EXPLORING INTEGRATED APPROACHES IN THE PROVISION OF URBAN INFRASTRUCTURE SERVICES - EMPIRICAL INSIGHTS FROM GERMAN CITIES

Visiting Prof. Dr. Antje Matern // chair for regional planning // BTU international conference at EURAC // Bozen// 19. November 2015 Smart and Sustainable Planning for Cities and Regions 2015

THE DISTINCTIVENESS OF CITIES AND THE SUSTAINABLE DEVELOPMENT OF TECHNICAL INFRASTRUCTURE (DFG, 2012-2015) IN THE COLLABORATION PROJECT “SUSTAINABLE DEVELOPMENT OF CITIES”

PROJECT BACKGROUND

MONSTADT, MATERN, SCHMIDT, SCHRAMM

AUSGANGSLAGE

FB 13&15 | FG Raum- und Infrastrukturplanung | Teilprojekt "Infrastrukturen" | 3

Untersuchungsgegenstand CITIES AND NETWORKED INFRASTRUCTURES

INFRASTRUCTURES AS ESSENTIAL ELEMENTS FOR A SUSTAINABLE URBAN DEVELOPMENT -  safe and reliable provision of infrastructure services is critical to the functioning of production and services -  Backbone of urban economies -  structure territory and flows of resources and energy and influence the urban metabolisms -  material mediator between nature and cities

Scrutinized by trends of §  demographic and climate change §  urban policies and austerity §  environmental policies

SOCIAL RESEARCH ON URBAN INFRASTRUCTURES

LTS DEBATES – TRANSFORMATION OF URBAN INFRASTRUCTURES –  Understanding infrastructures as socio-technical systems

(„infrastructure both shapes and is shaped by the conventions of a community”)

–  Analytical dimension of urban infrastructures –  Planning and sustainable development of transitions-/innovation processes

–  Network infrastructures = essential precondition for a sustainable development of urban areas (service provision, competition of places)

–  Sectoral studies regarding transformation of urban infrastructures

Ø  Research gap: cross-sectoral interdependencies and linkages between different domains

Ø  Importance for sustainable development

Visiting Prof. Dr. Antje Matern // chair for regional planning // BTU Cottbus-Senftenberg

STRUCTURE OF THE RESEARCH PROCESS

S U S T A I N A B L E D E V E L O P M E N T O F U R B A N I N F R A S T R U C T U R E S

Cross-sectoral linkages and coordination in the domains water and energy supply and waste / wasterwater treatment

1.  D I S C O U R S E A N A L Y S I S

Which demands concerning the coordination of urban infrastructures are addressed in scientific debates? -  debates: social research within infrastructure concerning

cross-sectoral linkages and their coordination

2 . S U R V E Y

How does German cities organise cross-sectoral coordination? What kind of factors influence the coordination on a local level? Analysis of business reports and shareholder structures & explorative survey in medium-sized German cities (200. -500.000 inh.) -  CEO / managers of services providers -  Officers in local authorities (environmental agencies and urban planning)

3 . C A S E S T U D I E S

What are strategies on a local level to develop cross-sectoral coordination? Comparative case studies in four medium-sized cities -  Innovations in cross-sectoral linkages -  KRITIS: coordination for risk management

What are the conclusions for a sustainable urban development of cities and their network infrastructures?

DEBATES CONSIDERING DEMANDS FOR CROSS-SECTORAL COORDINATION

Demands for cross-sectoral coordination of urban infrastructures

§  Holistic approach in urban metabolisms / circulation of material and energy flows §  Interdependencies between critical infrastructures could cause cascade effects §  New forms of linkages caused by digitalisation

urban meta

bolism

Critical infra struc tures

Smart ness

debates

TRENDS IN SERVICE PROVISION: UNBUNDLING AND LIBERALIZATION

cross-sectoral coordination tasks vs. unbundling in service provision

§  EU liberalization policies »  avoid discrimination/ cross-subsidisation/ monopolies »  unbundling infrastructure supply into different functional areas of individual companies

§  Fragmentation of service provision, privatisation of companies »  Differentiation and specialisation between and within infrastructure sectors »  new diversity of actor’s: Higher number and diversity of service provision »  High amount of privatisation and outsourcing of service provision

