P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES

SocialInnovationandTerritory
N6,Winter,pp.120
http://www.politicsandterritories.com

CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020

IGORCALZADA
UniversityofOxford&Ikerbasque

RECEIVED:DECEMBER122013
ABSTRACT

In2020,inthenewEUstrategichorizon1thatisopeningatpresent,theplaceshouldmattermore
than ever when it refers to territories that are envisaged from the Social Innovation paradigm
(Moulaert2, Mulgan3 and Morgan4). Nevertheless, how will the suggested H2020 strategy based on
Smart City and Communities5, contribute and implement the socalled Social Innovation; facing
realistic,economicandpoliticdrivenissuesinanincreasinglyterritoriallyheterogeneousEUcurrent
context?ThisarticleaimstoshedsomelightontheCriticalSocialInnovation(CSI)challengesfroma
constructiveposition.

KEYWORDS:CriticalSocialInnovation,UrbanExperimentalGovernance,CityRegions,EU,H2020,RIS3,
SmartCities,TerritorialDevelopmentStrategiesandPentaHelix

RESUMEN

En2020,enelnuevohorizonteestratgicodelaUEqueseestabriendoenlaactualidad,ellugar
debe importar ms que nunca si tratamos de observar a los Territorios desde el paradigma de la
Innovacin Social (Moulaert, Mulgany Morgan). Sin embargo: Cmo, la citada Estrategia H2020
basada en la Smart Cities y Comunidades, puede contribuir, implementar y poner en prctica la
manidaInnovacinSocial,dandorespuestasrealistas,alasproblemticaseconmicasypolticasque
estn emergiendo en un contexto como el de la UE, cada vez ms heterogneo territorialmente
hablando?ElobjetivodeesteartculoesproponerlaInnovacinSocialCrtica(CSI),esdecir:exponer
losretosdelaInnovacinSocial,desdeunapticadeconstruccincrtica.

1
Horizon2020WorkProgramme20142015:Europeinachangingworld:inclusive,innovativeandreflectivesocieties.
2
Moulaert,F.,MacCallum,D.,Mehmood,A.andHamdouch,A.(2013)InternationalHandbookofSocialInnovation.Social
Innovation:CollectiveAction,SocialLearningandTransdisciplinaryResearch.Cheltenham:EdwardElgar.
3
Mulgan,G.andPuttick,R.(2013)Makingevidenceuseful:thecasefornewinstitutions.London:NESTA.
4
Morgan, K. (2013), The Rise of Metropolitics: Urban Governance in the Age of the CityRegion. In: Bradford, N. And
Bramwell, A. eds. Governing Urban Economies: Innovation and Inclusion in Canadian CityRegions, Toronto: University of
TorontoPress.
5
https://webgate.ec.europa.eu/socialinnovationeurope/node/4359

Electronic copy available at: http://ssrn.com/abstract=2506952

 IGORCALZADA 2

PALABRASCLAVE:InnovacinSocialCrtica,Gobernanzaurbanaexperimental,Ciudadregin,EU,
H2020,RIS3,SmartCities,EstrategiasdeDesarrolloTerritorialyPentaHelix.

RESUM

Al2020,enelnouhoritzestratgicdelaUEques'estobrintal'actualitat,elllochadimportarms
que mai, si tractem d'observar els Territoris des del paradigma de la Innovaci Social (Moulaert,
Mulgany Morgan). Per: Com pot, l'esmentada Estratgia H2020 basada en la Smart Cities
comunitats, contribuir, implementar i posar en prctica, la tant utilitzada Innovaci Social, donant
respostesrealistes,alesproblemtiqueseconmiquesipoltiquesqueestanemergintenuncontext
comeldelaUE,cadavegadamsheterogeniterritorialmentparlant?L'objectiud'aquestarticles
proposarlaInnovaciSocialCrtica(CSI),sadir:exposarelsreptesdelaInnovaciSocial,desduna
pticadeconstruccicrtica.

PARAULESCLAU:Innovacisocialcrtica;governanaurbanaexperimental;ciutatregi;EU;H2020;
RIS3;smartcities;EstratgiesdeDesenvolupamentTerritorialiPentaHelix.

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013

Electronic copy available at: http://ssrn.com/abstract=2506952

 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 3

Introduction

The EU is dealing with two main strategic societal changes that can be branded as what I
havecalledCSI,whichourprojectsfocusshouldnolongerforgetfromnow:

First and foremost, the economic challenge: Any Social Innovation which does not
consider any collective real economic alternative constructively building on the
contradictionscausedbytherecession,issimplynotgoingtobevalidanymore.As
Harvey6andBrenner7amongotherssuggest,weneedtodeconstructthenatureand
logic of the neoclassic economic orthodoxy. CSI can be a collective social
transformationparadigmtoproceedwith.

