., 2022).

Fig. 2 Basic fuzzy control system (Subin et al., 2020)

Basic fuzzy logic controller (see Fig. 2) consists of fuzzy interface, knowledge base, inference engine, and fuzzy judgment interface (Pedrycz, 1993). The fuzzy interface is the input interface of the fuzzy controller. The input of the fuzzy controller must be fuzzified before it can be used to solve the fuzzy control output. The main function is to measure the input variables and the output variables of the controlled system. Then, the precise input data are transformed into appropriate linguistic values or fuzzy set identifiers; what the database stores are the membership vector values of all fuzzy subsets of all input and output variables (that is, after the set of corresponding values after the discretization of the domain level). If the domain of discourse is a continuous domain, it is a membership function; the rules of the fuzzy controller are based on expert knowledge or the long-term accumulated experience of skilled manual operators, which is based on human intuition Linguistic representation of reasoning. Fuzzy rules are usually connected by a series of relational words. The rule base is used to store all

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the fuzzy control rules. It provides control rules for the “inference engine” during inference. The rule base and database form the entire fuzzy controller. The inference is the fuzzy controller, according to the input fuzzy quantity, the fuzzy inference is completed by the fuzzy control rules to solve the fuzzy relation equation, and the functional part of the fuzzy control quantity is obtained. This is usually selected during the design process of the fuzzy controller. The result obtained by reasoning is still a fuzzy vector, which cannot be directly used as a control quantity. It must be converted once to obtain a clear control quantity output, which is the defuzzification. The functional part of the inference and the output end that has a conversion function is usually called the defuzzification interface. The fuzzy controller proposed in our system is different from that of a classical controller. It does not rely on the mathematical model, but it relies on the actual situation, and determines the actual domain of all inputs and output values when it is in the specific design process, namely the theory domain. According to the experience of manual operation, the simulation of human thinking using a fuzzy reasoning method is used to determine each parameter and control rules. Since a fuzzy controller is the most important part of a fuzzy control system, so it must follow certain principles and design steps. The following steps are considered: The first step is to choose a reasonable fuzzy controller structure. The structure chosen by the fuzzy controller is to determine the input and output of the fuzzy controller. Because the structure of the fuzzy controller has a great influence, the structure of the fuzzy controller must be chosen carefully. Here, a real-time temperature and humidity are selected as the input variable of the controller, and whether the air conditioner is turned on is used as the output variable. In our system, temperature and humidity are

Fig. 3 Humidity membership (Sterling et al., 1985)

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obtained through the DHT11 temperature and humidity sensor. Other studies like that done in (Novelan & Amin, 2020) considered using the same sensor, which helped the authors of the study to conduct a successful study in determining the changes in the state of an object or substance. The second step is to construct fuzzy control rules and decide the fuzzy membership. As the core of the fuzzy controller, it must be carefully designed. In the system proposed in this study, the constructed rules are listed as follows: • Sustained high temperature and high humidity may affect people's thermoregulatory function, resulting in heat stroke and thermal fatigue. At the same time, it is easy to induce emotional heat stroke in the human body psychologically. When the ambient temperature and humidity are at high levels and seriously affect human comfort, the system will turn on the air conditioner. • If the temperature is too low, the metabolic function will decrease, the pulse and breathing will slow down, the skin will be too tight, the subcutaneous blood vessels will constrict, and the resistance of the respiratory tract will decrease. If the humidity is too low, a large amount of water will be lost from the mucous membranes of the upper respiratory tract, resulting in dry mouth and a cold. Therefore, when the temperature and humidity are at a lower level, the comfort of people will also decrease, and the air conditioner shall be turned off. Besides, by referring to Figs. 3 and 4, it is easy to tell the fuzzy states and fuzzy membership. For temperature, the membership includes freeze, cool, warm, and hot. For humidity, the membership includes dry, partially wet, and wet. Also, the conditional statement deduced from the fuzzy controller is interpreted as if it is hot and humid, then turn on