Urban metabolism Critical infrastructures Smartness debates

Unbundling policies

CONCLUSION - DEBATES

The theoretical demands for a cross-sectoral coordination in urban infrastructures are opposed by the following obstacles

»  Fragmented actors constellations with heterogeneous logics of acting

•  New modes of coordination and governance needed •  from vertically integrated companies to individual units

»  Sectoral orientation (rules, networks and incentives) •  Laws, regulations (e.g. communal fees, prices) •  Incentives for innovations, financial support, project development

»  Organisational changes in public administration and coordination problems •  Sectoral organisation of local authorities and financial structures (DOPIK) •  Decreasing staff and time resources •  Changing or lacking political objectives / impulses

Kiel

Rostock

Lübeck

Braunschweig

Magdeburg

Chemnitz

Halle

Erfurt

Wiesbaden

Mainz

Mannheim

Karlsruhe

Freiburg

Augsburg

Bonn Aachen

Bielefeld

Münster

Oberhausen

Krefeld Bochum

Wuppertal Mönchengladbach

Duisburg

Gelsenkirchen Document analysis

»  service provision and shareholder structures in urban infrastructures

Explorative survey

»  Cross-sectoral linkages, forms and demands for coordination

»  Barriers, potentials and synergies of cross-sectoral coordination

»  role of urban planning

EMPIRICAL INSIGHTS

Number of utility in service provision

0   1   2   3   4   5   6   7   8   9  

Halle Krefeld*

Wuppertal Oberhausen*

Bielefeld Braunschweig

Duisburg* Mönchengladbach*

Münster Rostock Aachen

Gelsenkirchen* Lübeck

Magdeburg Bonn

Kiel Mainz

Wiesbaden Bochum

Erfurt Karlsruhe Augsburg

Freiburg i. Breisgau Mannheim Chemnitz

* Verband kommunaler RWE-Aktionäre aus Auswertung entfernt

68%

14%

12%

6%

1 Sektor 2 Sektoren

3 Sektoren 4 Sektoren

Number of domain responsibilities in the utility

COMPANY STRUCTURES IN SERVICE PROVISION

energy water wastewater waste

energy

§ Energy generated from hydropower

§ Energy generated viw turbines in the drinking water pipes

§ Wastewater heat recovery

§ Waste incineration § Landfill gas § Photovoltaic plants on

landfill areas

water

§ Energy efficiency of pump systems

§ Resource cycle § Mutual influencing of

costs

§ Seepage water from landfills as a hazard to the groundwater

wastewater

§ Energy efficiency of wastewater treatment plants

§ Combustion of sewage sludge

§ Generation of electricity from fermentation gas

§ PV on sewage treatment areas

§ Joint determination and calculation fee

§ Residues from sewage treatment processes

§ Building rubble and hazardous waste from canal construction

waste

§ Energy consumption from waste separation

§ Water consumption in recycling processes

§ Reduction of material discharges through efficient street cleaning

CROSS-SECTORAL LINKAGES AND COORDINATION TASKS

FORMS OF CROSS-SECTORAL COORDINATION

»  Project-oriented coordination / daily tasks »  Strategic coordination: transformation phase ↔ management

§  (in-house) coordination in multi-utility

§  Project-oriented coordination of construction sites and networks

§  Routine meetings in local authorities (incl. public owned companies)

§  Strategic coordination of construction works on city-level

§  Strategic meetings regarding spatial policies /development

CONCLUSIONS OF THE SURVEY: BARRIERS FROM AN EMPIRICAL PERSPECTIVE

CONSEQUENCES OF THE SECTOR ORIENTATION » Lack of awareness for strategic coordination needs and potential synergies

•  Cross-sectoral interfaces and linkages are often neglected •  Management rather than strategic planning in cross-sectoral coordination

» Priorities in sector-related challenges •  Issues regarding fee laws, price policies environmental regulation

CONSEQUENCES OF THE LIBERALISATION TRENDS

» Focus on efficiency / profit-orientation » New spatial and institutional distances

•  New actors /power constellations > multiplication of interests •  lack of face-to-face contacts /distances: decreasing knowledge about other domains

» Loss of coordination power / options in local authorities (urban planning) •  discrepancy between demand for coordination vs. coordination practices •  the transformation of urban infrastructure systems hinder cross-sectoral coordination by

fragmentation of the service provision

CASE STUDY ANALYSIS

§  Debates perceived as theoretical

Urban metabolism critical infrastructures innovation

Case studies (expert interviews)

§  cross-sectoral coordination and risk management §  Innovations in cross-sectoral linkages

> How can cities encourage change in infrastructure provision?