Secondly, the political challenge: Politics must recover the trust of the citizenship.
However,wehavetostartsuggestingalternativestotheclearlyfailingNationState
EU configuration. Cities are not isolated territorial entities, but it is even less
desirable for them to be centralised by the inefficient national structures.CSI
highlightsthedeclineofthedominantNationStatewisestructuresandmindset so
far,incontrast,puttingtheRegionbasedEurope(Keating8,Gallagher9,Moreno10and
Innerarity11) in the nitty gritty of the EU Governance model. Avoiding politically
innovative processes that are occurring at the moment in the EU (Scotland12,
Catalonia13,BasqueCountry14,Oresund15,Iceland16,Liverpool&Manchester17,among
others), it would be closing the door to the only hope of a territorial democratic
regenerationthatismorethanurgent.

Harvey,D.(2005),ABriefHistoryofNeoliberalism.OxfordUniversityPress,Oxford.
6
7
Brenner,N.Peck,J.andTheodore,N.(2010),Variegatedneoliberalization:geographies,modalities,pathways,Global
Networks10(2),141.
8
Keating, M. (2001) Governing Cities and Regions: Territorial Restructuring in a Global Age. In A. Scott (ed.) Global City
Regions:Trends,Theory,Policy,pp.371390.Oxford:OxfordUniversityPress.
9
Gallagher,J.(2013),WhatDoYesandNoMean?TheScottishReferendumandtheUKTerritorialDistributionofPower.
ConferenceProceedingsoftheRegionalStudiesAssociationRSAWinterConferenceNovember2013.Pp.812..ISBN:978
1897721452.
10
Moreno,L.(2006),Scotland,Catalonia,EuropeanizationandtheMorenoQuestion,ScottishAffairs,54:121.
Innerarity,D.(2013),TheDemocracyofKnowledge,Bloomsbury,London.
11
12
http://futureukandscotland.ac.uk/blog/independenceeurope
13
http://blogs.lse.ac.uk/europpblog/2013/10/01/thecatalanindependencemovementhasbeenmoreemotionallydriven
thanits
scottishequivalent/
14
http://www.igorcalzada.com/downloadherebasquecityeuskalhiriabookexecutivesummaryand
http://scar.gmu.edu/publication/basquecasecomprehensivemodelsustainablehumandevelopment
15
http://www.keepeek.com/DigitalAssetManagement/oecd/urbanruralandregionaldevelopment/regionsand
innovation
collaboratingacrossborders_9789264205307en#page1
16
http://www.opendemocracy.net/caneuropemakeit/thorvaldurgylfason/democracyonicepostmortemoficelandic
constitution
andhttps://webgate.ec.europa.eu/socialinnovationeurope/node/4397
17
http://www.centreforcities.org/blog/2013/11/19/devolutioninwalesscotlandengland/

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 IGORCALZADA 4

Figure1.NationStatebasedEuropeanCitiesandRegionalForecastsbyOxfordEconomics

Source:http://www.oxfordeconomics.com/forecastsandmodels/cities/europeancitiesand
regionalforecasts/coicops)

Figure2:#CityRegionalEuropegraph

Source:www.cityregions.orgresearchworkinprogressproject

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 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 5

Therefore,tosumup,IarguethatCSIshouldberequiredtocontributefirmlytotheEU2020
societal changes. There are three implications that I would like to point out concerning
Territories, specifically in the active construction of Smart Cities and the EU CityRegions
strategiesintheupcomingH2020projects:

1.Territorialimplications:CityRegionalism
TherealterritorialmaincharactersofSocialInnovationintheEUshouldbeRegionsrather
than NationStates. The way regions put in practice their bottomup interconnected social
innovationprocessesshouldbecrucialtolearncomparativelyfromdifferentcityregionalism
(Morgan&Harrison)casesintheEU(www.cityregions.org)

2.Democraticimplications:Governance.
Smart Cities have so far been technologyfirst businessdriven marketician operations. The
completion of this phase is required with the peoplefirst principle. Citizenship should
participate in the consumption but also in the design of the technology cocreating as
producers themselves, the socially beneficial outcome. It is why Penta helix or multi
stakeholdersneedtoreplacetheclassicprivateandpublicpartnershipgovernancemodel.
Citiesrequiresimplebutbroadsolutions,addressingtheircomplexity.

3.Strategicimplications:Scalarimplementation.
Finally, nobody says that implementing Social Innovation was an easy task, excluding
complexity rather than accepting and putting it in value. At the operational level, the
multilevel governance should be implemented in a scalar coordination: to guarantee
bottomupsociallyinnovativeparticipationanddecisionmakingprocesses(Micro)combined
with an ethical and strategic policyefficient design (Macro); while the heart of thematter
alwayshasbeenandwillbe,theimplementationofthisSocialInnovationamongtheagents
and across the projects in a complex networked territorial basis (Meso). As the father of
strategicthinking,Mintzberg(2002)remindedusthatthekeytaskistofathomtheblackbox
of the strategic processes in the implementation phase. (A methodological attempt has
recently been suggested in the new publication #MacroMesoMicro that can be found in
www.macromesomicro.com)

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 IGORCALZADA 6

Thisarticlehighlightstheimportanceoftakingintoaccounttheterritorial,democraticand
strategicimplicationsfromtheperspectiveofSocialInnovationandUrbanGovernance,when
it refers to the improvement of theSmart Cities policy making processes in the new EU
Horizon 2020. The author presents the main conclusion of the Territorial Development
StrategiesoftheBasqueCityRegion,alsoknowastheEuskalHiriacasestudy,asasampleto
illustrate the workinprogress PostDoctoral project gathered in www.cityregions.org (This
conclusion is an outcome of the field work research carried out in two temporal phases:
20082010inthedoctoralperiodand20122013inthepostdoctoralperiod.Havingdirected
in2012theCityRegionCongress18andobservinghowthesocialactorshaveevolvedtheir
strategies,theauthorsummarizesthecasestudy).