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Fig. 4 Temperature membership (Deng et al., 2017)

the air conditioner. On the other hand, if it is cold and dry, then turn off the air conditioner. The third step of the process is to determine the fuzzification and defuzzification strategies, and develop control tables. Research has shown that humans’ most comfortable temperature is between 17°C and 25°C (Deng et al., 2017), and humidity is between 30 and 60% (Sterling et al., 1985). Also, we also consider the influence of indoor air temperature and relative humidity on learning performance of students (Liu et al., 2021). Finally, we decided that our system mainly concerns with temperature ranging 15°C to 20°C and 30°C to 35°C and humidity ranging 35 to 40% and 50 to 55%. In the fuzzification of humidity, when the humidity is determined as dry and the data is between 35 and 40%, the real-time humidity data can be subtracted from 40 and divided by five to calculate the fuzzified humidity at this time. If the humidity is in the membership of partially wet and the data is between 35 and 45%, the real-time humidity can be subtracted from 45 and then divided by 10 to calculate the fuzzified humidity at that time. If the humidity is in the membership of partially wet and the data is between 45 and 50%, the real-time humidity can be subtracted from 55 and then divided by 10 to calculate the fuzzified humidity at that time. If the humidity is in the wet membership and the data is between 50 and 55%, the real-time humidity can be subtracted from 55 and divided by 5 to calculate the fuzzified humidity at this time. Similarly, in the fuzzification of temperature, when the temperature is determined as cool and the data is between 15 and 20 degrees, the real-time temperature data can be subtracted from 20 and divided by five to calculate the fuzzified temperature at this time. If the temperature is in the membership of warm and the data is between 15 and 25 degrees, the real-time temperature can be subtracted from 25 and then

divided by 10 to calculate the fuzzified temperature at that time, then divided by five to calculate the fuzzified temperature at this time. If the temperature is in the membership of warm and the data is between 25 and 30 degrees, the real-time temperature can be subtracted from 30 and then divided by 10 to calculate the fuzzified temperature at that time. If the temperature is in the hot membership and the data is between 30 and 35, the real-time humidity can be subtracted from 55 and divided by 5 to calculate the fuzzified temperature at this time. As for the defuzzification construction, the method is to find the centroids: location where membership is 100%.

3

Components and Implementation

3.1 Arduino Uno Arduino Uno is a very common and popular development board. The most basic application knowledge should be its digital pins and analog pins. There are 14 digital pins, from D0 to D13, and 6 analog pins, from A0 to A5. The digital pins can be Digital input or digital output, but analog pins can only be used for analog input. When we want to use the Arduino Uno development board (see Fig. 5), we need a USB connection to connect to our computer. It is worth mentioning that there is a reset button on the Arduino Uno development board. Very often, when our program encounters problems and cannot initialize, it can help a lot. When we use the Arduino development board, our Arduino program needs to select the correct type of a development board, and also select the port we connect to the computer. Otherwise, the program will not run. Of course, Arduino Uno has many sibling development versions, which means there are many types of Arduino development versions. If

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Arduino Uno, and it has a Wi-Fi module, so we can also use it to control my actuators remotely. This board was used in some recent studies which motivated us to use it (Jumaa et al., 2022; Novelan & Amin, 2020). Because of its inexpensive price and excellent feature set, the ESP8266 is considered one of the best IoT modules, according the study done in (Parihar, 2019). The general features of this board are as follows:

Fig. 5 Arduino Uno (Ghuge et al., 2017)

you are interested, you can compare and analyze their advantages and disadvantages. The general features of this board are as follows:

• There are four power pins, one is VIN pin, others are 3.3 V pins. • GND is the ground pin. • There is only one analog write pin. • It has a Wi-Fi module • There are 10 digital pins

• It acts as a serial device, because it allows to be interfaced with USB. • The Arduino development board supports our computer as a virtual serial port, since this protocol is very simple, we can easily operate to connect our development board and the USB port. • The ATmega328 chip is the core of the Arduino Uno. • There is a button in the Arduino Uno board to reset the program. • It is known that digital pin 13 is connected to an onboard LED. • There are 13 digital pins and 6 analog pins.

3.3 IR Receiver

3.2 NodeMCU ESP8266

• The frequency is 37.9 kHz, in the most of the cases, we consider it as 38 kHz. • Its receiving angle is told to be 90°, in practical experience, angle different, the receiving signals different.

It is also a development board (see Fig. 6), and actually it can be used to implement a lot of functions without using Fig. 6 NodeMCU ESP8266 development board (Cameron & Cameron, 2019)

Infrared receiver (see Fig. 7), also known as InfraRed Receiver Module (IRM), is a type of OPIC (OPtical IC), which is a combination of optoelectronic components and integrated circuits (ICs). It is a product that combines photodiode and special instruction integrated circuit (ASIC) for IC infrared light-receiving element, which can simplify and miniaturize the circuit design of application products. The infrared receiving head is emitted through infrared light-emitting diodes (LEDs), and the internal structure of infrared light-emitting diodes (infrared emission tubes) is basically the same as that of ordinary light-emitting diodes. The general features of this board are as follows:

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Of course, in our scenario, the IR transmitter is used to switch the air conditioner on and off. It can automatically emit infrared rays with the addition of using fuzzy logic as the theoretical and logical background. It can also use Blynk for remote control by connecting Wi-Fi module.

