Lars Frederiksen: Ecocit: Research on innovation and sustainability in urban design

Lars FrederiksenInnovation & Entrepreneurship Group

Roundtable for

UK-China Innovation for Sustainability and Equitable Development

19th March 2010

Ecocit: Research on innovation and sustainability in urban design

Overview

1. Introduction: Meso-level innovation policy?

2. Ecocit: A UK-China research program

3. An example of Ecocit research: Innovation in sustainable integrated urban design

• Research motivation and context• Research method• Findings and analysis I: systems integration• Findings and analysis II: capability building

Meso-level innovation policy

• Complementary initiatives to national or regional level innovation policy?

• Involving universities and industry partners from the outset• A more agency-based bottom-up approach to changing the

innovation system?

• Joint research activities (UK-China):• Knowledge creation and transfer at university/individual

level

© Imperial College Business School

英国工程和自然科学研究委员会 (EPSRC)可持续生态城市研究网

Ecoregion Research Networks

生态城市建设提供了实践研究的背景，激发了创新和全球的行业互动。 EPSRC 研究网为这一成果创造条件。Eco-cities provide a context for practical research, the stimulation of innovation and interaction with industry globally. The EPSRC networks are an enabler for this outcome.

Visualisation by ARUP

CHAMSPAM Network:城市历史和多尺度总体

规划City history & multi-

scale master planning

ECOCIT Network:城市外围地区经济和生态

模式Peripheral urban units, socio-economic models

SUSTAIN Network:可实现的可持续的城市系统的建设

Achievable implementation of sustainable urban systems

协调框架Co-ordination Framework

- 广泛的网络活动 -- Pan network activities -

联系一体化宣传link integrate promote

www.eco-networks.org

确定资助来源：欧盟、EPSRC 、英国工业

贸易部…Identify funding

streams: EU, EPSRC, DTI …

提升形象，研究网络：2010 世博会…

Raise profile, research networks: World Expo

2010 …

国际研究：访问培训、考察奖学金…

International research: training visits, travel

fellowships …

管理、文化和风险Governance, culture & risk

经济、环境和区域背景Economics, environment

and regional context

可持续的基础设施和行为适应Sustainable infrastructure and

behaviour adaptation

可持续的经济发展Sustainable economic

development

&可持续的生态目标Sustainable ecological

objectives

此类大城市外围区的要求是什么？

What are the requirements for such urban units on periphery of mega cities?

涉及的内容：生态城与周边城市相比，在能源、污染等方面有更严格的要求 - 商业竞争力？大城市影响下的小城市 - 如何吸引和保留技术基地？生态城市可持续发展实践 - 城市运营管理模式至关重要Issues:• New management paradigms & business models to design, build & operate eco-cities• Planning & policy to promote sustainable economic & ecological development, inward investment, and harmonise employment opportunities & human capital• Learning & transferring innovation and best practices to other eco-city projects on a worldwide basis

ECOCIT 　研究网城市外围功能区可持续的经济和生态模式ECOCIT Research Network: Sustainable Economic and Ecological Models for Peripheral Urban Functional Units

经济

、环

境和

区域

背景

Eco

nom

ics,

envir

onm

ent

and r

egio

nal co

nte

xt

•研究网将致力于规划和政策手段，目的是：•为生态城市吸引外国投资吸•引和保留公司•使就业机会和人力资本和谐

Network will address planning and policy actions to promote sustainable economic development, while achieving ecological goals in urban units on the periphery of a mega-city

可持续的经济发展Sustainable economic

development

& 可持续的生态目标

Sustainable ecological objectives

此类大城市外围区的要求是什么？What are the requirements for such

urban units on periphery of mega cities?

ECOCIT 研究网：城市外围功能区可持续的经济和生态模式ECOCIT Research Network: Sustainable Economic and Ecological Models for Peripheral Urban Functional Units

经济

、环

境和

区域

背景

Eco

nom

ics,

envir

onm

ent

and r

egio

nal co

nte

xt

活动：网络：学术、产业和政府网络，实际上的通过环境技术和工程关注商业的中心研讨会：公共论坛、讲座和系列讨论会文本工作：大城市战略、经济与生态平衡模型组织部：决策工具和进程推动Activities:NETWORK: Build an academic, industry & government network to develop key areas of researchOUTCOMES: Joint workshops (face-to-face and virtual meetings) to produce targeted research Portal with information resources, forums, decision-making tools and process aids

Ecocit - part of a larger plan

• The Ecoregion Research Networks: • Funded by the UK Engineering and physical sciences

research council (EPSRC)

• Launched 2007 – running until Summer 2010

• Led by University College London, Southampton University and Imperial College London

• Public/private initiative for urban sustainability: Collaboration involving UK-based global engineering consultants: Arup