18
The Basque CityRegion or EuskalHiria 2012 Congress was directed by Dr. Calzada in collaboration with the Spatial
PlanningMinistryoftheBasqueRegionalGovernmenton2627thNov.2012.Thecontentandthewholedynamicwere
storedinthesetwoplatforms.Ontheonehand,theinternaloneinSpanishandBasque,http://www.euskalhiria.organd
on the other hand, the external one in English, http://www.basquecity.org . It should be underlined that the Social
Movements were invited to take part as speakers from the first time in the ten year of history of the Congress. The
invitation was made to the platform DOT Deshazkundea, the Social Movement clearly in opposition to theHigh Speed
Train and confronting modifications to the Spatial Planning Directives DOT/LAA. Nowadays, DOT Deshazkundea has
disolveditself.

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 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 7

1.Doestheplacematter?

InthePostcrisis19era,themostrelevantmatterwillbearoundtherealimportanceofthe
place.Butnotonlygroundingtheconfusedconceptofplacebutalsotryingtoexplorethe
wayittakesshapeandisgovernedwillbecrucial.

Indeed,theplacematters.Wewerebornthere,havelivedandworkedthere,andentered
thereandexitedfromthere.Placesareanobjectofobservationfromtheoutsidewhilewe
experience them from the inside. Calvino may have envisioned the city as a place that is
entered and should be exited (Subirats, 2011)20, but before anything else, we are talking
about places, where the relationships among the actors (Acuto, 2013)21 configure the
decisionsthataremaderegardingthespecificplace.Aplaceisthemostethnographiclevel
of observation of relational territorialisation. However, do we really know how territories
behave? Can we really observe in practise the notion of Network Territory? (Haesbaert,
2012)22 How does the dynamic concept of a territory fit and juxtapose with that of a
network? And, how can this notion of the Network Territory change the assumptions we
makeaboutthelocalandglobalterritorialunits:Neighbourhoods,TownsandVillages,Cities,
Regions,Nations,StateNations?

In the derridian style we can deconstruct the word place, observing what Matthew Gandy
(2004)23suggested,andwecanrethinkurbanmetabolismasthebestwaytodealwiththe
conceptofspace.ButasCresswell(2013;8)24remindsusspaceisamoreabstractconcept
thanplace.ItiswherewecanrequesttobeassistedbyAndersonwhenhecoinedtheterm
imaginedcommunities (1991)25 with which hedifferentiated from the actual community
becauseitisnotbasedoneverydayfacetofaceinteractionbetweenitsmembers.Likewise,
RaymondWilliams(1976)26pointedoutwhatismostimportant,perhaps,isthatunlikeall
othertermsofsocialorganization(state,nation,society,etc)itseemsnevertobeusedto
unfavourably,andnevertobegivenanypositiveopposingordistinguishingterm.

19
Wecandefinethiseraasfollows:theausterityandeconomiccrisishasprovidedsofarbreathingroomsfortheruling
classaccumulationbydispossession.
20
http://www.eldiario.es/catalunya/pistaurbana/CiudadGlobalizacionDiversidad_6_127797242.htmland
http://medialabprado.es/mmedia/8338/view
21
Acuto,M.(2013)PuttingANTsintothemilefeuille,City,15:5,552562.
22
Haesbaert,R.(2011),Elmitodeladesterritorializacin:Delfindelosterritoriosalamultiterritorialidad,SigloVentiuno
Edit.Madrid.
23
Gandy,M.(2004),RethinkingUrbanMetabolism:wter,spaceandthemoderncity.City:analysisorurbantrends,culture,
theory,policy,actionJournal.Vol8,Issue3.Pages363379.
24
Cresswell,T.(2004),Place:ashortintroduction.Blackwellpublishing.
25
Anderson,B.(1991).ImaginedCommunities:ReflectionsontheOriginandSpreadofNationalism.Revisededition.New
York:Verso,1991.
26
Williams,R.(1985),Keywords:AvocabularyofCultureandSociety.RevisedEdition.OxfordUniversityPress.

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 IGORCALZADA 8

Nowadays,therealparadoxabouttheplaceishappeningwhentheterritorialscales(Herod,
2011)27arenotproportionalwiththegovernancepowerthemainrepresentativemayown.
The governance is creating balances and imbalances continuously in each place. It means
thatforinstance,themayorsoftheworlds25largestcitiesareeachresponsibleformore
people than most national prime ministers28. This implies a need to articulate city
regionalism territorial development strategies from the Major Offices avoiding only a City
first approach (Harrison, 2013). As Innerarity suggests (2013), an economic geography of
creativity is established that requires a significant number of modifications in the way
territoriesaregoverned.