3.5 Digital Sensor TTP223B Module Capacitive Touch Switch Fig. 7 IR receiver (Tucker IT Consulting, 2022)

• Can extended from the statement above, distance different, the receiving signals also different.

3.4 IR Transmitter In the smart home scenario, infrared transmitters (see Fig. 8) are used to control home appliances and send radio frequency signals to infrared transponders. The infrared transponders forward the radio frequency signals into infrared signals that can control home appliances to achieve the function of controlling electrical appliances. Basically, many household devices have it, such as TVs, air conditioners, smart curtains, etc. If the function settings are perfect, it is not too much to use this small transmitter as our home remote control.

In our study, the touch sensor (see Fig. 9) is used to manually control the lights. When a touch is sensed, the blue LED will turn on, and when we leave the touch sensor, after a short gap, the light will automatically turn off. Of course, we may also be able to integrate it into a touch version, which can improve both esthetics and functionality. The general features of this board are as follows: • It works like a switch. • It can sense the contact, touch, or pressure.

3.6 DHT11 Digital Relative Humidity and Temperature Sensor Module The temperature and humidity sensor is very important, because one of the objectives of our fuzzy logic application is temperature and humidity. The DHT11 temperature and humidity sensor, as shown in Fig. 10, may well help to obtain real-time temperature and humidity with good accuracy. This sensor was used in (Novelan & Amin, 2020) to conduct a similar study. Moreover, because of its compact features and does not take up space, DHT11 did not affect our operating space during the entire development process. The general features of this board are as follows:

Fig. 8 IR transmitter (Tucker IT Consulting, 2022) Fig. 9 Digital sensor TTP223B module capacitive touch switch (Tucker IT Consulting, 2022)

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Fig. 11 HC-SR505 mini infrared PIR motion sensor infrared detector module (Ghuge et al., 2017)

Fig. 10 DHT11 digital relative humidity and temperature sensor module (Tucker IT Consulting, 2022)

• It has calibrated digital signal output. • The sensitive elements of the temperature and humidity sensor are thermistors and humidity-sensitive resistors. • Generally, temperature and humidity measurements have accurate value. The temperature is generally around 0.5 degrees Celsius, and the humidity is around five percent. • If the temperature is wrong or it is not displaying it, then it may be that the thermistor is damaged or the contact is poor.

3.7 HC-SR505 Mini Infrared PIR Motion Sensor Infrared Detector Module The PIR motion sensor (see Fig. 11) has two roles in this study. The first function is to act as a trigger for the light. Of course, if we have many rooms in our house, sometimes we need to go from one room to another. If we need to constantly switch the light on and off, it will be a little frustrating. Additionally, if it is a long night, there may be poor visibility, and it is sometimes time-consuming to find the switch of the light, so for this case our automatic trigger light comes in handy. The second usage scenario is with the monitor. We can put the sensor at the door or embedded in the door. When we are not at home, if a stranger approaches, the motion sensor will be triggered, and the monitoring will be activated to protect our personal safety. The general features of this board are as follows: • The human body has a constant body temperature, generally around 37 °C, and emits infrared rays with a specific wavelength of about 10 ums. Passive infrared

probes work by detecting the infrared rays emitted by the human body. • Different from the active infrared sensor, the passive infrared sensor itself does not emit any type of radiation, has good concealment, little power consumption from using the device, and the price is low.

3.8 Liquid Crystal Display with IIC/I2C Interface The main function of LCD (see Fig. 12) in this study is to display a warning message on the LCD when a stranger approaches the door. The general features of this board are as follows: • Standard LCD requires more pins, I2C LCD can reduce the use of pins, and the wiring is relatively simple. • It is white on a black background with backlighting.

Fig. 12 IIC controlled LED (Tucker IT Consulting, 2022)

Dynamic Temperature, Humidity, and Lighting System for Smart Home Based on Fuzzy Logic

3.9 Blynk The main function of the Blynk platform in our scenario is to connect the Wi-Fi module, and then we can configure it on the Blynk platform, such as the pins. This is illustrated in Fig. 13. This platform is used and recommended in recent studies in IoT field of study (Jumaa et al., 2022). We can also choose the control effect we want, such as a switch. In our scenario, the Blynk was successfully used to control the IR transmitter via the ESP8266 to switch the air conditioner on and off, as well as a simple switch for the on and off.