• Less focus on stand-alone technological opportunities – more concerned with systemic/market-facing end of solutions for low-carbon future (i.e. local authorities and firms)


Ecocit: Outcomes so far• A community of interdisciplinary researchers (China, UK, Spain, US) focused on

sustainability, planning, innovation and business • Virtual seminars,• Three major research proposals submitted including both UK and Chinese

researchers• New management paradigms and business models required to support the design of ecocity

developments • Urban entrepreneurship: Planning and policy actions required to drive inward investment, attract

and retain firms, and harmonise local employment opportunities and human capital • Learning from Dongtan, focusing on the exploitation of innovation and the transfer of best practices

from this leadership project to other ecocity projects on a worldwide basis

• Two research grant won (EPSRC):• Dongtan ecocity: Integrated sustainable urban design• Energy service business models in Kenya, India and China

• Organised three large workshops in UK (2) and China• Shanghai Expo event


An example: The Dongtan ecocity case study

• Focus on the business side of creating integrated sustainable urban design solutions

• Focus on the role played by the engineering and design consultancy Arup in capability development and replication


Research motivation: managing innovation

• New performance requirements for cities: zero-carbon and sustainability objectives

• Initiated by breakthrough projects in design, build or operations

• How is knowledge created and combined in a breakthrough project in a new market?

• How is knowledge transferred from a breakthrough project to the next project?


Market basenew

new

existing

Technology base

New projects

New pro

jects

New projects

• Business as usual

• Traditional capabilities

‘Dongtan is the next Sidney Opera house for Arup in terms of importance’

B. Morera, Urban designer, Arup, 2008

‘Normally we would never do a project like Dongtan – it is too risky and too big. However, this was a rare opportunity for us to show leadership and learn…. Taking on large projects is the way we learn in this business of projects’

John Miles, Arup Board, 2009

Breakthrough projects for Arup

Challenge – Rapid Chinese urbanisation

2050

China’s urban population is expected to reach 1.12bn people

600m people are expected move from rural to urban areas

Challenge: Climate Change and Chinese cities

• “China is searching for novel ways to expand urban areas while conserving natural resources”, Science, 2008

One response to these challenges: Ecocities

• Ecocity - radically new form of urban design• New build and new build/retrofit projects• Promote sustainable living and low carbon society• Less use of non-renewable resources• Adapt to climate change• A systemic and integrated approach including socio-economic

issues as taxation, local level service delivery (schools, hospitals), business development, etc.

• Pioneering examples (demonstrators – closed systems to monitor performance): • Dongtan in China • Masdar in Abu Dhabi


Dongtan – Designing a vision of the urban low carbon future

"Dongtan was a rare chance to demonstrate that growth could happen a different way.” Lead planner Alejandro Gutierrez, Arup, Wired 2007

“This city will become a showpiece for the rest of the world. With London set to grow so much, the methods we use in Dongtan will become extremely relevant to London.” Peter Head, Dongtan Project Director, Arup 2007

Dongtan ecocity – key objectives and features

• Client: Shanghai Industrial Investment Corporation (SIIC)

• Consultant masterplanner: Arup (UK design consultancy)


• Sustainable ‘demonstrator city’ – cutting carbon emissions shapes urban design

• 40 min travel time to central Shanghai• Population 500,000 in 2050• Site: 84 square km• 3 distinct towns amid parkland and canals• Population density similar to London

New road & rail link connection 2009

Dongtan – planned in phases


• First phase to b e developed by 2020• Three villages• 830 hectares

• Whole site developed by 2050• 8,400 hectares


2007June-Oct Phase 1 Feasibility Report – Testing Phase 1 objectives & deliverables for Shanghai Expo

2010

2006December

September

Arup issues Sustainability Guidelines - Definition of specific objectives, indicators and requirements for buildings, infrastructure & public spaceArup issues Control Plan for Start-Up area - Final Masterplan & Main Planning application document

2005December Arup issues First Design Report for Start-Up area - Key sustainability strategies & urban

vision for Dongtan Start-Up area

2004AugustJune

Arup First Vision for Development – Document defines sustainable aspirations for DongtanSIIC appoints Arup for developing the vision

Dongtan ecocity design – key project milestones

Outcome of Arup’s design project

• Project delivered three months early

• Met client’s request’s for close to 100% zero carbon solution

• Uses proven technology to reduce risks

• Innovation lies in the integration of technology and environment, cultural and social components

• ‘But of course Dongtan is not a rigid blueprint for a city for the future’…other projects must be guided by unique local environment (Peter Head, Arup)


Wetland, Dongtan, Oct 2007

Research aims and objectives

1. How did Arup develop the knowledge required to deliver the innovative design for Dongtan?

• Recombine and create new capabilities• Work with the client (SIIC) in developing capabilities• ‘Renewal’ strategy

2. How did Arup transfer capabilities from the Dongtan project and developing them on subsequent ecocity projects in China and elsewhere?