Nevertheless, even noticing that the place will increasingly matter, the scales and the
changesoccurringintheeconomicandpoliticalspherewillrequiredigginginthenatureand
powerdynamicsoftheterritorialdevelopmentstrategies.

1.1.TwochallengesaheadintheEUH2020agenda:

TheEUwillopenthebigHorizon2020thismonth.Inthiscontext,SocialInnovationmaybe
thetransversalelementbearinginmindtheemphasisonInclusive,ReflectiveandInnovative
Societies,andespeciallyonSmartCitiesandCommunities.AsJaimedelCastillo29(2013)has
recently reminded us in this Journal, RIS3 Regional Innovation and Smart Specialisation
StrategiesarethenewinstrumentsoftheEuropeanCommissionthatwantstouseandto
improvethepoliciesandmeasuressupportedbytheStructuralFundsinordertogenerate
competitiveness in the companies of the assisted areas.On the same wavelength in this
Journaltoo,AlainJord30(2013)definesthewaydeepchangesarefoundingtheFutureof
Cities (Calzada, 2013)31 paradigm with a direct impact on the Territorial Development
Strategies.Inthissense,Jordunderlines(goingalongwithhim)therecentboomofthenew
trendsundertheumbrellaofthesocalledSmartCity.

FollowingthepremisesthatKevinMorgan(2013)andFrankMoulaert(2013)founded,Ican
argue that what is more than required is a critical review of the new trends from a
perspectivethatitispresentedhereasCriticalSocialInnovation(CSI).Inthissense,wecan

27
Herod,A.(2011),Scale,London:Routledge.
28
http://www.citymayors.com/statistics/largestcitiesmayorsintro.html
29
DelCastillo,Jaime,TheterritorialdimensionofEUpolicyguidelines(EU20142020).P3T,JournalofPublicPoliciesand
Territory.N4,Winter2013,pp.1723.http://www.politicsandterritories.com
30
Jord,Alain,TheterritorialdimensionoftheEUpolicyguidelines(EU20142020).P3TJournalofPublicPoliciesand
Territory.N4,Winter2013,pp.117.http://www.politicsandterritories.com
31
Calzada,I.(2013).TheFutureoftheCityRegions<>Basque&OresundComparativeTerritorialBenchmarking.FlexibleCity
International Symposium, 2425th October 2013, University of Oxford (UK).http://www.igorcalzada.com/flexiblecity
internationalsymposiumbyfutureofcitiesprogrammeattheuniversityofoxforduk

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 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 9

already notice the emergence of some new critical avenues such as Smart Citizens32 and
someothernewdevelopmentssuchasFabLabs33thatwillbelookedintobymefromnow
on.

Hence,thisarticleaimstoconstructivelybuildanapproachthatcanbecalledCriticalSocial
Innovation (CSI), which is mainly oriented to absolutely complement the citycentric
narratives(coinedasSmartCity)thathaveassumedaviralqualityineconomicdevelopment
andtechnophilecircles(Morgan,2013).AuthorslikeMoulaertandSwyngedouw(2013)have
contributed significantly to opening up this new vision, mixing the way we can analyse
Territorial Development Strategies from the CSI paradigm;while a new Urban Governance
modelisrequiredafterincorporatingthetwomainchallengestheEUH2020shouldface:the
economic and political one. Before explaining the two of them, I would like to quote how
Moulaert (2003) express the paradox that makes urgent the emergence of the CSI view in
theEUsnewhorizon:

It is ironic, therefore, despite their significantly higher innovative content, that these
initiatives have not gained the academic and policy attention they deserve compared with
the more spectacular, although not necessarily more significant, strategies of urban
developmentthroughlargescaletopdownrenovationmegaprojects34(Moulaert,2003).

1.1.1.Economic:PostCrisisAlternativestotheNeoclassicEconomicOrthodoxy.

Firstly,beforetheCrisisandnowatthePostcrisisera,SocialInnovationhasshylyintegrated
some Territorial Development Strategies that clearly registered an alternative to the
economic mainstream thinking: neoclassic economic orthodoxy, commonly known as
neoliberalism (Peck, 2013)35. As Peck argues, citing the process of neoliberalization must
not be a substitute for explanation.This is the reason why I will not use the term
neoliberalizationbecauseIconsiderittobeasimpleallpurposeterm.Itissimplynotvalidif
wewanttoreviewTerritorialDevelopmentStrategiesandavoidpossibleneoliberalprocess
selfdeterminism. Similarly Keith et al. (2013) argue, the concept of the neoliberal is not
alwaysthathelpfulinunderstandingcontemporarypatternsofthenewChina.