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dashboard, as long as the ESP8266 is connected into your Wi-Fi. Figure 15 shows how the sensors and actuators are connected overall with Arduino Uno using jump cables and a breadboard, and Table 1 shows how the pins connected in details, and then we can use Blynk platform to control the LED remotely. Figure 16 shows how ESP8266 NodeMCU is connected to an IR transmitter. Figure 17 shows how ESP8266 NodeMCU is connected to an LED. We can use Blynk platform to turn on or turn off the air conditioner and the LED remotely.

4

Results and Discussion

3.10 System Framework and Arduino Software 4.1 Air Conditioner Arduino software is an important platform, which receives information from sensors, and make actuators execute commands. In this study, if users want to turn on the light bulbs, they can do it by touching the touch sensor. Also, the PIR motion sensor is working as a monitor trigger; if a stranger comes, a red-light bulb will light up, and monitor screen presents “Watch Out”, otherwise “Monitoring”. The system framework is given in Fig. 14. In the meanwhile, users can control light bulbs and their air conditioner remotely, by using the software Blynk. No matter if it is accessed from the web or mobile phone

Fig. 13 Blynk platform (Sarful, 2022)

When the indoor temperature is above 30 degrees, and humidity is above 55%, as shown in Fig. 18, the IR transmitter send signals to turn on air conditioner. Figure 19a shows the AC is turning on cool mode. When the indoor temperature is between 15 and 20 degrees, and humidity is between 35 and 40%, as shown in Fig. 18, the IR transmitter sends signals to turn off the air conditioner and turn on humidifier. Here the GREE fan mode acts as humidifier, which is shown in Fig. 19b. Also, there are some enforcement measures in our system. If the temperature is above 35 degrees, then the IR

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Fig. 14 System framework. Source the authors

transmitter will send signals to the air conditioner to force it to turn on, and if the humidity is above 70%, the air conditioner will turn on the dehumidification mode, which is shown in Fig. 19c.

activated. Besides, a warning message will be displayed to alarm the users, and the message is “Watch Out”, which is shown in Fig. 20b. However, in most of the cases, there is no motion detected, thus the LCD displays “Monitoring”, which is shown in Fig. 20c.

4.2 Monitor 4.3 Light Bulb Security measures are provided through the PIR motion sensor; once someone is getting close to your door, the monitor will turn on, and a red LED will light up. In this study, an LCD acts as a monitor. It is easy to see that when a hand is put close to the PIR motion sensor, as shown in Fig. 20a, the LED inside the PIR motion sensor also lights up, which means a motion is detected, and the red LED is

The light bulb proposed in our system is based on motion, where users can place light bulbs in various rooms, eliminating the need to switch the lights on and off as they move around the house, and all lights are based on motion. As shown in Fig. 20a, the light is switching on when a motion is detected.

Dynamic Temperature, Humidity, and Lighting System for Smart Home Based on Fuzzy Logic

Fig. 15 Main circuit design. Source the authors

Table 1 Main Connections of the Arduino Uno

Arduino Uno

Connection details

A0

DHT11 - > OUT

5V

DHT11 - > –

GND

DHT11 - > +

D13

LED(Blue) - > +

GND

LED(Blue) - > –

D5

Touch Sensor - > SIG

5V

Touch Sensor - > VCC

GND

Touch Sensor - > GND

D3

IR Transmitter - > DAT

5V

IR Transmitter - > VCC

GND

IR Transmitter - > GND

D4

PIR Motion Sensor - > IN

5V

PIR Motion Sensor - > VCC

GND

PIR Motion Sensor - > GND

D10

LED(Red) - > +

GND

LED(Red) - > –

GND

ICC LCD- > GND

5V

ICC LCD- > VCC

A4

ICC LCD- > SDA

A5

ICC LCD - > SCL

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Fig. 16 IR Blaster using ESP8266. Source the authors

Fig. 17 Blink an external LED (Sarful, 2022)

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Fig. 18 IR transmitter sending signals to turn on AC. Source the authors

Fig. 19 GREE AC different modes, a cool mode, b fan mode, and c dry mode. Source The authors

Fig. 20 The monitor for the security measure, showing a motion detected, b warning message in LCD, and c monitoring message in LCD. Source the authors

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Fig. 21 Light bulb based on touch sensor. Source the authors

Additionally, if the touch sensor is embedded into a panel, users can also use the panel to control the light bulb on and off. As shown in Fig. 21, once the sensor is touched, the blue LED is lighting up.