Critical infra struc tures

Smart ness

debates

urban meta

bolism

SMART CITIES DEBATES AS IMPULSES FOR INNOVATION IN CROSS-SECTORAL LINKAGES?

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Bahnbrechende Innovationen entstehen an Schnittstellen und einige dieser Schnittstellen konnten wir schaffen. „Ground-breaking innovations develop at interfaces, and we have created some of these interfaces.“ (Arnim Pfoh, Fraunhofer, 16.12.2010) > cross-sectoral linkages as centers of innovation?

INNOVATION IN URBAN INFRASTRUCTURES

Smart City- Debates as starting point for innovation?

»  Low importance of Smartness-debates, alternative visions »  Critics: theoretical debates, data security,

costs-benefit for local actors

References in objectives and approaches »  motivated by climate politics »  economically motivated innovation (industry 4.0)

> resource vs. cost efficiency »  Approach:

transformation technology- and market-oriented understanding of innovation

Patterns of innovation in German cities »  Applied innovation

•  System stability by continuous modernisation •  Application of new technologies instead of basis innovation •  Durability of technological systems /material costs of networks

»  Project-oriented / not city-wide •  approach: minimalize the risks / use of stage effects / reduce material costs •  Importance of networks and cooperation (know-how /resources /support program) •  The public become aware of infrastructures when they are visibility (street lights)

»  Distinctiveness of cities •  Path-dependencies by physical structures, political objectives,

actors constellations/-networks; city-specific system builders •  Comparable support and funding instruments but different patterns of practice / use

(funds for innovation- or climate protection)

INNOVATIONS IN URBAN INFRASTRUCTURES

INNOVATIONS IN CROSS-SECTORAL LINKAGES

DEMANDS FOR COORDINATION

»  Linkages as peripheries of individual domains •  Innovations need to be compatible in two domains (technological, competitive, legal) •  Sector responsibilities for innovations, sector-oriented conferences/networks/science structures •  Sector-oriented structures/learning networks as reduction of complexity •  implementation: domain-oriented organisation in tendering (-obligation) •  Higher coordination costs, unclear responsibilities (cost-benefit-ratio)

»  Actors of cross-sectoral modernisation •  City administration

networking actor, development- and government competencies motive: city-specific challenges/option, Implementation of political goals

•  Multi-Utility user-oriented cross-sectoral approach, sector-oriented expertise and proximity of domain-actors, similar IT-systems for data management/ territorial coverage, motive: political demand, user demand or market potentials as incentive to innovate

•  Research institutes/ IT –companies external expertise, implementation of new technologies, “funding logics”

»  Cross-sectoral linkages impinge on an institutional / organisational gap •  Sectoral regulations, organisation, norm systems •  Incentives and networks of knowledge

»  Multi-Utility could facilitate coordination processes, but they cannot guarantee synergies and good management of linkages

•  Prohibition of cross-subsidisation, principle of cost efficiency •  Inter-sectoral competition and sectoral organisation

»  Governance of the development of urban infrastructures changes from municipal administration to local politics

•  Support for innovations: strategic development goals (climate goals)

CONCLUSIONS

CONCLUSIONS FOR A SUSTAINABLE DEVELOPMENT OF URBAN INFRASTRUCTURES

»  Research about cross-sectoral linkages asks for a city-specific approach •  Research about transformation concentrates on national level •  Linkages are shaped by sociotechnical path-dependencies •  Local contexts (political, demographic, climatic, socio-economic, financial)

»  Municipal governance ask for a strategic and consistent management of shares •  Traditional rationalities need to be extended to holistic management of shares in

urban infrastructures •  Objectives of sustainability and demands of cross-sectoral linkages need to be

considered in daily practices (contracts, definition of tasks, application processes)

»  Cross-sectoral coordination needs communication •  The increasing level of fragmentation in urban infrastructures enhance

the demand for networking and communication •  Change from hierarchical forms of coordination to horizontal communication

Thank you.

Antje Matern // BTU // matern@b-tu.de http://www.stadtforschung.tu-darmstadt.de/dfg_projektverbund_nachhaltigkeit