Therefore, I suggest that in this Postcrisis context, we require a deeper and alternative
approach of the Social Innovation that will address the principles of the Social

32
Hemment, D. and Townsend, A. (2013), Smart Citizens, FutureEverything Publications:
http://futureeverything.org/publications/smartcitizens/
33
http://www.elmundo.es/economia/2013/11/24/5291208463fd3da55a8b457d.html
34
Moulaert, F, Swyngedouw, E. and Rodriguez, A. (2003), The Globalized City: Economic Restructuring and Social
PolarisationintheCity,Oxford:OxfordUniversityPress.
35
Peck, J. (2013), Explaining (with) Neoliberalism, Territory, Politics, Governance. Vol. 1, No. 2, 132157,
http://www.dx.doi.org/10.1080/21622671.2013.7853.65

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 IGORCALZADA 10

Transformation36 (bottomup processes, open networks and communities, and new

business/social models). I call it, CSI. Nevertheless, I agree with Peck (2013, 153)that,
alternativesmustbeanalysedrelationallytoo,notinutopianisolation.Havingsaidthat,I
mustquoteBrenner(2010)37andHarvey(2005)38duetotheirenormouscontributiontothe
task of deconstructing the neoliberal processes. However, what is not clear to me yet are
which existing alternatives (progressive and otherwise) can be hybridized into a large
transversalandinterideologicalparadigmcalledCSI.

1.1.2.Political:DeclineoftheNationStateandtheRiseoftheCityRegionalEurope

In 1995, Ohmae39 pointed out that the geoeconomic position of the NationStates was in
decline. In addition to this, in 2001, Scott40, anticipated a world run by 300 Global City
Regionseachwithapopulationof1Millioninhabitants.

In the Southern European NationStates, the continental political tradition of the fixed
bordersconfiguresanunfriendlyandnoncollaborativeterritorialenvironment.Incontrast,
in the Northern European NationStates, borders can be modified as a consequence of
naturalandenvironmentalimperativefactors,resultinginflexibleterritorialconfigurations
thatenablecrossbordercollaborations.

Inthissense,authorslikeKeating,Gallagher,Innerarity,Faludi41andMorenoamongothers,
are theorizing about the increasing importance of the new CityRegional (Marvin, Harding
and Robson) territorial configurations that often are trespassing NationStates, even
overtakingtheirdynamicsettingupNetworkedTerritories(Castells,1996)fluxlogics.
To sum up, reaching this point, how can the EU H2020 future scenario incorporate this
natural socially innovative processes into their projects, without being deterministically
dependentontheNationStatefixedstructures?

36
MorethanreliableisthisarticleinTheGuardiantitledLetsCreativeabottomupEuropebyJacquesDelorsandUlrick
Beck among others to http://www.theguardian.com/commentisfree/2012/may/03/bottomupeurope and this in Open
Democracyhttp://www.opendemocracy.net/ulrichbeck/towardseuropeanspring
37
Brenner, N. Peck, J. and Theodore, N. (2010), Variegated neoliberalization: geographies, modalities, pathways, Global
Networks10(2),141.
38
Harvey,D.(2005),ABriefHistoryofNeoliberalism.OxfordUniversityPress,Oxford.
39
Ohmae,K.(1995),TheEndoftheNationState:theRiseofRegionalEconomies.NewYork:SimonandSchusterInc.,1995.
214pp.
40
Scott, A, (2011), Emerging citiesof the third wave, City: analysisof urban trends, culture, theory, policy, action,15:34,
289321.
41
Faludi,A.(2002),EuropeanSpatialPlanning,LincolnInstituteofLandPolicy.

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1.2.AnalyticalUnit:TerritorialDevelopmentStrategies.

WhatismorethanimportantisthewayH2020willtreatterritoriesintheirspecificcontexts.
ItiswhytheunitofanalysisshouldbeTerritorialDevelopmentStrategies.Thisarticleaimsto
shed some light on the need to integrate CSI premises in order to adapt Territorial
Development Strategies to the current PostCrisis era that will be challenged by H2020
agendaintheEU.

Meanwhile, the question should be: Why do we need to consider CSI as a constructive
complementaryapproachobservingTerritorialDevelopmentStrategies?HintingtheH2020
agendaweshouldsuggest:

1. Togodirectlytothecausesoftherecession.
2. Togetrealisticagreementamongthestakeholdersofcertainterritorialunits.
3. To make explicit the nonmainstream ordinary (Robinson, 2006) sometimes even
extraofficial and tiny Micro Level initiatives (Moulaert, 2003), but extremely
innovativesocialprocessesthatarehappeninginthecivilarena.
4. Torescueatanylevel,projectsthatcouldbelabelledasCSI,feedingthebottomup
SmartCityapproachassomegroupsofpeoplearealreadydoing:SmartCitizensor
FabLabs,amongothers.
5. Finally,tofoundanUrbanGovernancemodelthatservesbetterallthestakeholders.
(Thispointwillbepresentedinpart4.Democraticimplications.)

However, there are three implications that we should consider in this CSI approach:
Territorial,StrategicandDemocraticimplications.

2.TerritorialImplications:CityRegionalism.