4.4 Remotely Control Based on Blynk If the Wi-Fi module is connected to Blynk platform, after configuration, the light and the air conditioner can be controlled remotely. We can go to Blynk platform and check if our device is online. Thus, if it is online, then things become easy; the switches which are shown in Fig. 22 are set before we can control. Once the switch named “SwitchLedPin2” is on, it can be seen that the LED shown in Fig. 23 is lighting up. If we turn off the switch off as shown in Fig. 24, we can see that the LED now is turning off, and that is shown in Fig. 25. Moreover, the Blynk platform can also be used to control the air conditioner without being concerned about the rules

Fig. 22 Turn on light bulb based on Blynk. Source the authors

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of fuzzy logic. As you can see in Fig. 24b, once the switch named “AC” is turned on, the IR transmitter will send a signal to turn on the air conditioner, which is shown in Fig. 18. You may notice that there is a red light on the transmitter, and this is because the IR transmitter has an integrated LED to send signals when it is working. Then, the result is shown in Fig. 26a that GREE air conditioner is turning on. Therefore, it is easy to tell if we want to turn off the air conditioner. The first step is to turn off the switch named “AC” in Blynk platform, as shown in Fig. 24a, and in Fig. 25, you can see the same red light being utilized, but the signal now is to turn off the air conditioner. As shown in Fig. 26b, the air conditioner is being turned off. It is important to point out that with used development boards, the data can be collected and stored in the computer for further studies. For example, the data from daily activities in a certain country and different periods of the year can be gathered and analyzed for further research. Data like this can be published and used in different AI approaches to advance the research in smart homes and cities in different areas of the world. This can improve our lives in many aspects such as environmental and security. Besides, this work shall contribute help improving the knowledge to develop simple do-it-yourself projects for those living with disabling conditions (Mtshali & Khubisa, 2019). With the recent advancement in the AI field such as the introduction of ChatGPT, this work can be incorporated with these technologies to further improve our lives.

5

Conclusion and Future Work

This research applies fuzzy logic into the smart home system to achieve the goal of automatic control. It is aimed to improve the human lives and help those living with disablities. It is a light-weighted system that uses three types of

Dynamic Temperature, Humidity, and Lighting System for Smart Home Based on Fuzzy Logic

Fig. 23 Remote control to turn on lights. Source the authors

sensors, which are PIR motion sensor, a DHT sensor and touch sensor. Two main development boards are used, i.e., ESP8266 NodeMCU and Arduino Uno. Besides, an ESP-01 Wi-Fi module, an IR transmitter, an IR receiver, LED, an IIC

communication LCD, resistors, jump cables, and USB cables, which are necessary to design the system. Through data analysis and researchers’ perception, the proposed system can be accurate and functional in controlling the switch of the air conditioner. Compared with the functions of traditional smart homes, the system has advantages in terms of the simplicity of its implementation. It can be easily implemented at any home, especially helping those with disabilities. Other advantages are that the system does not cost much to implement and many aspects such as advanced security measures can be incorporated into it for more sophisticated smart home. In addition to the above, the data collected from the system can be used in other AI techniques to bring out higher intelligence in the home. This collected data can benefit other researches in terms of advancing this area of research. However, due to the relatively simple implementation of the proposed system, it cannot exert particularly several characteristics, including the generality of it to cover various bands of AC devices. Based on this, the researchers of this study will continue experimenting in this topic to improve the proposed system.

Fig. 24 Blynk platform to a turn off light bulb and b turn off air conditioner. Source the authors

Fig. 25 Remote control to turn off lights. Source the authors

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Fig. 26 Air conditioner is on (a) and off (b). Source the authors