• Transfer of capabilities• Improvement of capabilities over time• Work with the client to on subsequent projects• ‘Replication’ strategy

Three generations of systems integration

1st Generation – ‘technical system’• Design & integration of physical components into a functioning system (Saplosky,

1972)• Driven by technical specification (e.g. US missile systems)

2nd Generation – socio-technical ‘integrated solutions’• Design & integration of hardware, software, services and capabilities into ‘integrated

solutions’ (Prencipe et al., 2003; Davies, 2004; Hobday et al., 2005) • Driven by output specification (performance targets)

3rd Generation – ‘eco-technical solutions’ • Natural, social and technological components (Hughes, 2004) • Driven by ‘sustainability targets’• Designed to change human behaviour (e.g. promote sustainable and healthy

lifestyle; adapt and mitigate climate change)


Ecocity design & systems integration

• Masterplanning – the creation of the ecocity design is first phase of systems integration process

• Requires innovation in organisation, tools and techniques to create sustainable outcomes as well as across multiple agents

• Instead of focusing on one of the core systems (e.g. energy or waste) the city was designed using the concept of ‘integrated urbanism’

• Design in one component interacts with multiple components to change performance outcomes


Arup’s new approach: ‘Integrated Urbanism’: a systemic approach to innovation

Source: ‘Making Places in the Ecological Age’, Arup Urban Design

New tools developed for sustainable integrated urban design

Dynamic capabilities in project-based industries

• Dynamic capabilities: ‘the firm’s ability to integrate, build and reconfigure internal and external competencies to address rapidly changing environments’ Teece et al. (1997)

• Dynamic capabilities in project-based industries - Shamshie et al (2009)

• Renewal strategies

• Replication strategies

• We contribute to the dynamic capabilities literature: • Process of transitioning from renewal to replication

• Reveals how firm’s develop the competencies to ‘shape’ the external environment – a process of reinforcement


Phases of capability development

• Examine the birth and evolution of Arup’s design capabilities in three overlapping phases

1. Renewal phase – capabilities developed during the Dongtan project

2. Replication phase – capabilities transferred and developed on subsequent ecocity projects

3. Reinforcement phase – capabilities to gain institutional support and legitimacy for the new market category: ecocity projects


1. Renewal phase: the Dongtan project team

• The project was risky for Arup • Foreign architects can lose control of their Chinese

projects when clients seek to cut costs and redesign using cheaper options

• Was the client really committed?

• Origins LSE connection• Core team of 5 builds up to 150 specialists in less than

one year (mainly in-house)


1. Renewal phase: innovation in urban design

• Dongtan project was a ‘skunkworks’ organisation within Arup

• New concept of multi-functional project team called ‘total serial innovation’ (Peter Head, Arup)

• Led by architects working in multi-functional teams• 30 specialists each with a team of 3-4 members• Developed new tools on the project to support integrated

urban design• Integrated Resource Model (IRM)

• SPEAR


2. Replication phase: codification, routines and tools

• Partnership with SIIC on 4 ecocity projects in China – client wants to take one systems integrator role

• Partnership with HSBC• Transfer knowledge and develop replicable capabilities on

subsequent ecocity projects • Creation of Integrated Urbanism unit in Arup

• Group ‘born out of Dongtan’ (Guiterrez, interview)

• Transfer of core Dongtan project members

• Mentoring on new projects

• Refinement of project tools – IRM and SPEAR

• Create new tool: Integrated Methodology – sequence of design processes


3. Reinforcement phase: institutional legitimacy

• Led by charismatic project members: Peter Head, Alejandro Guiterrez and Malcolm Smith

• Promote the concept of ecocity in international conferences: Clinton C40 (Melbourne, Toronto, etc.)

• Dongtan and iconic project members: the focus of more than 300 articles in major Chinese, UK and US newspapers

• Creation of Institutes for Sustainability – China and UK• Collaboration with universities – e.g. EPSRC Dongtan

Networks• In 2008: Business Week labeled the Dongtan ecocity as

one of the ten wonders of China!


Dynamic capabilities: Arups Integrated Urbanism

2004 201020092008200720062005

Renewal phase Dongtan project• Breakthrough project

Replication phaseSubsequent ecocity projects• China• Elsewhere in world

Reinforcement phase Institutional legitimacy• Clinton C40• Institute for Sustainability

Thank you!

Questions and comments are welcome

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Lars Frederiksen: Ecocit: Research on innovation and sustainability in urban design

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