Thereareanincreasingnumberofinitiatives42emphasizingthewayglobalorsupranational
levelsnotprovidingclearsolutionstothePostCrisischallenges.Incontrast,Localismseems
tohavemadearenaissancethesedays,eventhoughtherearesomevoicesarguingthatNo
Local(Sharzer,2013)willbeasolution(Beck,2005).

WhatistrueisthatNationStateswillnolongerbetheonlyterritorialentitiesintheurban
arena.Thereisanincreasinglyunseencityregionaltrendgoingon,withdifferentgoalsand
processesoccurringunderneath.AndsimplyneitherGlobalCities(Acuto,2013)43norNation

42
I would highlight Ttness (UK) based Transition Network as the EU awarded Social Movement with The European
Economic and Social Committee Civil Society Prize for 2012: http://www.transitionnetwork.org/news/201212
03/europeanunionawardtransitioners
Acuto,M.(2013)GlobalCities,GovernanceandDiplomacy,London:Routledge.
43

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 IGORCALZADA 12

States can control the urban spaces that are perpetually in flux (Harvey, 1989: 127). To
sum up, the territorial implication for the H2020 is that Smart Cities will be hugely
dependent on and interconnected with their regional hinterlands, the fuzzy and protean
metrolandsforwhichthereisnolongeranagreedterminology.IwilluseCityRegionasthe
mostcommonlyacceptedone(Morgan,Harrison,Robinson,RodriduezPos,Ward,Harding,
et.al).

The research question that I am formulating in the Future of CityRegion <> Comparative
Territorial Benchmarking & Connections project (gathered in www.cityregions.org ) is
relatedtotheH2020agendaasfollows:

To whatextent are theSmart Cities and theRIS3 strategies, considering the economic and
the political challenge that has been presented before? Related to this, are they observing
thewayTerritorialDevelopmentStrategieshavetakenplaceindifferentEuropeancontexts?

Some EU level projects such as Ernact44, Singocom45, Wilco46, KitcaspEspon47, City

Regions48,amongothershaveopenedthisnewpathofCSIfortheCityRegionalEurope.At
the moment I am comparing cases49 such as: Dublin, Portland, Basque, Oresund, Iceland,
LiverpoolandManchester,ScotlandandCatalonia.Mymainconclusionsofaristhatallof
thembehavedifferentlyinthewaytheirTerritorialDevelopmentStrategiesweredesigned
andimplementedaccordingtodiversepowerrelationsamongtheiragentsorstakeholders.
Thisconclusionleadsustothesecondimplication:theStrategicone.Actually,whatwecan
observeindifferentterritoriesisthattheMesolevelisthecrucialfactortoimplementingCSI.
Itiswhy,nowadays,thescalarimplementationisthemoststrategicimplicationthatacity
regionalunitshouldface.(Calzada,ChautnandDiSienna,2013)50.

3.Strategicimplications:Scalarimplementation.

AsMintzberg(2002)51suggestedinStrategySafari,whatiscrucialfortheapplicationofthe
implementationofanypublicpolicyofterritoriesishowstrategyiscreatedandtherefore,
how we can open up the Black Box of the analysed Territorial Development Strategy; it

44
http://www.ernact.eu
45
http://ec.europa.eu/research/socialsciences/projects/100_en.html
46
http://www.wilcoproject.eu/
47
http://www.espon.eu/main/Menu_Projects/Menu_TargetedAnalyses/kitcasp.html
48
http://www.cityregions.eu/news.html
49
See:www.cityregions.org
50
AnActionResearchbasedmethodologyissuggestedintherecentlypublishedbookby:Calzada,I.,Chautn,A.andDi
Sienna,D.,(2013)titled#MacroMesoMicro:SystemicTerritoryFrameworkfromtheperspectiveofSocialInnovation.Ebook.
ISBN:9788461652174.http://www.macromesomicro.com
51
Mintzberg,H.,Ahlstrand,B.andLampel,J.(2002)StrategySafari,FTPrenticeHall.

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 13

meansactuallythattheMesolevel(theonethatisinbetweentheMacro,policyleveland
Micro,projectlevel)isthenittygrittyoftheCSIimplementation.

ItwouldbedifficultheretostartdeconstructingtheTerritorialDevelopmentStrategiesone
by one as the way www.cityregions.org project is approaching. However, I will present
brieflythecasestudythatIhavebeeninvolvedinandresearchingforalongtimeinmyPhD
andinmyPostDoctoral periodcomparativelywithsomeothercasesaswell.Irefertothe
BasqueCountrycaseunderstoodasBasqueCityRegionorcommonlynamedEuskalHiria.

AstheOECD(2011:42)pointedout:theBasqueCountrycantakegreatprideinwhatithas
collectively achieved over the past 30 years, an achievement summarized as a regional
transformationsuccessstory.