References Cameron, N., & Cameron, N. (2019). Wi-Fi Communication. Arduino Applied: Comprehensive Projects for Everyday Electronics, 499– 531. Chandramohan, J., Nagarajan, R., Satheeshkumar, K., Ajithkumar, N., Gopinath, P. A., & Ranjithkumar, S. (2017). Intelligent smart home automation and security system using Arduino and Wi-fi. International Journal of Engineering and Computer Science (IJECS), 6(3), 20694–20698. Deng, Q., Wang, R., Li, Y., Miao, Y., & Zhao, J. (2017). Human thermal sensation and comfort in a non-uniform environment with personalized heating. Science of the Total Environment, 578, 242– 248. Ghuge, A. M., Kale, S. R., & Shahade, A. (2017). Presence light: An intelligent lightening system for energy saving. Int. J. of Current Eng. and Tech, 7, 1–4. Jumaa, N. K., Abdulkhaleq, Y. M., Nadhim, M. A., & Abbas, T. A. (2022). IoT based gas leakage detection and alarming system using Blynk platforms. Iraqi J. Electr. Electron. Eng, 18, 64–70. Kozlowska, E. (2012). Basic principles of fuzzy logic. Von Prague: Czech Technical University. http://access.fel.cvut.cz/rservice.php? akce=tisk&cisloclanku=2012080002. Krishna, P. N., Gupta, S. R., Shankaranarayanan, P. V., Sidharth, S., & Sirphi, M. (2018). Fuzzy logic based smart home energy management system. In 2018 9th International Conference on Computing, Communication and Networking Technologies (ICCCNT) (pp. 1– 5). IEEE. Li, Y. (2013). Design of a key establishment protocol for smart home energy management system. In 2013 Fifth International Conference on Computational Intelligence, Communication Systems and Networks (pp. 88–93). IEEE. Liu, C., Zhang, Y., Sun, L., Gao, W., Jing, X., & Ye, W. (2021). Influence of indoor air temperature and relative humidity on learning performance of undergraduates. Case Studies in Thermal Engineering, 28, 101458. Merino-Arteaga, I., Alfaro-García, V. G., & Merigó, J. M. (2022). Fuzzy systems research in the United States of America and Canada: A bibliometric overview. Information Sciences, 617, 277– 292. Mtshali, P., & Khubisa, F. (2019). A smart home appliance control system for physically disabled people. In 2019 Conference on Information Communications Technology and Society (ICTAS) (pp. 1–5). IEEE.

Novelan, M. S., & Amin, M. (2020). Monitoring system for temperature and humidity measurements with DHT11 sensor using NodeMCU. International Journal of Innovative Science and Research Technology, 5(10), 123–128. Parihar, Y. S. (2019). Internet of things and nodemcu. journal of emerging technologies and innovative research, 6(6), 1085. Pedrycz, W. (1993). Fuzzy control and fuzzy systems. Research Studies Press Ltd. Piyare, R. (2013). Internet of things: Ubiquitous home control and monitoring system using android based smart phone. International Journal of Internet of Things, 2(1), 5–11. Sarful. (2022). NodeMCU LED Control Use in Blynk App in IoT Platform. Retrieved October 1, 2022, from https://www.hackster.io/sarful/ nodemcu-led-control-use-in-blynk-app-in-iot-platform-ac0c4f. Stefanov, D. H., Bien, Z., & Bang, W. C. (2004). The smart house for older persons and persons with physical disabilities: Structure, technology arrangements, and perspectives. IEEE Transactions on Neural Systems and Rehabilitation Engineering, 12(2), 228–250. Sterling, E. M., Arundel, A., & Sterling, T. D. (1985). Criteria for human exposure to humidity in occupied buildings. Ashraetransactions, 91(1), 611–622. Subin, M. C., Singh, A., Kalaichelvi, V., Karthikeyan, R., & Periasamy, C. (2020). Design and robustness analysis of intelligent controllers for commercial greenhouse. Mechanical Sciences, 11(2), 299–316. Sunehra, D., & Tejaswi, V. (2016). Implementation of speech based home automation system using Bluetooth and GSM. In 2016 International Conference on Signal Processing, Communication, Power and Embedded System (SCOPES) (pp. 807–813). IEEE. Taştan, M., & Gökozan, H. (2018). An Internet of Things based air conditioning and lighting control system for smart home. American Scientific Research Journal for Engineering, Technology, and Sciences (ASRJETS), 50(1), 181–189. Tucker IT Consulting (n.d.). Sensors. Gleanntronics.ie. Retrieved October 1, 2022, from https://gleanntronics.ie/eng_m_ArduinoDIY_Sensors-178.html?counter=0. Vamshi, B., Mittal, V. K., & Vineeth, K. S. (2017). Wireless voice-controlled multi-functional secure ehome. In 2017 International conference on advances in computing, communications and informatics (ICACCI) (pp. 2235–2240). IEEE. Zhumadillayeva, A., Orazbayev, B., Santeyeva, S., Dyussekeyev, K., Li, R. Y. M., Crabbe, M. J. C., & Yue, X. G. (2020). Models for oil refinery waste management using determined and fuzzy conditions. Information, 11(6), 299.

Is the Construction Sector Ready for Artificial Intelligence? Luca Rampini and Fulvio Re Cecconi

Abstract

The adoption of AI in the AEC industry promises significant benefits in terms of efficiency, sustainability, and new design and delivery prospects. Companies are interested in implementing AI but lack an understanding of its application possibilities and tools to assess AI compatibility with their demands and corporate objectives. Therefore, we created a tool for a qualitative assessment based on the examination of seven AI readiness dimensions to aid enterprises’ decision-making when adopting AI technology for industrial deployment. The methodology was tested through an online survey targeted to experts and practitioners in the construction industry around the world. The findings show that the industry is still behind the minimum requirements for introducing AI ubiquitously in its processes; however, the proposed evaluation tool will help focus investments toward the right AI readiness dimensions. Keywords












Digital transformation Construction industry Artificial Intelligence AI readiness Digitalisation Digitisation

1

Introduction

The Architecture, Engineering, and Construction (AEC) sector has experienced low productivity and stagnant growth in the last 50 years (World Economic Forum, 2016). The industry is characterized by a low level of digitalization L. Rampini (&)
F. Re. Cecconi Department of Architecture, Built Environment and Construction Engineering, Politecnico Di Milano, Milan, Italy e-mail: [email protected] F. Re. Cecconi e-mail: [email protected]

and a highly manual nature that makes project management more complex and unnecessarily time-consuming (Abioye et al., 2021). In recent years, many challenges emerged, such as climate change, the labor shortage, and lately the COVID-19 pandemic. These hurdles have clarified that the industry needs to embrace new digital technologies and rapidly enhance technological capability (European Construction Sector Observatory, 2021). Recently, researchers and practitioners in the field have identified a set of interdisciplinary technologies that digitize, automate, and integrate the construction process at all stages of the value chain. Inspired by the Industry 4.0 digital revolution characterizing other sectors (e.g., manufacturing), this technology set is called Construction 4.0 (Sawhney et al., 2020). Some of these technologies are specific or highly oriented toward the AEC sector (e.g., BIM, LiDAR, and many sensors); however other technologies are still in their infancy, and the industry has yet to realize any meaningful benefit from them (Begić & Galić, 2021). Artificial Intelligence (AI) is a clear example of the latter group. AI is defined as “software (and possibly also hardware) systems designed by humans that, given a complex goal, act in the physical or digital dimension by perceiving their environment through data acquisition, interpreting the collected data, reasoning on the knowledge, or processing the information, derived from this data and deciding the best action (s) to take to achieve the given goal.” (Craglia et al., 2018). Researchers have published publications on the application of AI and related subfields to construction-specific problems during the last few decades (Eber, 2020; Rampini & Re Cecconi, 2022). For example, machine learning has been used to monitor health and safety, estimate costs, optimize supply chain and logistics processes, and support decision strategies for retrofit, among other things (Nath et al., 2020; Pal & Hsieh, 2021; Re Cecconi et al., 2022). The main benefits derived from AI introduction are time and cost savings and the possibility to offer new services. Despite promising research, AI adoption in the industry is

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 S. E. Bibri et al. (eds.), Advancing Smart Cities, Advances in Science, Technology & Innovation, https://doi.org/10.1007/978-3-031-52303-8_12

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lacking due to various challenges, such as the lack of AI-skilled workers and data (Rampini et al., 2022). The variety of possible causes hindering AI adoption means that each company must pursue a strategy to overcome them. Therefore, they need a methodology to assess their readiness and plan accordingly. As a consequence, in this paper, the following questions are addressed: (a) How to assess the AI readiness of a construction company? (b) How much is the sector ready to introduce AI? AI readiness refers to “an organization’s abilities to deploy and use AI in ways that add value to the organization” (Holmström, 2022). In this study, we propose an evaluation framework based on the analysis of several questions made through an online survey. The framework assesses the company’s readiness in seven key dimensions: vision, data, system, digital foundation, talent, value, and governance. The survey was targeted to a group of small, medium, and big companies that could reflect the size distribution of the industry, which is characterized by a significant presence of small and medium enterprises (SMEs). Moreover, by analyzing the results, based on the firm’s size, it is possible to understand where the drivers for AI adoption in construction might be. The findings are finally synthesized in a simple and communicative radar plot that should guide the company’s investment decision in future R&D to implement AI technologies. Overall, the framework has a twofold function: to help companies understand which dimensions they need to focus on if they want to introduce AI and to help governments and experts to understand the AI readiness of the industry, which is a critical area in the path toward digitalization.