However, having researched the way the socalled institutional brand EuskalHiria (that
partially refers to the topdown spatial planning brand) has been promoted in the last 12
yearsbytheBasqueGovernment,Icandrawthefollowingconclusions:

On the one hand, Macro (policy level), that defines the Territorial Development
Strategies; has been kidnapped by the Governments and civil servants reactivism
withoutactivatingarealbottomup(asacomplementoftheexistingtopdownone)
strategicThinkTankamongthekey5differentstakeholdersinthePentaHelixmodel:
PublicSector,PrivateSector,CivilSociety,AcademiaandEntrepreneurs/Activists.
Ontheotherhand,Micro(projectslevel),thathasbeenoccupiedprimarilybycritical
civilplatformsinfavourofadegrowthsocioeconomicparadigm(Jackson&Hamilton)
such as DOT Desazkundea; thishas been pressing the Government to change some
principlesintheSpatialPlanningDirectives.

After I directed52the Congress Basque CityRegion or EuskalHiria 2012, I can conclude that
theTerritorialDevelopmentStrategieshavemainlyatopdownGovernancelogic,notnearly
promoting any bottomup social participation with the mentioned stakeholders. In the
Congress2012,theseedofthisnewUrbanGovernancemodelwasplanted,withaspecific
ThinkTankproposal.Oneyearafter,wecanarguethattheMacrolevelhasstoppeddueto
total inactivity not facing strategic problems. However, on the other hand, it is more than
curioustoobservehowthesocialmovementsparticipatingactivelyinthe2012Congress(I
referdirectlytotheDOTDesazkundeaplatform),seemtoforgettheirproclamationsatthe
extremepointthattheyhavedissolvedthemselvesasaplatform.Finally,theMesoleveldid
notworkduetothetotallazinessinpromotingnewtoolsfortheUrbanGovernanceatthe
MacrolevelandtheincoherencyinthedemandsandlaterbehaviouroftheMicrolevel.So
52
www.euskalhiria.organdwww.basquecity.org

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 IGORCALZADA 14

far,therearebalanceandimbalanceTerritorialDevelopmentStrategiesintheBasqueCity
Region or EuskalHiria, that would require an urgent review from the CSI in order to start
designinganUrbanGovernanceupdatemodelinparallelwiththeEuropeanH2020vision.

Tosummarize53:thereisanurgentneedforapragmaticproposalsetagainstthebackground
of sustainability transitions54 in the context of climate change, specifically taking into
consideration the geography of the Basque Autonomous Community, and highlighting the
existenceofChallengesandObstaclesbetweentheinfrastructureandnaturalresourcesin
theirurbanenvironments.

Likewise,weshouldbearinmindthespatialconfigurationoftheurbanenvironmentthatis
created jointly by the Basque geographies and known as Basque CityRegion which has
been designed and implemented over the past decade from an institutional framework,
and by a specific spatial strategy (to be precise from the DOT/LAA Spatial Planning
Directives) of the SubMinistry for Spatial Planning of the Government of the Basque
Autonomous Community. Therefore, my main contribution after having studied the
dynamicsoftheactors(Acuto,2013),isasfollows:

a) so far, limited and erroneous use has been made under the terms of the
EuskalHiriainstitutionalbrandtorefertotheBasqueCityRegionfromtheMacro
level,
b) DOT/LAASpatialPlanningDirectives,therehavebeensomespecificspatialstrategies
inconnectionwiththeCityRegionconcept,whichtakegrowthastheonlyparadigm
into consideration, and which have led to Balances and Imbalances among the
stakeholders,and
c) whatisneededisafarreachingcontributionfromtheCSIwithatruemodelofUrban
GovernancetoguideprocessesforchangeinSocialCapitalandTransitionstowards
SustainabilityinthecontextofClimateChange.

Theimmediateroleofcities,associalecologicalandtechnicalnetworks,istoexploretheir
transformability capacities by strengthening their social capital and fostering opportunities
intheprocessofchange.Therefore,inanutshell:Howcanweincorporatethelessonsofthe

53
Apaperwillbepresentedin19thDecember2013inBilbaoattheKlimagune2013eventorganizedbytheBC3.Thispaper
aimstopresentsomeActionResearchobservationsmadefromthePolicymakingperspectiveinthethreeaforementioned
territorial scales: Macro, Meso and Micro, based on a recent publication with this name #MacroMesoMicro by Calzada,
ChautnandDiSienna(2013):
http://www.bc3research.org/klimagune/workshop/2013/organization_and_programme.html
54
Olazabal, M. and U. Pascual (2013) Identifying social determinants of urban low carbon transitions: the case of energy
transition in Bilbao, Basque Country. BC3 Working Paper Series 201311.Basque Centre for Climate Change (BC3). Bilbao,
Spain.

P3T,JOURNALOFPUBLICPOLICIESANDTERRITORIES,n6vol.2,pp.120,2013
 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 15

CSI to achieve a model of Urban Governance suited to the Basque CityRegion in the
Transitions towards Sustainability in the Context of Climate Change? What would these
Spatial Strategies shared and agreed upon among all the players or stakeholders be?
Therefore, how can we create a fresh, bottomupbased "EuskalHiria" (named taken the
BasqueCityRegion)brandandamodelofparticipatoryUrbanGovernancebasedonactions
insteadofonindisputablespatialpolicies?

4.Democraticimplications:TowardstheUrbanGovernanceMultistakeholdersmodel.