2

Methodology

AI in AEC is a research area under development where quantifiable data are hard to collect, especially when looking for applications in companies and firms. Therefore, a qualitative research approach might be suitable to investigate AI's readiness and status in the industry. These research methodologies are based on qualitative data analysis, such as surveys, interviews, and focus groups (Li et al., 2019). Specifically, this study collected data through a multiple-choice survey and Likert scale questions: the first is mainly used to understand the characteristic distribution of the respondents, while the latter is used to evaluate the company's level of AI readiness. The evaluation is performed by analyzing seven dimensions, identified by combining the information from previous research (Rampini et al., 2022) and those retrieved from the literature (AI Dataiku, 2022; AI Singapore, 2022). Each dimension covers different topics that must be addressed to introduce AI inside firms’ business models. Evaluating how companies are

organized in these dimensions gives an idea of their AI readiness. In particular, the seven dimensions are: • Vision: How firms should ensure that AI transformations are aligned with strategic goals in order to have a meaningful business impact; • Data: How companies acquire the right data and how they are accessible and transferrable among the company’s processes; • System: How firms choose the correct technology stack to support the construction and use of AI-powered analytical applications from start to finish; • Digital foundation: What is the existing level of the company in using digital technologies; • Talent: How firms address the skill transition challenge: recruiting, training, and establishing AI communities; • Value: How firms plan to build durable, AI-powered assets to maximize their impact. • Governance: How firms plan to scale AI across all their business processes.

2.1 Data Collection The data were collected through an online questionnaire prepared on Microsoft Forms. The online nature of the survey allows us to spread the questionnaire through different channels and social media like Linkedin and Twitter. The survey is divided into two main sections: in the first one, composed of multiple choice questions, we identify relevant information about the respondents, such as company size, revenue, and role. Even though the survey was anonymous, this information was useful to further analyze the industry readiness level from big companies to Contech startups. In the second section, the industry status in each dimension was evaluated through a detailed five-point Likert scale. In this study, the minimum dimension’s evaluation to be considered ready for applying AI is 3: a value below 3 implies that more efforts in that specific dimension must be made before introducing AI. In contrast, a value above 3 means that the dimension is already prepared and developed for inclusion in an AI process. These sections helped evaluate the current industry level of readiness, giving insight into which dimensions companies need to focus on more if they want to embrace the transition to AI-driven processes.

2.2 Panel Analysis The analysis of the respondents helps frame the results in the proper context and verifies if the panelists’ distribution reflects the AEC sector panorama, mainly composed of

Is the Construction Sector Ready for Artificial Intelligence?

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Fig. 1 Panelists’ size distribution and lifecycle stage in which they work

SMEs but highly influenced by the big companies working on it. The size of the company's respondents is reported in Fig. 1, together with the asset lifecycle stages where those firms operate. The distribution of panelists matches the industry market, particularly in Italy, where most responses come from. A large portion of the participants is distributed in big companies with more than 500 employees (42%), while the remaining are working in SMEs (58%), particularly in firms that have less than 20 employees (23%). Moreover, most respondents work in the construction and design phases (84%).

3

Results

The results presented in this paragraph are derived from the second section of the survey, i.e., the one linked with evaluating the company’s readiness in the seven dimensions through a Likert scale from 1 to 5. The evaluations of the seven AI readiness dimensions are presented in Table 1 as the average of all results. Furthermore, the results are also broken down by large, medium, and small companies to better understand the influence of company size on AI readiness.

3.1 AI Readiness Evaluations Distribution The average of many scores sometimes conceals interesting results; therefore, a more detailed analysis may be appropriate. In cases such as Likert scale questionnaires, this is crucial

because an average evaluation might not be representative of the evaluation’s distribution since the average value is seldom one of the grades assigned in the questionnaire. Analyzing the survey responses of all the companies collectively in Fig. 2a, the majority of answers are concentrated in evaluation 1 (63% for dimension 7; 50% for 1; 47% for dimensions 3 and 5) with the exception of dimensions 4 and 6 where the majority of answers are in score 2. If, on the other hand, one analyzes the answers to the questionnaire by company size (Fig. 2b, c and d) one can see that in large companies, the number of answers equal to 2 is closer to the number of answers equal to 1 than in the cases of small or micro companies. In two cases, for sizes 2 and 4, the answers of the large companies were higher (50%) on evaluations 4 and 3.

3.2 Correlation Among the AI Readiness Dimensions In statistics, a correlation analysis determines the degree to which a pair of variables are linearly related. The analysis might help in establishing the relationship between variables, whether causal or not. The correlation matrix in Table 2 provides the Pearson coefficient (r) for all data collected with the questionnaire. In some cases, the overall figure can be misleading, hiding a solid correlation between data subsets based on company size. The low correlation coefficient between the dimensions “System” and “Digital Foundation” shown in Table 2, for example, hides a high correlation between the answers given for these two dimensions by companies with more than 500 employees

Table 1 Average results for each dimension Vision

Data

System

Digital foundation

Talent

Value

Governance

All

1.87

2.42

1.88

2.08

1.97

2.27

1.57

>500

1.83

2.58

1.79

2.25

1.92

2.58

1.67