Once that I have presented one of the case studies (the Basque CityRegion) which is
included in the project the Future of the CityRegions <> Comparative Territorial
Benchmarking & Connections (http://www.cityregions.org) to illustrate the Territorial and
StrategicImplicationsthataCityRegionalEuropemayhavefromtheCSIperspective,Iwill
endthearticlebypresentingsomedemocraticimplicationsfromnowwhichareapplicable
toallthecasestudiesIpresentedwhilefollowingtheplotofthisarticle.

ThefailureoftheclassicalandnowoldfashionedSmartCityapproachissimpleconsidering
the privatepublic partnership Urban Governance model. As the Oxford Martin Schools
NowfortheLongTerm55Report(2013:35)suggests,theMultistakeholderapproachtobe
implemented in our cities and regions. The Silicon Valley experience did focus its
stakeholders configuration innovation on the Triple Helix model56 (PublicGovernment,
PrivateIndustryandAcademiaUniversity).However,asMorgan,MoulaertandMulganare
highlighting, Multistakeholder dynamics are the complete way in which different views on
the society can meet and set up an Urban Governance model. Therefore, the CityRegion
would require a Penta Helix implementation via Multistakeholder if we wish to deal with
socialcomplexityandexperimentalgovernment57(Mulgan,32).

Nevertheless,aswecanhighlightwiththeBasqueCityRegioncase;theeffectivenessofthe
Meso level in the Urban Governance is a matter of how visionary a Government (Macro)
levelisandhowresponsibleSocialMovements(Micro)arewiththedeliberativeprocessand
dynamics.AsMarkTewdrJones(2013)recentlypresentedintheRSAWinterConferencein
London, we are assisting the reinvigoration of public debates on territorial inequality but
notnecessarilyintegratingacrosslocalterritoriesthathavepotential(Moulaert,2000).

55
Oxford Martin School (2013), Now for the Long Term, The Report of the Oxford Martin Commission for Future
Generations,UniversityofOxford.
56
http://www.triplehelixassociation.org/workingpapers/siliconvalleythesustainabilityofaninnovativeregion
57
One good practices on this is the project called DCENT, Decentralised Citizens Engagement Technologies under the
supportofthe7thFP:http://dcentproject.eu

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 IGORCALZADA 16

5.Conclusion:

The main conclusion of this article is that H2020 (when it refers to Smart Cities &
Communities projects) should consider a CSI view. Mainly, because on the one hand,
economicallythereareemergingmicroalternativestoneoliberalism(althoughcurrentlyin
an experimental mode) and on the other hand, politically, a new CityRegional spatial
configuration in the EU is flourishing. For this new pathway, territorial, strategic and
democratic implications should be taken into account towards a new Urban Governance
model between a Multistakeholder open, transparent and responsible Experimental
Government permanent exercise. Simply, Smart Cities cannot be built ignoring smart
citizens, and this is why Penta Helix integrating entrepreneurs/activists and civil society
shouldreplacetheNorthAmericanentrepreneurialculturedrivenSiliconValleyTripleHelix
model. However, as we have concluded, looking into the Basque Countrys territorial
development strategies: Not only should governments be better at experimenting and
integratingcivilsocietyandentrepreneurs/activistsinthedecisionmakingprocess;butalso,
social movements require a necessary transition from hostile and nonconstructive
irresponsiblestrategiestocollaborativeandcommonsdrivenones.

CSIimpliesdealingandincorporatingsocialcomplexityinthedecisionmakingprocessatthe
CityRegional level among the participation of an increasing number of agents. As an
outcomeofthesedynamics,theSmartCitieserawillevolvetoanotherUrbanGovernance
model where we will manage to combine in the CityRegional territorial scope, the scalar
implementationthatleadustoaMultistakeholderUrbanGovernancemodel.Someofthe
examplesofthesenewemergingtrendsare,SmartCitizens,FabLabs,amongothers.

When all is said and done, everything will boil down to the openness of the Experimental
Urban Governance of the Smart Cities rather than the topdown government by
improvisation,instinct,intuitionorsolelyguidedbyideology.
For2020,thechallengeoftheEUistoenableCityRegionalconfigurationsthathaveapplied
CSI in their Territorial Development Strategies, to overcome new Experimental Urban
Governanceleavingbehindthecausesofthe2008recession,butnotwithoutattachingtheir
lessonslearntinthe2020policymakingagenda(Mulgan)58.

58
Mulgan,G.andPuttick,R.(2013)Makingevidenceuseful:thecasefornewinstitutions.London:NESTA.
Mulgan,G.(2013)Expertsand ExperimentalGovernmentinFutureDirectionsforScientificAdviceinWhitehallEditedy
RobertDoubledayandJamesWilsdon.
Sabel, C.F. and Zeitlin, J. (2012), Experimentalist governance. In LeviFaur, D. (Ed.) The Oxford Hanbook of Governance.
Oxford:OxfordUniversityPress.

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 CRITICALSOCIALINNOVATIONINTHESMARTCITYERAFORACITYREGIONALEUROPEANHORIZON2020 17

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